S&P 500 Healthcare Sector SEC Filings — March 04, 2026

04-03-2026

Cellectar Biosciences reported 2025 financial results with cash and equivalents declining 43% to $13.2M from $23.3M, sufficient to fund operations into Q3 2026, alongside sharp reductions in R&D expenses (down 56% to $11.5M) and G&A (down 55% to $11.5M), resulting in a narrower net loss of $21.8M ($8.35/share) versus $44.6M ($36.52/share) in 2024. Pipeline advancements include plans for Q3 2026 Conditional Marketing Authorization submission to EMA for iopofosine I 131 in Waldenström Macroglobulinemia, FDA Breakthrough Therapy Designation, and initiation of a Phase 1b study for CLR 125 in triple negative breast cancer with data expected mid-2026. However, ongoing cash burn and lack of revenue underscore funding risks ahead of key milestones.

• ·Common shares outstanding increased to 4,240,129 from 1,535,996 YoY.
• ·Phase 1b CLR 125 study evaluates doses of 32.75 mCi/m²/dose (up to 4 cycles), 62.5 mCi/m²/dose (up to 3 cycles), and 95 mCi/m²/dose (up to 2 cycles).
• ·Secured supply agreement with Ionetix for cGMP-grade Actinium-225 (Ac-225) and Astatine-211 (At-211).

04-03-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on March 4, 2026, announcing the issuance of a press release titled 'AITX's RAD Channel Partner Expands Detection to Guard Response Ecosystem,' attached as Exhibit 99.1. The filing discloses a positive development in channel partner expansion integrating detection capabilities into the Guard Response Ecosystem. No financial impacts or quantitative metrics were reported.

04-03-2026

News Corporation disclosed via 8-K information provided to the Australian Securities Exchange (ASX) regarding its ongoing $1B stock repurchase program authorizing purchases of Class A (NWSA) and Class B (NWS) common stock. The disclosures are attached as Exhibits 99.1 and 99.2, which include forward-looking statements on potential repurchases subject to market conditions and other factors. No specific repurchase transactions or amounts were detailed in the filing body.

• ·Event date: March 3, 2026
• ·Filing date: March 4, 2026
• ·Securities: Class A Common Stock (NWSA, par value $0.01), Class B Common Stock (NWS, par value $0.01) on Nasdaq Global Select Market

04-03-2026

Procaccianti Hotel REIT, Inc. announced on March 2, 2026, that share repurchases for the quarter ended December 31, 2025, under its Amended and Restated Share Repurchase Program are prorated due to the funding limitation being reached, with insufficient DRIP proceeds to fulfill all requests. Deceased stockholders' shares will be repurchased in full, but remaining requests will only be honored at approximately 3.6% pro rata, with no requests from qualifying disabilities or small accounts (≤100 shares). This reflects constraints under the program's 5.0% annual share limit and funding caps, potentially delaying liquidity for other shareholders.

• ·Repurchase priorities: (1) deceased stockholders (full, pro rata if insufficient funds), (2) qualifying disabilities or involuntary exigent circumstances (e.g., bankruptcy) and small accounts ≤100 shares, (3) remaining requests pro rata.
• ·Unfulfilled repurchase requests automatically carry over to subsequent periods unless withdrawn 5 business days prior to next repurchase date.
• ·Death-related repurchases count toward 5.0% share limit but are exempt from percentage cap.

04-03-2026

This DEF 14A proxy statement solicits shareholder votes for the election of board members at the virtual annual meeting on April 16, 2026, for Nuveen Virginia Quality Municipal Income Fund (NPV) and 15 other Nuveen funds. For NPV, holders of Common and Preferred Shares vote together to elect four Class II Board Members, while Preferred Share holders vote separately to elect two Board Members. The record date is February 9, 2026, with no financial performance metrics disclosed.

• ·Annual Meeting: April 16, 2026, at 2:00 p.m. Central Time, virtual only via meetnow.global/M6VY4FD
• ·Record date: February 9, 2026
• ·Proxy materials mailed on or about March 6, 2026
• ·Quorum: Majority of shares for most votes; 33 1/3% of Preferred Shares for their separate election
• ·Registration for virtual attendance required 3 business days prior if held by intermediary

04-03-2026

Nuveen Quality Municipal Income Fund extended the final mandatory redemption date for its Series 1 Variable Rate Demand Preferred Shares ($236.8M aggregate liquidation preference) and Series 2 Variable Rate Demand Preferred Shares ($267.5M aggregate liquidation preference) from September 11, 2026, to September 11, 2056, effective March 3, 2026. This extension applies to these senior securities, which rank ahead of common shares (NAD) in liquidation and dividends, with weekly dividend rates set by a remarketing agent and liquidity support from a provider. No performance declines or flat metrics were reported in this disclosure.

• ·Dividends on VRDPs set weekly by remarketing agent, subject to maximum rate that increases during extended unsuccessful remarketing.
• ·Liquidity feature allows holders to sell to liquidity provider if remarketing fails.
• ·VRDPs not registered under Securities Act of 1933; disclosure not an offer to sell.

04-03-2026

Alerus Financial Corp reported net interest income surging 61.1% YoY to $172.5M in 2025, fueled by a wider net interest margin of 3.53%, while retirement and benefit services AUA grew 10.3% to $44.9B and mortgage originations doubled to $484.8M. However, noninterest income plunged 54.9% YoY to $51.9M, noninterest expenses rose 11.4% to $201.2M, resulting in net income dipping 1.9% to $17.4M, diluted EPS falling to $0.68 from $0.83, and ROA declining to 0.33%. Loans increased modestly 1.4% to $4.05B, but deposits contracted 4.2% to $4.19B and nonperforming loans rose to 1.71%.

• ·Provision for loan losses decreased sharply to $556K from $18.1M YoY.
• ·Investment securities declined to $768.5M from $863.6M.
• ·Efficiency ratio worsened to 84.10% from 77.92%.
• ·Dividend payout ratio increased to 122.06% from 95.18%.
• ·Allowance for credit losses coverage of nonperforming loans fell to 89.65% from 95.30%.

04-03-2026

Citius Oncology announced positive topline results from an investigator-initiated Phase 1 trial (n=14) of LYMPHIR™ (denileukin diftitox-cxdl) administered prior to commercial CD19-directed CAR-T therapy in high-risk relapsed/refractory DLBCL, showing 86% ORR (57% CR, 29% PR), 77% 1-year PFS, and 84% 1-year OS. LYMPHIR was well-tolerated with no dose-limiting toxicities, effective Treg depletion, and manageable low-grade adverse events including 43% CRS and 21% ICANS. The data, presented at the 2026 ASTCT® & CIBMTR® Tandem Meetings, support exploring LYMPHIR's Treg modulation in combinations, though the study was not powered for efficacy.

• ·LYMPHIR doses tested: 5, 7, or 9 µg/kg
• ·Median Treg reduction: 24 Tregs/µL (range 8–65), nadir at 24 hours post-dose
• ·Adverse events: manageable Grade 1–2 capillary leak syndrome, fever, transient liver enzyme elevations; Grade 3 cytopenias consistent with lymphodepletion
• ·LYMPHIR FDA-approved and launched in US December 2025 for r/r CTCL after ≥1 prior systemic therapy

04-03-2026

Citius Oncology, majority-owned subsidiary of Citius Pharmaceuticals (CTXR), announced positive topline Phase 1 data from an investigator-initiated trial of LYMPHIR™ (denileukin diftitox-cxdl) administered prior to commercial CD19 CAR-T therapy in 14 high-risk relapsed/refractory DLBCL patients, showing 86% ORR (57% CR, 29% PR), 77% 1-year PFS, and 84% 1-year OS. LYMPHIR was well-tolerated with no dose-limiting toxicities, effective Treg depletion, and manageable low-grade adverse events including 43% CRS and 21% ICANS. The data supports further exploration in larger studies to enhance CAR-T efficacy.

• ·LYMPHIR doses tested: 5, 7, or 9 µg/kg
• ·Median Treg reduction: 24 Tregs/µL (range 8–65), nadir at 24 hours post-dose
• ·LYMPHIR FDA-approved and launched in U.S. December 2025 for relapsed/refractory CTCL
• ·License acquired in 2021 for markets excluding India, Japan, and certain Asia

04-03-2026

Ventyx Biosciences, Inc. (VTYX) filed an 8-K on March 04, 2026, including its Fourth Amended and Restated Certificate of Incorporation (Exhibit 3.1), coinciding with Items 2.01 (acquisition completion), 3.01, 3.03, 5.01 (change in control), 5.02 (director departures), 5.03 (new directors), and 9.01. The certificate updates the business address to Eli Lilly and Company Global Headquarters in Indianapolis, Indiana, and reduces authorized common stock to 100 shares at $0.0001 par value per share. No financial metrics or performance data are provided in the exhibit.

• ·Registered office: 1209 Orange Street, Wilmington, New Castle County, Delaware 19801.
• ·Directors may be removed with or without cause by majority vote of common stockholders.
• ·Standard indemnification and liability protections for directors and officers affirmed.

04-03-2026

Coca-Cola Europacific Partners plc (CCEP) announced that Independent Non-executive Director Guillaume Bacuvier will retire from the Board at the conclusion of the Annual General Meeting (AGM) on 28 May 2026, after serving since January 2024. Uvashni Raman, current CFO of Booking.com, has been appointed as a new Independent Non-executive Director effective the same date, bringing extensive financial and operational experience from roles at Adevinta, Naspers, South 32, and BHP. The changes are part of the Board's succession planning.

• ·Guillaume Bacuvier served on the Remuneration Committee.
• ·Uvashni Raman's prior roles: Group CFO of Adevinta (2019-2023), CFO for Naspers Video Entertainment Division (2016-2019), South 32 Australian Region (2015-2016), multiple roles at BHP.
• ·CCEP listed on Euronext Amsterdam, NASDAQ, London Stock Exchange, Spanish Stock Exchanges; constituent of NASDAQ 100 and FTSE 100.

04-03-2026

First Financial Corp (THFF) reported 2025 net income of $79.2M, up 67.5% YoY from $47.3M, fueled by 25.6% growth in net interest income to $219.9M and a reduced provision for credit losses to $8.2M from $16.2M. However, deposits declined 3.6% YoY to $4.55B amid rising borrowings to $480.7M, non-interest expenses increased 7.3% to $154.9M, and securities holdings fell to $1.15B. Total assets grew 3.6% to $5.76B, loans expanded 5.7% to $4.06B, ROE rose to 13.3% from 8.8%, and cash dividends increased to $2.04 per share.

• ·Securities declined to $1.15B from $1.20B YoY.
• ·Non-interest income slightly down to $42.0M from $42.8M.
• ·Cash dividends declared per share increased quarterly, reaching $0.56 in Q4 2025 from $0.51 in Q4 2024.
• ·Stock price high reached $61.25 in Q4 2025, up from $50.61 in Q4 2024.

04-03-2026

Bankwell Financial Group, Inc. reported strong recovery in 2025 with net income surging 260% YoY to $35.2M from $9.8M in 2024, fueled by net interest income growth of 19% to $98.9M, total revenue up 25% to $108.3M, and provision for credit losses dropping sharply to $1.0M from $22.6M. Asset quality improved markedly with nonperforming assets to total assets at 0.49% versus 1.88% in 2024, and return on average assets rose to 1.09% from 0.31%. However, noninterest expenses increased 15% YoY to $58.8M due to higher salaries and professional services, while efficiency ratio improved modestly to 54.1% from 57.9%.

• ·Provision for credit losses declined to $1.0M in 2025 from $22.6M in 2024.
• ·Net (recoveries) charge-offs to average loans at -0.01% in 2025 vs 0.81% in 2024.
• ·Tier 1 capital to risk-weighted assets for Bankwell Bank at 11.87% in 2025 (up from 11.64%).
• ·Gains and fees from sales of loans jumped to $5.1M in 2025 from $0.5M in 2024.

04-03-2026

Sight Sciences reported fourth quarter 2025 total revenue of $20.4 million, up 7% YoY, with Interventional Glaucoma revenue increasing 5% to $19.7 million and Interventional Dry Eye surging from $0.3 million. However, full year 2025 revenue declined 3% to $77.4 million, as Interventional Glaucoma remained flat at $75.7 million and Interventional Dry Eye dropped to $1.6 million from $4.0 million. Operating expenses fell 13% to $103.8 million for the year, improving net loss to $38.4 million from $51.5 million, with 2026 guidance projecting revenue growth of 6-14% to $82-88 million.

• ·Q4 2025 cash usage: $0.4 million.
• ·FY 2026 Interventional Glaucoma guidance: $77-81 million (+2-7%).
• ·FY 2026 Interventional Dry Eye guidance: $5-7 million.
• ·FY 2026 adjusted operating expenses guidance: $93-96 million (+6-9%).
• ·Cash and cash equivalents: $91.965 million as of Dec 31, 2025 (down from $120.357 million at Dec 31, 2024).

04-03-2026

Emmaus Life Sciences, Inc. entered into an Exclusive Supply Agreement with NeoImmuneTech, Inc. on March 2, 2026, as contemplated by the prior License and Exclusive Distribution Agreement dated December 24, 2025, granting NIT exclusive rights to market, sell, and distribute Endari® and generic equivalents for sickle cell disease in the U.S., its territories, and Canada. Under the Supply Agreement, Emmaus will exclusively supply the products to NIT at cost plus a specified double-digit percentage margin, subject to the License Agreement's Effective Date. However, the Effective Date depends on NIT obtaining necessary regulatory approvals and other conditions, with no assurance of occurrence and potential termination by either party if not achieved by October 1, 2026.

• ·License Agreement previously reported in 8-K filed December 31, 2025
• ·Field: sickle cell disease
• ·Territory: U.S. and its territories/possessions, Canada
• ·Full agreements to be filed as exhibits to 10-K for year ended December 31, 2025 and 10-Q for three months ended March 31, 2026

04-03-2026

On February 26, 2026, Lipocine Inc. filed a prospectus supplement under its existing Sales Agreement with A.G.P./Alliance Global Partners, originally entered on April 26, 2024, to offer and sell up to $50M of common stock from time to time. The filing includes a legal opinion from Dorsey & Whitney LLP validating the shares. No sales have been reported yet, representing a potential equity financing event.

• ·Commission File No. 001-36357
• ·IRS Employer Identification Number: 99-0370688
• ·Principal executive offices: 675 Arapeen Drive, Suite 202, Salt Lake City, Utah 84108

04-03-2026

Oaktree Specialty Lending Corp held its 2026 annual meeting of stockholders on March 3, 2026, electing John B. Frank and Bruce Zimmerman to the Board until the 2029 annual meeting, and ratifying Ernst & Young LLP as independent auditors for the fiscal year ending September 30, 2026, with overwhelming support (58,021,388 votes for vs. 842,271 against). However, a concurrent special meeting to authorize issuing up to 25% of common stock below net asset value was adjourned due to lack of quorum. As of the January 5, 2026 record date, 88,085,523 shares of common stock were outstanding.

• ·Proxy statement filed with SEC on January 16, 2026
• ·Special Meeting proposal: authorize Company, with Board approval, to issue common stock below NAV per share, not exceeding 25% of then-outstanding common stock

04-03-2026

Niagen Bioscience reported strong FY 2025 results with net sales up 30% YoY to $129.4M, net income surging 103% to $17.4M, and Adjusted EBITDA rising 139% to $20.4M, driven by Tru Niagen® (+27%) and Niagen ingredient sales (+45%). However, Q4 net income declined to $4.1M from $7.2M due to higher operating expenses and the absence of prior-year one-time benefits like royalty reversals, despite 16% sales growth to $33.8M. The company ended 2025 with $64.8M in cash (up from $44.7M) and guides for 10-15% sales growth in 2026 excluding the recently sold reference standards segment.

• ·Q4 2025 operating expenses increased 59% YoY to $17.6M, driven by higher G&A excluding prior-year benefits.
• ·FY 2025 selling and marketing expense improved to 27.4% of net sales (down 220 bps YoY).
• ·2026 G&A expected to increase $4.0M to $5.0M due to infrastructure, legal, and share-based compensation.
• ·Dec 2025 acquisition of core NR patent portfolio from Queen’s University Belfast.
• ·Nov 2025 launch of Tru Niagen® Beauty for skin, hair, and nail health.

04-03-2026

VICI Properties Inc. filed an amended S-4/A registration statement detailing the proposed PropCo Subsidiary Merger under the Master Transaction Agreement, where each Golden Common Stock share converts to 0.902 VICI Common Stock shares (fixed ratio), with recent market value ranging from $24.86 to $27.63 per Golden share. Risks include no adjustment for VICI stock price fluctuations, potential delays or non-completion by the November 5, 2026 outside date (extendable to February 5, 2027), $37M termination fee payable by Golden in certain cases, and post-merger dilution where former Golden shareholders own only 2.29% of VICI versus continuing VICI stockholders' 97.71%. The deal involves up to $135M debt financing for the related OpCo Sale and requires Golden shareholder approval.

• ·Market value of 0.902 VICI shares per Golden share ranged from $24.86 low to $27.63 high (Nov 5, 2025 to Mar 3, 2026 closing prices).
• ·Transactions expected to close in mid-2026, subject to Gaming and Liquor Approvals.
• ·Golden subject to 'no-shop' restrictions post-No-Shop Period Start Date, with limited ability to pursue superior proposals except upon termination fee payment.

04-03-2026

ACRES Commercial Realty Corp. reported a GAAP net loss allocable to common shares of $3.0 million, or $(0.43) per diluted share, for the fourth quarter ended December 31, 2025. Positively, the company originated $571 million in high-quality commercial real estate loans during the quarter, with momentum continuing into Q1 2026 via the closing of a $1 billion CRE CLO in February. Management noted strong asset management progress, reducing watchlist assets to a handful with resolution plans in place.

• ·Earnings conference call scheduled for March 5, 2026 at 10:00 a.m. ET; replay available through March 19, 2026.
• ·Full detailed presentation available at www.acresreit.com.

04-03-2026

Michael D. Lynch, Executive Vice President and Chief Financial Officer of AmeriServ Financial, Inc., announced his retirement after a long career of over 40 years, effective May 18, 2026. The company is conducting a search for his replacement. The filing was reported on March 4, 2026, and signed by Jeffrey A. Stopko, President and Chief Executive Officer.

• ·Company headquartered at Main and Franklin Streets, Johnstown, PA 15901
• ·Telephone: 814-533-5300
• ·Common Stock traded as ASRV on NASDAQ

04-03-2026

Klotho Neurosciences, Inc. (Nasdaq: KLTO) announced the acquisition of Greenland Mines Corp. via a definitive merger agreement dated March 3, 2026, closing on March 4, 2026, securing an 80% interest (with option for remaining 20%) in the Skaergaard Project, one of the largest undeveloped palladium-gold-platinum deposits valued at approximately $68B in-situ resource. The deal, payable in convertible preferred stock treated as a reverse merger, positions Greenland Mines to own ~93% of fully diluted shares post-conversion, with the company planning to rebrand, add a board member, and operate dual divisions in natural resources and cell/gene therapy. No period-over-period financial metrics or declines were disclosed.

• ·Skaergaard Total Indicated and Inferred Resource: 364.37M tons at 2.17 g/t PdEq; Indicated: 158.95M tons at 2.22 g/t PdEq.
• ·Deposit open in all directions; fully permitted for exploration with environmental and metallurgical studies underway.
• ·Pricing basis: gold $5,100/oz, palladium $1,800/oz, platinum $2,175/oz (Feb 2026 market prices).
• ·Company name and ticker change planned for late March 2026; no action required by existing shareholders.

04-03-2026

Octave Specialty Group Inc reported total revenues of $251.2M for FY 2025, up 6.5% YoY from $235.8M, driven by strong Insurance Distribution segment growth with premiums placed nearly doubling to $951.8M (+93%) and commissions rising 56% to $143.4M. However, the company posted a widened net loss from continuing operations of $(95.8M) vs $(58.9M) in 2024, with Specialty Property & Casualty Insurance seeing gross premiums written decline 5.8% to $360.4M, net premiums written drop 17% to $73.9M, and combined ratio worsen to 105.2%. Operating cash flow turned negative at $(52.3M) from positive $0.8M.

• ·Adjusted EBITDA attributable to shareholders FY2025: $(7.5M) vs $2.2M FY2024
• ·Specialty P&C retention ratio declined to 20.5% from 23.2% YoY
• ·Insurance Distribution pretax loss $(20.5M) vs $(7.8M) YoY, despite revenue growth
• ·Corporate & Other pretax loss $(83.9M) vs $(64.3M) YoY
• ·Net cash flow FY2025: $21.4M vs $28.6M FY2024

04-03-2026

On February 26, 2026, Glen W. Herrick resigned immediately as director of MVB Financial Corp and MVB Bank, Inc., where he served as Chair of the Audit Committee and a member of the Finance Committee, citing concerns with the Company's corporate governance practices, executive compensation philosophy, and strategic focus. Cheryl Spielman, an existing Audit Committee member and qualified audit committee financial expert, was appointed as the new Chair of the Audit Committee. The resignation letter does not implicate any issues with financial statements, accounting, internal controls, or auditing.

• ·Resignation letter attached as Exhibit 17.1.
• ·Company provided disclosures to Mr. Herrick and will file any response letter from him as an amendment within two business days of receipt.
• ·Filing signed by Michael R. Sumbs on March 4, 2026.

04-03-2026

AbbVie Inc. completed an underwritten public offering of $8B in senior notes on March 4, 2026, consisting of $750M floating rate notes due 2028 and fixed-rate notes including $1.5B 3.775% due 2028, $1.25B 4.125% due 2031, $1.25B 4.400% due 2033, $1.5B 4.750% due 2036, $1.25B 5.550% due 2056, and $500M 5.650% due 2066. The notes are unsecured, unsubordinated obligations ranking equally with existing debt, with optional redemption features including make-whole premiums before par call dates and at par thereafter. No period-over-period financial comparisons or performance metrics are disclosed.

• ·Floating Rate Notes and 2028 Notes mature March 3, 2028; other notes mature March 15 of their respective years.
• ·Optional redemption at make-whole price before par call dates (e.g., Feb 15, 2031 for 2031 Notes) and at 100% par thereafter.
• ·Indenture governed by Base Indenture dated November 8, 2012, supplemented by Supplemental Indenture No. 12 dated March 4, 2026.

04-03-2026

Tyra Biosciences, Inc. agreed to issue and sell 4,000,000 shares of common stock to a large investment management firm at $31.50 per share, expecting $126.0 million in gross proceeds before fees and expenses. The transaction is executed under the company's at-the-market offering program registered on Form S-3 (File No. 333-287086). No declines or flat metrics were reported in this financing announcement.

• ·Registration statement on Form S-3 filed May 8, 2025 (File No. 333-287086)
• ·Sales agreement prospectus dated May 16, 2025

04-03-2026

Dot Ai reported full year 2025 revenue of $5.8M, a 2,800% YoY increase from $0.2M in 2024, with record Q4 revenue of $4.5M from nearly $0, driven by post-business combination commercial ramp-up and customer adoption. However, FY net loss widened to $36.7M from $21.5M due to operating expenses rising to $13.1M from $7.2M, while Q4 net loss improved slightly to $2.4M from $2.7M; Adjusted EBITDA also deteriorated FY to $(9.1M) from $(4.8M). The company issued 2026 revenue guidance of $6-7.5M amid platform enhancements and new partnerships.

• ·Business combination completed in June 2025, enabling Nasdaq listing (DAIC) and commercial transition.
• ·Strategic partnerships: CanTech Group (Australia distribution), Wiliot (ambient IoT), Wurth Industry North America (industrial supply chain).
• ·Expanded manufacturing at Barceloneta, Puerto Rico facility.
• ·Showcased platform at Manifest 2026 (Feb 9-11, Las Vegas).
• ·Investor conference call: March 4, 2026, 4:30 p.m. ET.