S&P 500 Healthcare Sector SEC Filings — March 10, 2026

10-03-2026

Elevance Health, Inc. reaffirmed its FY2026 adjusted shareholders’ earnings guidance at least $25.50 per diluted share and benefit expense ratio of 90.2% plus or minus 50 basis points, incorporating the potential impact of CMS sanctions. These sanctions, notified on February 27, 2026, would suspend Medicare Advantage-Prescription Drug plan enrollments and certain communications effective March 31, 2026, unless resolved. The guidance reflects confidence despite this regulatory risk.

• ·CMS notified Company of sanctions intent on February 27, 2026, as reported in prior 8-K filed March 2, 2026
• ·Sanctions effective March 31, 2026, unless issues addressed
• ·No GAAP reconciliation provided for adjusted EPS guidance due to uncertain financial payments related to sanctions

10-03-2026

Climate Transition Special Opportunities SPAC I, a Cayman Islands blank check company targeting mergers in climate transition, specialty finance, renewable energy, and regenerative agriculture sectors, filed Amendment No. 3 to its S-1 registration statement for a $150M IPO of 15M units at $10 each, consisting of one Class A ordinary share and one-third of a redeemable warrant exercisable at $11.50. Net proceeds before expenses are $141M, with $150M (or $172.5M if over-allotment exercised) to be placed in trust; sponsor holds 5,675,000 founder shares after share split and transfers. No target identified yet, and investing involves high risks as noted in the prospectus.

• ·Warrants exercisable 30 days after initial business combination, expire 5 years post-combination
• ·Underwriting over-allotment option: 45 days from prospectus date
• ·Separate trading of shares and warrants expected on 52nd day post-prospectus
• ·NYSE listing intended: CLSO U (units), CLSO (shares), CLSO WS (warrants)
• ·Sponsor transferred 25,000 founder shares to each independent director (total 75,000) at ~$0.004/share

10-03-2026

Lipocine Inc. (LPCN) filed its 10-K annual report on March 10, 2026, outlining extensive risk factors including the need for substantial additional capital to fund clinical trials and operations, potential delays in regulatory approvals, and challenges in commercializing TLANDO and product candidates such as LPCN 1154, LPCN 2201, LPCN 2101, LPCN 2203, LPCN 2401, and LPCN 1148. The filing emphasizes uncertainties in achieving profitability, stock price volatility, competition in the TRT market, and risks of delisting from Nasdaq Capital Market. No financial performance data or period-over-period comparisons were detailed in the provided risk factor excerpts.

• ·Risks include FDA Advisory Committee meetings, Phase 4 study commitments, and REMS requirements
• ·Potential for product recalls, withdrawals, or litigation impacting revenues
• ·Anti-takeover provisions in amended certificate of incorporation, bylaws, and stockholder rights plan

10-03-2026

News Corporation disclosed updates to the Australian Securities Exchange (ASX) regarding its ongoing $1B stock repurchase program, which authorizes the acquisition of up to $1 billion in aggregate of Class A (NWSA) and Class B (NWS) common stock. The 8-K filing attaches Exhibits 99.1 and 99.2 containing the specific information provided to the ASX on the respective dates. No specific repurchase transactions or amounts were detailed in the filing body.

• ·Filing reports event date of March 9, 2026
• ·Securities: Class A Common Stock (NWSA, par value $0.01), Class B Common Stock (NWS, par value $0.01)

10-03-2026

Centene Corporation announced its presentation at the Barclays 28th Annual Global Healthcare Conference on March 10, 2026, where it will reaffirm 2026 full year GAAP diluted EPS guidance of greater than $1.98 and adjusted diluted EPS guidance of greater than $3.00. Separately, the company issued a notice for partial redemption of $1B aggregate principal amount of its 4.25% Notes due December 15, 2027, on March 25, 2026, leaving approximately $1.19B outstanding at 100% of principal plus accrued interest. No declines or flat performance metrics were reported.

• ·Presentation webcast available at https://event.webcasts.com/starthere.jsp?ei=1753406&tp_key=d357b0a0a7&tp_special=8; replay on www.centene.com Investors section
• ·Redemption price: 100% of principal plus accrued and unpaid interest to March 25, 2026

10-03-2026

ACRES Commercial Realty Corp's total investment portfolio reached $1.96B at December 31, 2025, with CRE whole loans comprising 91.74% ($1.80B net carrying amount). Net interest income declined 19% YoY to $33.2M from $41.2M, driven by a 24% drop in interest income primarily from 25% lower CRE whole loan volumes and yield compression from 9.01% to 7.62%, though offset somewhat by a 26% decrease in interest expense. Positively, real estate income grew 11% to $46.6M and total operating expenses fell 12% to $63.5M, boosted by a $7.7M reversal of credit loss provisions.

• ·Tax loss carryforwards as of 2024 return: REIT QRS operating $32.1M (unlimited life), capital $115.9M (5 years); TRS operating $62.0M (various), capital $20.8M (5 years).
• ·Properties held for sale: $67.5M (3.44% of portfolio) at Dec 31, 2025.
• ·Average yield on CRE whole loans declined from 9.22% in 2024 to 7.67% in 2025.
• ·Management fees - related party down 1% YoY to $6.4M.

10-03-2026

Synchrony Financial furnished Monthly Charge-Off and Delinquency Statistics as of and for each of the thirteen months ended February 28, 2026, under Item 7.01 Regulation FD Disclosure via Exhibit 99.1. The company intends to continue providing these statistics monthly, with quarterly-end data released alongside financial results announcements. No specific metrics from the statistics are detailed in the filing body.

• ·Statistics cover thirteen months ended February 28, 2026
• ·Filing intends monthly releases going forward, aligned with quarterly results for period-end months
• ·Information in Item 7.01 and Exhibit 99.1 is furnished, not filed, under Regulation FD

10-03-2026

Harvard Bioscience, Inc. entered into an amended employment agreement with CEO John Duke effective March 6, 2026, providing a $515,000 annual base salary, a $100,000 cash bonus upon successful credit facility refinancing, up to 80% incentive compensation, and a target 75,000 RSUs for 2026 post 1:10 reverse stock split. The Board appointed Mark Frost as permanent CFO and Treasurer, effective the same date, with a $375,000 base salary, up to 60% incentive compensation, and target 30,000 RSUs for 2026 post reverse stock split. Both agreements supersede prior ones and include severance benefits for certain termination events.

• ·Duke agreement term extends to July 16, 2027, with automatic two-year renewals.
• ·Frost agreement term extends to April 10, 2027, with automatic two-year renewals.
• ·Duke prior agreement dated July 16, 2025; Frost prior agreement dated April 10, 2025.
• ·Reverse stock split (1:10) effective March 13, 2026.
• ·Frost served as Interim Financial Officer from April 10, 2025, to March 6, 2026.

10-03-2026

Capital City Bank Group, Inc. (CCBG) filed Definitive Additional Proxy Materials (DEFA14A) on March 10, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. This filing serves as additional materials for proxy solicitation with no fee required. No financial metrics, performance data, or substantive changes are disclosed in the provided header content.

10-03-2026

CVG reported Q4 2025 revenue of $154.8 million, down 5.2% YoY from $163.3 million due to softer North American demand, and full-year 2025 revenue of $649.0 million, down 10.3% YoY from $723.4 million. Despite revenue declines, operating losses improved (Q4 to $1.8 million from $5.3 million), adjusted EBITDA rose 155.6% to $2.3 million in Q4, free cash flow reached $34.0 million for the full year (up $21.5 million), and debt decreased $29.1 million; however, Trim Systems and Components revenue fell 22.5% YoY while Global Electrical Systems grew 12.7%. The company named as Zoox Robotaxi low voltage wire harness strategic supplier and provided 2026 outlook of $660-700 million in net sales and $24-30 million adjusted EBITDA.

• ·Q4 2025 adjusted operating loss of $0.9 million, improved from $4.3 million in Q4 2024.
• ·Full year 2025 SG&A expenses declined $4.8 million YoY.
• ·As of Dec 31, 2025: $16.8 million U.S. revolver borrowings, $1.4 million China facility borrowings, $101.8 million availability.
• ·2026 outlook: Positive free cash flow; Construction end market low-single digit growth.

10-03-2026

Prudential Financial's Board of Directors appointed CEO Andrew Sullivan as Chairman effective March 10, 2026, succeeding Charles Lowrey, who resigned as Executive Chairman and director but will remain as a senior advisor through the end of Q2 2026 before retiring after 25 years of service. Lowrey previously served as CEO from 2018 to 2025 and Chairman from 2019 to 2025. The company reported approximately $1.6 trillion in assets under management as of December 31, 2025.

• ·Lowrey served as Executive Chairman beginning in 2025, Chief Executive Officer from 2018 to 2025, and Chairman from 2019 to 2025.
• ·Prudential has operations in the United States, Asia, Europe, and Latin America.

10-03-2026

NewtekOne, Inc. reported net income of $60.5M for the year ended December 31, 2025, up 19% YoY from $50.9M, supported by net interest income after provisions rising 50% to $21.2M and noninterest income increasing 3.5% to $224.9M. However, provision for credit losses surged 48% to $38.7M due to deteriorating credit quality, with nonaccrual loans at amortized cost climbing to 8.8% ($78.8M) from 3.9% ($24.3M) and total nonperforming assets reaching 5.8% of total assets from 4.6%. Noninterest expenses also rose 2.1% to $166.1M.

• ·Loans HFI at amortized cost grew to $894.3M from $620.4M YoY.
• ·Average interest-earning assets increased to $1.99B from $1.40B, but net interest margin improved slightly to 3.01% from 2.87%.
• ·Total goodwill and intangibles decreased slightly to $14.6M from $14.8M.
• ·NTS sold to IPM on January 2, 2025; NCL merged into NALH on May 13, 2025.

10-03-2026

CV Sciences, Inc. (OTCQB:CVSI) announced the modification of its existing outstanding notes to include a conversion feature allowing conversion into common shares at a fixed price of $0.06 per share, described as a successful debt restructuring to enhance financial flexibility and support future growth. CEO Joseph Dowling emphasized this as a transformative step strengthening the balance sheet and positioning the company for sustained profitability. The company recently launched Empowr, a plant-based protein and creatine formula, expanding its +PlusHLTH cannabinoid-free supplement line.

• ·Company offices and facilities located in San Diego, California; Grand Junction, Colorado; and Warsaw, Poland.
• ·+PlusCBD™ is the top-selling hemp-extract brand in the natural products market per SPINS data.

10-03-2026

Medicnova Inc reported first-year revenues of $0.41M in 2025 versus $0 in 2024, with operating cash usage improving to $9.8M from $10.6M and R&D expenses slightly declining to $7.2M from $7.2M. However, net loss widened 8.6% to $12.0M from $11.0M, driven by higher G&A expenses up 12% and overall operating expenses rising to $13.7M from $12.7M, while cash reserves dropped 24% to $30.8M and total assets fell 18% to $45.6M.

• ·External development expense for MN-166: $4.6M in 2025 vs $4.5M in 2024 (+3.1%)
• ·R&D personnel expense declined sharply to $1.1M from $1.6M (-28.6%)
• ·Stock-based compensation decreased to $0.83M from $1.19M (-30.4%)
• ·Interest income declined to $1.3M from $1.7M (-22%)
• ·175,000 shares issued under SEPA for $0.24M proceeds

10-03-2026

Klotho Neurosciences, Inc. authorized 50,000 shares of Series C Preferred Stock via board resolution on March 4, 2026, filed in 8-K on March 10, 2026. Each Series C share is convertible into 42,554 common shares (potential 2.13B common shares total) only after Nasdaq-required stockholder approval, with no voting or conversion rights prior. The stock carries as-converted dividends and liquidation preferences but no independent voting until approval.

• ·Stockholder Approval required for voting rights (on as-converted basis) and conversions per Nasdaq rules
• ·Liquidation notice to holders: at least 30 days prior to payment date
• ·No fractional common shares on conversion; cash payment for fractions
• ·Conversion Ratio adjusts for stock splits, combinations, reorganizations

10-03-2026

The proxy statement for Putnam Municipal Opportunities Trust and affiliated closed-end funds (Putnam Managed Municipal Income Trust, Putnam Master Intermediate Income Trust, Putnam Premier Income Trust) solicits votes to fix the number of Trustees at 8 and elect the current nominees at the annual shareholder meeting on April 17, 2026. Nominees, all current Trustees overseeing 22 closed-end funds advised by Franklin Advisers or affiliates (with Jane E. Trust overseeing 118 additional funds), include 7 independent Trustees such as Chair Eileen A. Kamerick and Robert D. Agdern. Voting is recommended FOR both proposals, with eligible shareholders as of the February 6, 2026 record date urged to participate via online, phone, or mail to avoid additional expenses.

• ·Annual meeting: April 17, 2026 at 11:00 a.m. ET, One Madison Avenue, New York, New York 10010
• ·Record Date: February 6, 2026
• ·Proxy materials mailed beginning March 10, 2026
• ·Proxy solicitation phone: 1-866-765-9033
• ·Proxy website: https://www.proxy-direct.com/fnk-34959
• ·For funds with preferred shares (Putnam Managed Municipal Income Trust, Putnam Municipal Opportunities Trust), preferred shareholders vote separately to elect two Trustees (Robert D. Agdern, Peter Mason)

10-03-2026

Cassava Sciences, Inc. adopted a Certificate of Amendment to its Restated Certificate of Incorporation, amending Article FIRST to delete and replace the corporate name previously stated as Filana Therapeutics, Inc. The amendment was approved by the Board of Directors via written consent without a stockholder vote, pursuant to Sections 242(a)(1) and 242(d)(1) of the Delaware General Corporation Law (DGCL). It becomes effective at 1:01 a.m. Eastern Time on March 10, 2026, and was signed by Richard J. Barry, President & CEO, on March 5, 2026.

• ·Filed under SEC 8-K Items 5.03, 7.01, and 9.01
• ·Effective time: 1:01 a.m. Eastern on March 10, 2026

10-03-2026

HPE reported net revenue of $9.3B for Q1 FY26, up 18% YoY from $7.9B, driven by strong growth in Products (+18% to $5.9B) and Services (+20% to $3.2B). However, net earnings attributable to HPE declined 28% YoY to $452M from $627M, impacted by higher amortization of intangibles ($311M vs $38M), R&D expenses ($744M vs $475M), and absence of a $244M gain on sale of a business in the prior year. Operating cash flow improved sharply to $1.2B from a negative $390M YoY.

• ·Cash, cash equivalents, and restricted cash decreased to $4.9B from $5.9B at start of period.
• ·Long-term debt stable at $17.7B as of Jan 31, 2026.
• ·Inventory increased QoQ to $6.9B from $6.4B.
• ·Weighted-average diluted shares: 1,356M in Q1 FY26 vs 1,409M in Q1 FY25.

10-03-2026

ProCap Financial, Inc. (BRRWW) filed a DEFA14A additional proxy statement on March 10, 2026, including standard forward-looking statements disclaimers cautioning against undue reliance and noting no duty to update unless required by law. The filing provides media contact Erica Chase and investor relations email. No financial metrics, performance data, or period comparisons are disclosed.

10-03-2026

Citius Oncology, majority-owned subsidiary of Citius Pharmaceuticals (CTXR), announced positive topline results from an investigator-initiated Phase 1 trial of LYMPHIR™ combined with KEYTRUDA® in 25 evaluable patients with relapsed/refractory gynecologic cancers, showing no unexpected safety signals and a 24% objective response rate (ORR) with 48% clinical benefit rate (CBR) in 21 efficacy-evaluable patients. The trial, led by University of Pittsburgh investigators, demonstrated potential augmented anti-tumor activity but was not powered for efficacy conclusions. Full results are expected at an international cancer conference later in 2026.

• ·LYMPHIR FDA-approved and U.S. launched in December 2025 for r/r CTCL after one prior systemic therapy.
• ·Trial doses: LYMPHIR 3-12 mcg/kg IV Days 1-3 + pembrolizumab 200 mg IV Day 1, every 21 days.
• ·LYMPHIR approved in Japan in 2021 for r/r CTCL and PTCL.

10-03-2026

Citius Oncology announced positive topline results from an investigator-initiated Phase 1 trial of LYMPHIR™ combined with KEYTRUDA® in 25 patients with relapsed/refractory gynecologic cancers, showing no unexpected safety signals and a favorable safety profile in this heavily pretreated population. Efficacy in 21 evaluable patients included a 24% objective response rate (ORR) and 48% clinical benefit rate (CBR). Full results will be presented at an international cancer conference later in 2026.

• ·LYMPHIR doses tested: 3, 6, 9, 12 mcg/kg IV on Days 1-3 of 21-day cycles with pembrolizumab 200 mg IV on Day 1.
• ·LYMPHIR FDA-approved and launched in U.S. December 2025 for relapsed/refractory CTCL.
• ·Denileukin diftitox approved in Japan 2021 for relapsed/refractory CTCL and PTCL.

10-03-2026

Matthews International Corporation issued a press release on March 10, 2026, announcing an interim arbitrator decision dated February 13, 2026, that recognizes the company's right to develop, produce, market, and sell its proprietary dry battery electrode solutions to third parties. The decision denied Tesla's requests for broad injunctive relief against these activities. This represents a favorable legal outcome for the company in the ongoing dispute.

• ·Filing includes Exhibit 99.1: Press Release dated March 10, 2026

10-03-2026

On March 5, 2026, the Board of Directors of Citizens, Inc. approved an amendment to CEO Jon Stenberg's Executive Employment Agreement to better align compensation with peer market data for retention and motivation purposes. Effective April 1, 2026, his base salary increases from $500,000 to $600,000 (20% increase); starting in 2026, target short-term incentive rises from $400,000 to $480,000 (20% increase), and long-term incentive target from $450,000 to $540,000 (20% increase). All other terms remain unchanged.

• ·Amendment filed as Exhibit 10.1.
• ·Event reported on March 5, 2026; filing dated March 10, 2026.

10-03-2026

Coca-Cola Europacific Partners plc (CCEP) disclosed purchases of 551,430 ordinary shares under its share repurchase program from March 3 to March 9, 2026, across US trading venues, London Stock Exchange, and CBOE Europe venues. Daily purchase volumes ranged from 70,000 to 188,780 shares, with volume-weighted average prices (VWAP) in USD declining from $105.43 on March 3 to $100.17-$100.48 in subsequent days. No purchases occurred on CBOE BXE or Aquis except for 4,836 shares on CXE on March 4.

• ·Highest price USD 106.7200 and lowest USD 104.3000 per share on March 3 US venues
• ·Highest GBP 80.2000 and lowest GBP 78.4000 per share on March 3 London Stock Exchange
• ·No purchases on CBOE BXE or Aquis across all dates except zero volumes noted
• ·Filing date: March 10, 2026

10-03-2026

River Financial Corp reported net income of $42.1M for the year ended December 31, 2025, up 34.4% YoY from $31.3M, fueled by net interest income growth of 28.9% to $121.7M and an improved net interest margin of 3.53% versus 3.01%. Total assets expanded 5.7% to $3.79B, with loans up 9.1% to $2.71B and deposits rising 8.5% to $3.33B. However, noninterest income fell 32.2% to $10.5M due to $10.1M in net losses on securities sales, noninterest expenses increased 11.7% to $70.3M, and asset quality metrics worsened with non-performing assets ratio at 0.35% versus 0.24% prior year.

• ·Basic EPS increased to $5.43 from $4.09 (+32.8% YoY)
• ·Efficiency ratio improved to 53.20% from 57.30%
• ·Common equity tier 1 capital ratio rose to 12.58% from 11.90%
• ·Net charge-offs to average loans at 0.13% (up from 0.11%)
• ·Dividends per share $0.54 (up from $0.50), payout ratio 9.95% (down from 12.24%)

10-03-2026

Western New England Bancorp, Inc. reported total deposits of $2.32B at December 31, 2025, up 6.6% YoY from $2.18B, with core deposits growing 7.8% to $1.63B and money market accounts up 11.7%, though demand deposits increased only modestly and core deposits remain below 2023's $1.64B. Net interest income rose 17.2% to $70.1M with NIM expanding to 2.77% from 2.47% YoY amid higher loan yields of 5.02%, however NIM trailed 2023's 2.84%, deposit costs increased to 1.83% overall, and borrowings declined to $86.3M from $103.4M. The company aims to grow revenues, book value, pay dividends, and utilize its stock repurchase plan.

• ·Demand accounts flat at ~25% of deposits across periods.
• ·Savings accounts remained nearly flat YoY at ~$187M.
• ·Time deposits grew 3.9% YoY to $693M but represented 29.9% of total (down from 30.5%).
• ·Average total assets increased to $2.71B in 2025 from $2.60B in 2024.
• ·Average equity grew to $240M in 2025 from $237M in 2024.

10-03-2026

Medallion Financial Corp's total assets grew 5% YoY to $2.86B as of December 31, 2025, driven by higher average interest-earning assets of $2.67B (up 6% YoY) and net interest income of $217M (up 7% YoY), with Recreation loans expanding 5% to $1.62B at a 13.37% yield (up from 13.30%). However, Home Improvement gross loans declined 2% YoY to $810M, net income across segments reflected pressure from elevated provisions ($74M, up 9% YoY) and charge-offs ($97M), leading to ROAA declining to 2.05% from 2.29% and ROE to 12.0% from 15.11%. Total debt outstanding stood at $2.40B, while NIM gross remained nearly flat at 8.06%.

• ·Average interest rate on brokered CDs: 3.87%; Privately placed notes: 8.12% maturing 2/26-8/39
• ·SBA debentures $85M at 3.98% maturing 3/25-3/34
• ·Trust preferred securities $33M at 6.12% maturing 9/37
• ·Recreation charge-offs $75M (2025); Home Improvement charge-offs $17M
• ·Commercial gains on equity investments $25M (2025, up from $7M)

10-03-2026

Skye Bioscience reported Q4 and FY 2025 financial results with cash and equivalents at $25.7M, sufficient through Q4 2026 excluding Phase 2b costs, but net loss widened significantly to $14.4M in Q4 (up ~48% YoY) and $55.9M for the year (up ~110% YoY) due to elevated R&D expenses of $11.5M Q4 (up ~47%) and $42.4M FY (up ~127%). Clinically, CBeyond Phase 2a showed strong combo results with 22.3% mean weight loss at 52 weeks (nimacimab + semaglutide) and ~3% incremental benefit at 26 weeks, plus over 50% lower weight regain (17.8% vs 37.3%), however monotherapy at 200mg SC achieved only -1.5% weight loss, underperforming expectations. Key milestones include CBeyond Expansion Study topline in Q4 2026 and Phase 2b design finalization.

• ·Non-cash share-based compensation: $1.6M in Q4 2025 (down from $2.1M YoY) and $7.8M FY 2025 (down from $8.3M YoY).
• ·Licensed ENHANZE® technology from Halozyme for high-volume SC administration.
• ·Preclinical APC showed efficacy matching daily combo regimen, exceeding single agents.

10-03-2026

On March 4, 2026, Donald K. Boswell, a director of Financial Institutions, Inc. and its subsidiary Five Star Bank, notified the Board of his decision not to stand for re-election at the 2026 Annual Meeting of Shareholders, with retirement effective immediately following the meeting after nine years of service. The decision reflects his intent to pursue outside interests and did not arise from any disagreement with the Company, its Board, management, or operations, policies, or practices.