Most material SEC filings — November 3, 2026

Our Bond, Inc. (market cap ~$6.7M) converted approximately $7.88M in Eastward Fund Management debt and $0.80M in Maxim Group fees into 868,209 shares of Series G Convertible Preferred Stock (stated value $10/share). The preferred stock is convertible to common stock at $2.0265/share, accrues 10% annual dividends (24% if triggering events occur), and has priority liquidation rights. Existing preferred holders (Series B-1, B-2, B-3, C, D) exchanged their securities for Series G shares under Section 3(a)(9) exemption. Eastward receives demand registration rights and cancellation of ~12,358 Series B-1 warrants.

On October 29, 2026, ADT's Board unanimously approved a definitive agreement for Thrive Holdings to acquire the company in an all-cash transaction at $10.00 per share. The transaction is expected to close in Q1 2027, subject to stockholder approval and U.S. antitrust clearance. Upon completion, ADT will become private and cease trading on NYSE. The filing also reports Q3 2026 results: total revenue $1.349B (up 4% YoY), GAAP EPS $0.20 (up 18%), adjusted EPS $0.24 (up 4%). Year-to-date, ADT returned $748M to shareholders via $617M share repurchases (89M shares) and $130M dividends.

XMax's Board authorized repurchase of up to $30 million of common stock (par $0.001/share) at prices below $5.50/share, effective after Q3 2026 earnings release and broker engagement. The 3-month program is discretionary, fundable from existing cash, and reflects management confidence in long-term AI and furniture strategy. No floor price or share count target specified.

CVR Energy Inc. (purchaser) agreed to acquire from Marathon Petroleum Company LP and affiliates (sellers): two refineries (St. Paul Park, Minnesota and Mandan, North Dakota), multiple terminals, pipeline systems, and logistics assets. Base purchase price: $3.45B from MPC sellers + $750M from MPLX sellers = $4.2B total, plus/minus working capital and inventory adjustments. Transaction dated November 2, 2026; closing targeted for December 15, 2026 or later, subject to antitrust approval and marketing period conditions.

CVR Energy announced a definitive agreement to acquire Marathon Petroleum's St. Paul Park and Mandan refineries plus marketing assets (deal terms not specified in filing). Q3 2026 net income reached $570M ($5.67/share) vs. $374M ($3.72/share) in Q3 2025; Adjusted EBITDA $582M vs. $180M. EPA granted full RFS waiver for 2025 compliance period, removing $253M liability. Declared $0.10/share dividend; CVR Partners declared $1.79/unit distribution.

On November 2, 2026, CVR Energy agreed to acquire Marathon Petroleum's Mandan (ND) and Saint Paul Park (MN) refineries (177,000 bpcd combined capacity), a 17% stake in Minnesota Pipe Line Company, and associated logistics assets for $4.2B base purchase price plus ~$0.8B working capital adjustment. Financing includes $2.5B debt (Bridge/Permanent), $1.3B equity ($800M commercial partner at ~$53.43/share, $500M from Icahn affiliate), $225M ABL draw, and redemption of $183M existing notes due 2028.

COMPASS Pathways announced final NDA submission for COMP360 (psilocybin) will be filed within two weeks for treatment-resistant depression (TRD), with launch targeted for H1 2027 subject to FDA approval. Phase 3 data from COMP005 (52-week open label) and COMP006 (6-month) showed rapid onset and durability extending to one year with additional dosing; the company holds a National Priority Voucher potentially enabling 1–2 month FDA review. Cash position strengthened to $444.0M (vs. $149.6M at year-end 2025); 9M 2026 net loss was $172.4M vs. $194.0M in 9M 2025, with SG&A expenses rising to $72.6M (vs. $44.6M prior year) due to commercialization preparation across 8,500+ treatment centers. A late-stage PTSD trial is ongoing with VA collaboration.

Cinemark reported Q3 2026 net income of $122.8 million (diluted EPS $1.04), a 148% increase from $49.5 million in Q3 2025. Total revenue rose 23.5% to $1,059.1 million ($857.5M in Q3 2025), with admissions at $530.8M and concessions at $413.9M. Adjusted EBITDA reached $267.6 million (25.3% margin), up 51% YoY. Nine-month 2026 results show net income of $255.8M vs. $104.1M, with revenue of $2,788.6M vs. $2,338.7M. The company maintains $556M in cash and deployed $70M in capex during Q3.

YUM completed Pizza Hut divestiture in two transactions: sale to Yum China (Aug 7, 2026, $1.2B) and to LongRange Capital (Sep 1, 2026, $1.2B net proceeds), generating $1.7B pre-tax gain. Q3 2026 KFC added 878 gross units (7% unit growth globally), system sales +6% ex-FX. Taco Bell U.S. declined (same-store sales -4%), though international grew 14% ex-FX. Year-to-date core operating profit grew 6% excluding Pizza Hut; YUM returned $1.8B to shareholders via dividends and buybacks.

Vital Farms reported Q3 2026 net revenue of $182.2M (down 8.4% YoY) with a net loss of $6.5M vs. $16.4M profit in Q3 2025. Gross margin collapsed to 23.1% from 37.7% due to higher input costs and oversupply-driven sales to low-margin wholesale channels. The company slashed FY2026 revenue guidance to ~$730M (from $775–$800M) and swung Adjusted EBITDA guidance to a ~$15M loss (from $0–$10M profit). Management withdrew previously issued FY2030 long-term targets. Cash position is $84M; debt increased to $117.6M via a new $120.6M Silver Point term loan and $30M JPMorgan draw.

Driven Brands identified material errors in fixed asset accounting spanning fiscal years 2023–2026 and Q2 2026, requiring restatement of all affected financial statements. Errors involve failure to timely write-off assets from sale-leaseback transactions, misclassification of fixed assets, and incorrect useful lives; management states adjustments have negligible impact on Adjusted EBITDA. The company is delaying its Q3 2026 earnings call and 10-Q filing, expanding restatement costs to at least $50M (up from $35–45M), and revising FY2026 Adjusted EBITDA guidance downward from $430–460M to $410–430M; Q3 preliminary results show Driven Brands same-store sales +2.0% and Take 5 +4.9%, with $230M cash on hand and $1.4B net debt.

Xometry reported Q3 2026 revenue of $252M (40% YoY growth) with marketplace revenue of $238M (43% growth). Marketplace gross margin expanded to 36.0% (+30 bps YoY). Adjusted EBITDA surged to $21.4M from $6.1M YoY (+$15.3M improvement). Active buyers grew 20% to 93,812; high-value accounts (≥$50K LTM spend) increased 26% to 2,172. Company raised FY2026 revenue guidance to 37%+ growth (from 33-34%) and expects $68-68.5M Adjusted EBITDA (vs $18.5M in 2025). Cash position strong at $505M.

Madrigal reported Q3 2026 Rezdiffra net sales of $431.3M (50% YoY growth), achieving blockbuster status with $1.1B year-to-date sales. The company reported net income of $55.4M ($1.83 diluted EPS)—its first profitable quarter—versus a net loss of $114.2M in Q3 2025. Patient count reached 55,850 (nearly doubled from Q3 2025), and cash position stood at $961.8M as of Sept. 30, 2026. The company initiated a new Phase 3 trial (MAESTRO-CSPH) targeting well-compensated cirrhosis (F4c) and appointed Dr. John C. Reed to the board.

UL Solutions reported Q3 2026 revenue of $823M (+5.1% YoY), with 7.0% organic growth led by Industrial and Consumer segments. Net income rose 10.4% to $117M; Adjusted EBITDA increased 8.3% to $235M with a record 28.6% margin (90 bps expansion). On October 1, 2026, UL completed its largest-ever acquisition: the Eurofins E&E electrical and electronics testing business for ~$686M cash. The company raised FY2026 organic revenue guidance to ~6.5% and maintained ~27.0% Adjusted EBITDA margin guidance (inclusive of 90 bps of transaction costs).

Precision BioSciences dosed the first patient with PBGENE-DMD (Duchenne muscular dystrophy) in August 2026 at Arkansas Children's Hospital, with initial safety data targeted for year-end 2026. PBGENE-HBV will present late-breaking oral data at AASLD Liver Meeting on November 8, 2026. Cash position of $108.0M (up from $137.2M at year-end 2025) provides runway through 2028; Q3 2026 R&D expenses were $12.7M versus $13.4M prior year.

Worksport reported preliminary Q3 2026 net sales of $7.24 million (44% YoY growth, 38% QoQ), with operating cash use of $0.37 million—a dramatic 89% reduction from Q2's $3.4 million and 95% from Q1's $8.2 million. The company converted $2.5 million of inventory into sales, reducing inventory from $12.1 million (June) to $9.6 million (September), while B2B/distribution sales reached 50% of September net sales (vs. 25% in Dec 2025). September recorded a company record $2.68 million in single-month sales; the company maintains $0.74 million estimated backlog vs. $0.12 million in Q2.

Hagerty reported nine-month 2026 written premium of $1,099M (+18% YoY) and added 402,000 new members, reaching 1.9M policies in force (+18%). Adjusted EBITDA grew 43% to $257M. The company transitioned to a 100% quota share with Markel on Jan 1, 2026 (Markel Fronting Arrangement), increasing earned premium to $757M (+42%) but reducing reported commission revenue by $319M. Net income of $32M includes $189M of transitional costs (deferred ceding commissions amortizing through 2026). Full-year guidance raised: written premium 16–17%, Adjusted EBITDA $305–$315M (vs. prior $270–$280M), net income $48–$60M (excluding ~$199M transitional costs).

Faeth Therapeutics reported Q3 2026 cash and equivalents of $174.8M (vs. $21.2M at end-2025), a net increase of $153.6M, reflecting a major capital raise. The company's lead program PIKTOR (serabelisib + sapanisertib) received FDA Fast Track designation for advanced endometrial cancer and is on track to report Phase 2 PIK-201 topline data by year-end 2026. R&D expenses increased to $11.7M (Q3 2026) from $2.5M (Q3 2025); net loss was $20.4M ($0.79/share) on 25.8M weighted-average shares outstanding.

On October 1, 2026, DISH DBS Corporation (subsidiary of EchoStar, $3.7B market cap) completed prepackaged Chapter 11 bankruptcy exit. Three supplemental indentures amended debt terms for: (1) 5.125% Senior Notes due 2029; (2) 5.25%/5.75% Senior Secured Notes due 2026/2028; (3) 7.375% Senior Notes due 2028. Key changes: mandatory redemptions triggered by 'Trust Recoveries' from DBS Claims Trust (created June 29, 2026); Available Cash Redemption requirement for 2028 Secured Notes ($15M quarterly threshold, 100% redemption price); pro-rata redemption mechanics across note series. Plan confirmed September 29, 2026 by U.S. Bankruptcy Court (S.D. Texas). No specific dollar amounts of trust recoveries disclosed in documents.

ARCHIMED Life Science Tools Services completed its acquisition of Standard BioTools' Microfluidics Business on November 3, 2026. The business now operates independently as Biomark Scientific under ARCHIMED ownership. The filing does not disclose the acquisition price, transaction terms, or financial impact to Standard BioTools.

SeaStar Medical announced November 3, 2026 that the FDA's CBER confirmed completion of post-approval study requirements for QUELIMMUNE (SCD-PED) in pediatric sepsis-associated acute kidney injury. The SAVE Registry study showed 65.1% 90-day survival in 43 QUELIMMUNE-treated pediatric patients versus 47.5% in 196 historical control patients (P=0.043), with no device-related adverse events. The FDA decision eliminates mandatory research infrastructure requirements, enabling broader hospital adoption without SAVE Registry participation, though SeaStar will continue voluntary enrollment.

OppFi withdrew applications to the OCC, Federal Reserve, and FDIC for acquiring BNCCORP Inc. and its subsidiary BNC National Bank, citing lack of articulated regulatory standards and limited engagement opportunity with federal regulators. The company reaffirmed 2026 guidance: $600–$610M revenue, $115–$120M adjusted net income, $1.34–$1.40 adjusted EPS (86M diluted shares).

On November 2, 2026, AEON Biopharma amended its two-year milestone warrants (issued July 15, 2026) with consent from holders representing ≥67% of outstanding warrant shares. Exercise price reduced from $0.3221 to $0.20 per share for common stock; pre-funded warrant exercise price set at $0.1999. Amendment applies to all outstanding warrants regardless of individual holder consent. Counterparties unnamed; total warrant share count not specified in filing.

SurgePays agreed with Zulie Venture Inc. (dba Etime system) for minimum $48 million in annual prepaid wireless purchase volume ($4 million monthly minimum) over 12 months from October 1, 2026 through September 30, 2027, with automatic annual renewal. The agreement leverages SurgePays' existing POS infrastructure and began operating in early October 2026. Company emphasized this represents transaction volume processed, not net revenue, and noted actual profit may be significantly lower.

Clarivate completed the sale of its Life Sciences & Healthcare (LS&H) segment on October 6, 2026, for net cash proceeds of $488.4 million. Post-divestiture, the company now focuses on two segments: Academia & Government (~$1.2B revenue, 95% recurring) and Intellectual Property (~$0.8B revenue, 90% recurring). Q3 2026 continuing operations revenues were $481.6M (organic growth +0.4%); adjusted EBITDA $218.2M (45.3% margin); adjusted EPS $0.21. FY2026 guidance updated: revenues $1.965–$1.985B, adjusted EBITDA $865–$885M, free cash flow $320–$340M.

Rhythm reported Q3 2026 product revenue of $92.1M (up 29% QoQ, 80% YoY), with 700+ patient start forms and 20% sequential growth in reimbursed patients globally. The company amended its LG Chem bivamelagon license, reducing future royalties from low-mid single digits to 1% in exchange for $350M in payments over four years (first $70M due within 15 business days). Simultaneously, Rhythm secured a $750M five-year term loan facility from KKR Healthcare Royalty and Blackstone Life Sciences at SOFR+460bps (1% floor), with $250M drawn initially. Cash position of $320.9M (excluding the new draw and $70M LG Chem payment due) supports 24+ months of operations. Bivamelagon advances to Phase 3 trials in acquired HO and Prader-Willi syndrome by year-end 2026; Japan commercial launch of IMCIVREE initiated October 2026.

On November 2, 2026, IEP's majority-owned subsidiary CVR Energy announced a $4.2 billion acquisition of two refineries and a marketing platform from Marathon Petroleum. The deal is valued at <3.5× pro forma 2026 EBITDA (~$1.2B), increases CVR's standalone EBITDA (~$900M) to ~$2.0B pro forma, and accrets CVR earnings per share by 105% (from $3.73 to $7.80), plus an additional $75M in projected annual synergies. IEP's Q3 2026 net loss was $225M (vs. $287M income in Q3 2025), primarily due to $522M in refining hedge losses; however, CVI's value increased ~$1.7B in the quarter to $4.2B, bringing IEP's indicative NAV to $3.5B (up $865M from June 30).

Lindblad reported Q3 2026 revenue of $269.2M (+12% YoY), net income of $24.2M ($0.36/diluted share), and Adjusted EBITDA of $64.1M (+12% YoY). The company acquired majority stakes in White Desert (Antarctic luxury travel) and Echo Charlie (aviation travel brand) for $54.6M net cash. Occupancy reached 91%, and net yield per available guest night increased 6% to $1,398. Full-year 2026 guidance: revenues $870–$885M, Adjusted EBITDA $142–$148M.

BETA Technologies reported Q3 2026 revenue of $17.7M (98% YoY growth), exceeding guidance; net loss of $119.1M; and aircraft backlog of $4.0B (1,040 aircraft). The company achieved its first FAA Special Airworthiness Certificate for market surveys on the A250 electric VTOL aircraft, enabling customer demonstration flights. Cash position increased to $1.34B from $1.71B at year-end 2025; full-year 2026 revenue guidance raised to $52–57M.

Enpro reported Q3 2026 net sales of $350.8M (up 22.4% YoY), net income of $40.3M (up 86.6%), and adjusted EBITDA of $91.3M (up 31.7%). The company raised full-year 2026 guidance: revenue to $1.33–1.34B (16–17% growth), adjusted EBITDA to $340–345M, and adjusted diluted EPS to $9.70–9.95, versus prior guidance of 14–16% revenue growth, $330–340M adjusted EBITDA, and $9.30–9.80 EPS. AST segment sales grew 25.8% organically; Sealing Technologies grew 20.5%. Nine-month free cash flow was $129.2M (vs. $104.9M prior year). Net leverage improved to 1.4x trailing twelve-month adjusted EBITDA.

Rising Dragon Acquisition Corp. and HZJL Cayman Limited mutually terminated their Merger Agreement (dated January 27, 2025) effective October 30, 2026. No termination fees are due. Rising Dragon issued nine promissory notes totaling approximately $456,816 to SZG Limited (designated payee for HZJL) between January and October 2026, ranging from $11,189 to $55,637 each. These notes survive termination and remain due upon Rising Dragon's next business combination closing; they auto-cancel if no subsequent deal closes or if a proposed deal fails for reasons not attributable to Rising Dragon. The company intends to pursue a new initial business combination within its governing document timeline.

Liberty Global completed the €1.2B acquisition of Vodafone's 50% stake in VodafoneZiggo in July 2026, consolidating the Dutch operator. Ziggo Group (VodafoneZiggo + Telenet) is on track for Q2 2027 spin-off. Non-core asset disposals target €1.2–1.4B includes €669M tower sale. Operating synergies now expected to exceed €1B NPV. VMO2 (UK, 50% JV) announced £800M cost-reduction program by 2029 with 30% people-cost cuts.

IDEAYA submitted an NDA to FDA in Q3 2026 for darovasertib plus crizotinib in metastatic uveal melanoma under the RTOR program, supported by positive Phase 2 data presented at ESMO 2026. The company decided to stop enrollment in the Phase 3 OptimUM-010 neoadjuvant trial due to site activation/enrollment challenges, realizing estimated cost savings of $100–125 million to redirect toward IDE849 and IDE892 registrational trials. Cash position: $1.15B as of September 30, 2026 (down from $1.24B on June 30, 2026); cash runway guidance into 2030 unchanged.

Xenia reported Q3 2026 net loss of $2.7M (vs. $13.7M loss in Q3 2025). Same-Property RevPAR increased 12.5% YoY to $184.75; occupancy rose 380 bps to 70.0%; ADR up 6.4% to $264. Adjusted EBITDAre grew 26.0% to $53.2M; Adjusted FFO per share surged 56.5% to $0.36. Company raised full-year 2026 guidance: Adjusted EBITDAre midpoint +$8M, Adjusted FFO per share +$0.09. Debt stood at $1.4B (5.55% weighted-average rate); liquidity $661M. Sold 85-room Kimpton RiverPlace for $11M in July.

For the six months ended September 30, 2026, Hamilton Lane reported net income attributable to the company of $157.9M (up 27% YoY) on total revenues of $479.8M (up 31% YoY). Management and advisory fees grew 18% to $325.4M; incentive fees surged 70% to $154.4M, driven by strong performance from evergreen funds ($100.2M, +102% YoY). The company declared a quarterly dividend of $0.60/share (target full-year $2.40, representing an 11% increase). AUM reached $150.8B (+4% YoY) and fee-earning AUM $86B (+12% YoY). Unrealized carried interest stands at $1.59B across 127 vehicles.

ADM reported Q3 2026 adjusted EPS of $1.77 (vs. $0.92 prior year) with segment operating profit of $1.382 billion (64% YoY increase). The company raised full-year 2026 adjusted EPS guidance from $5.15-$5.60 to $5.50-$5.80, driven by strong biofuels margins, robust North American ethanol performance, and constructive crush margins. Ag Services & Oilseeds segment operating profit surged 105% to $778 million; Carbohydrate Solutions rose 40% to $470 million. Capital expenditure guidance was reduced from $1.3-$1.5 billion to $1.2-$1.3 billion, reflecting high-return investment prioritization.

Upstart reported Q3 2026 results with $4.1B originations (44% YoY growth), $371M revenue (34% YoY), and record $218M contribution profit (48% YoY). Net income grew 15% YoY to $36.6M ($0.33 diluted EPS). Crucially, secured products (auto/home) achieved positive 17% contribution margin, reaching profitability one quarter ahead of schedule. Full-year 2026 guidance: $1.35B total revenue, $260M adjusted EBITDA (19% margin). CEO acknowledged macro headwinds pressuring near-term outlook but expressed confidence in long-term trajectory.

AdaptHealth cleared Hart-Scott-Rodino approval for the $235.0 million cash sale of its Diabetes Health business to an unspecified buyer, expected to close in early 2027. The company recorded a $184.8 million pre-tax goodwill impairment charge in Q3 2026 (primarily affecting Respiratory Health and Wellness at Home segments). Q3 revenue grew 10.9% to $745.6 million; adjusted EBITDA declined 2.9% to $141.9 million; free cash flow fell sharply year-to-date to $2.6 million vs. $140.1 million in 2025. Management revised full-year 2026 guidance: revenue $2.88–$2.90 billion (slight increase), adjusted EBITDA $510–$525 million (modest increase), but free cash flow guidance cut to $50–$75 million (from $80–$120 million).

HNI reported Q3 2026 GAAP diluted EPS of $1.23 (+39.8% YoY) and non-GAAP diluted EPS of $1.62 (+47.3% YoY) on consolidated net sales of $1,592.9 million (+133% YoY). The Steelcase acquisition (closed December 2025) contributed $870.6 million in sales and drove earnings growth, though organic sales rose only 5.6%. Steelcase synergies are now expected to exceed $130 million (vs. original $120 million target), with $70 million cumulative capture expected by end of 2027. Legacy HNI non-GAAP operating margin expanded 390 basis points to 16%. Management guides 2026 non-GAAP diluted EPS growth of 20–25% and expects double-digit EPS growth in 2027.

Ryman Hospitality Properties completed acquisition of 1,592-room Grande Lakes Orlando Resort on September 1, 2026, funded by public offering of 5.9 million shares at $117/share and $700 million of 6.250% notes due 2035. Q3 2026 consolidated revenue reached record $655.8 million; same-store Hospitality RevPAR grew 7.9% YoY. Company raised full-year 2026 guidance midpoints: same-store Hospitality RevPAR growth to 5.0% (from 4.0%), consolidated Adjusted EBITDAre to $933.5M (from $926.5M), and Adjusted FFO per diluted share to $9.29 (from $9.08).