iCapital Millennium Fund II, Ltd. filed a Form D with the SEC on Sept. 30, 2026. It reports $830,667,000 of interests sold to 905 investors, with the first sale dated Sept. 9, 2026.
\nThe total is cumulative since the first sale.
\nThe vehicle is named for Millennium.
\nRelated persons named in the filing:
\nThe SEC posted litigation release LR-26659 on Sept. 30, 2026.
\nThe SEC alleges, in the release's words: \"According to the SEC's complaint, in a series of schemes from at least December 2021 to the present, the defendants violated their fiduciary duties by misusing client fund assets, and lied to the underlying investors in the funds.\"
\nMeyer Global Management LLC has not been found liable on these allegations.
", "text": "The SEC posted litigation release LR-26659 on Sept. 30, 2026.\n\nThe SEC alleges, in the release's words: \"According to the SEC's complaint, in a series of schemes from at least December 2021 to the present, the defendants violated their fiduciary duties by misusing client fund assets, and lied to the underlying investors in the funds.\"\n\nMeyer Global Management LLC has not been found liable on these allegations." }, "claims": [ { "evidence": "U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26659 / September 30, 2026 Securities and Exchange Commission v. Owen E.H. Meyer and Meyer Global Management LLC , No. 26-cv-08607 (S.D.N.Y. filed Sept. 30, 2026) SEC Charges Meyer Global Management and its CEO with Defrauding Retail Investors in Private Funds that Held Interests in SpaceX and Other Pre-IPO Securities On September 30, 2026, the Securities and Exchange Commission charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO securities.", "kind": "charges", "receipt": "LR-26659" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "The release describes Meyer Global Management LLC as a private fund adviser.", "desk": "regulatory", "desk_label": "Regulatory Actions", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Meyer Global Management LLC", "role": "respondent" } ], "facts": [ { "key": "respondent", "receipt": "LR-26659", "source": { "path": "text", "value": "Meyer Global Management LLC" }, "text": "Meyer Global Management LLC" }, { "key": "release_no", "receipt": "LR-26659", "source": { "path": "index:Release No.", "value": "LR-26659" }, "text": "LR-26659" }, { "key": "release_date", "receipt": "LR-26659", "source": { "path": "index:date", "value": "2026-09-30" }, "text": "Sept. 30, 2026" }, { "key": "descriptor", "receipt": "LR-26659", "source": { "model_proposed": true, "path": "text", "value": "private fund adviser" }, "text": "private fund adviser" }, { "key": "conduct_phrase", "receipt": "LR-26659", "source": { "model_proposed": true, "path": "text", "value": "misappropriation schemes" }, "text": "misappropriation schemes" }, { "key": "allegation_quote", "receipt": "LR-26659", "source": { "model_proposed": true, "path": "text", "value": "According to the SEC's complaint, in a series of schemes from at least December 2021 to the present, the defendants violated their fiduciary duties by misusing client fund assets, and lied to the underlying investors in the funds." }, "text": "According to the SEC's complaint, in a series of schemes from at least December 2021 to the present, the defendants violated their fiduciary duties by misusing client fund assets, and lied to the underlying investors in the funds." } ], "guid": "tag:alphanume.com,2026:news:s_sbpidtw6xwf3", "headline": "SEC charges Meyer Global Management LLC over alleged misappropriation schemes", "id": "s_sbpidtw6xwf3", "kind": "story", "legal": { "allegation": true, "stage": "charged" }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "regulatory_summary.v3", "purpose": "regulatory_summary" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-10-01T00:42:15+00:00", "reviewers": 2 }, "template": "regulatory_action.v4" }, "published_at": "2026-10-01T00:42:15+00:00", "receipts": [ { "filed": "2026-09-30", "form": "sec-lr", "id": "LR-26659", "label": "SEC litigation release LR-26659", "source": "sec_release", "type": "sec_release_no", "type_label": "SEC release", "url": "https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26659" } ], "record_date": "2026-09-30", "schema": "alphanume.news/item/v1", "slug": "sec-charges-meyer-global-management-llc-over-alleged-misappropriation-schemes", "status": "published", "type": "sec_litigation", "updated_at": "2026-10-01T00:42:15+00:00", "version": 1, "url": "https://news.alphanume.com/stories/sec-charges-meyer-global-management-llc-over-alleged-misappropriation-schemes", "api_url": "https://news.alphanume.com/api/v1/stories/s_sbpidtw6xwf3" }, { "body": { "html": "Lighthouse Omphalos Fund Ltd filed a Form D with the SEC on Sept. 30, 2026. The filing reports $10,000,000 of interests sold to 4 investors, with the first sale dated Aug. 1, 2026.
\nThe fund was formed in 2026.
\nThe filing names these related persons:
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "Lighthouse Omphalos Fund Ltd filed a Form D with the SEC on Sept. 30, 2026. The filing reports $10,000,000 of interests sold to 4 investors, with the first sale dated Aug. 1, 2026.\n\nThe fund was formed in 2026.\n\nThe filing names these related persons:\n\n- Lighthouse Omphalos Partners, LLC: Investment Manager\n- Lighthouse Investment Partners, LLC: Owner of the Investment Manager\n- Sean G. McGould: Executive Officer\n- Benjamin c. Browning: Executive Officer, Director\n- Robert P. Swan, III: Executive Officer\n- Matt Aureimma: Director\n- Georgia Prinsloo: Director\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [ { "evidence": "2026", "kind": "new_hedge_fund", "receipt": "0000905148-26-004303" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 30, 2026 reports $10,000,000 of fund interests sold since a first sale on Aug. 1, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2144286" }, "in_headline": true, "name": "Lighthouse Omphalos Fund Ltd", "role": "issuer" } ], "facts": [ { "key": "fund", "receipt": "0000905148-26-004303", "source": { "path": "primaryIssuer/entityName", "value": "Lighthouse Omphalos Fund Ltd" }, "text": "Lighthouse Omphalos Fund Ltd" }, { "key": "amount_short", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "10000000" }, "text": "$10M" }, { "key": "amount_full", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "10000000" }, "text": "$10,000,000" }, { "key": "investors", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "4" }, "text": "four" }, { "key": "investors_digits", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "4" }, "text": "4" }, { "key": "filed_date", "receipt": "0000905148-26-004303", "source": { "value": "2026-09-30" }, "text": "Sept. 30, 2026" }, { "key": "first_sale_date", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-08-01" }, "text": "Aug. 1, 2026" }, { "key": "year_of_inc", "receipt": "0000905148-26-004303", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2026" }, "text": "2026" }, { "key": "person_0", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "Lighthouse", "Omphalos", "Partners,", "LLC" ] }, "text": "Lighthouse Omphalos Partners, LLC" }, { "key": "person_0_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Investment Manager" }, "text": "Investment Manager" }, { "key": "person_1", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "values": [ "Lighthouse", "Investment", "Partners,", "LLC" ] }, "text": "Lighthouse Investment Partners, LLC" }, { "key": "person_1_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "value": "Owner of the Investment Manager" }, "text": "Owner of the Investment Manager" }, { "key": "person_2", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "values": [ "Sean", "G.", "McGould" ] }, "text": "Sean G. McGould" }, { "key": "person_2_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "value": "Executive Officer" }, "text": "Executive Officer" }, { "key": "person_3", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[4]", "values": [ "Benjamin", "c.", "Browning" ] }, "text": "Benjamin c. Browning" }, { "key": "person_3_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[4]", "values": [ "Executive Officer", "Director" ] }, "text": "Executive Officer, Director" }, { "key": "person_4", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[5]", "values": [ "Robert", "P.", "Swan,", "III" ] }, "text": "Robert P. Swan, III" }, { "key": "person_4_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[5]", "value": "Executive Officer" }, "text": "Executive Officer" }, { "key": "person_5", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[6]", "values": [ "Matt", "Aureimma" ] }, "text": "Matt Aureimma" }, { "key": "person_5_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[6]", "value": "Director" }, "text": "Director" }, { "key": "person_6", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[7]", "values": [ "Georgia", "Prinsloo" ] }, "text": "Georgia Prinsloo" }, { "key": "person_6_role", "receipt": "0000905148-26-004303", "source": { "path": "relatedPersonsList/relatedPersonInfo[7]", "value": "Director" }, "text": "Director" }, { "key": "fund_short", "receipt": "0000905148-26-004303", "source": { "path": "primaryIssuer/entityName", "value": "Lighthouse Omphalos Fund" }, "text": "Lighthouse Omphalos Fund" }, { "key": "fund_plain", "receipt": "0000905148-26-004303", "source": { "path": "primaryIssuer/entityName", "value": "Lighthouse Omphalos Fund" }, "text": "Lighthouse Omphalos Fund" }, { "key": "first_sale_year", "receipt": "0000905148-26-004303", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-08-01" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_x2voyfvuevis", "headline": "New hedge fund Lighthouse Omphalos Fund took in $10M from four investors, Form D shows", "id": "s_x2voyfvuevis", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-10-01T00:41:04+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-10-01T00:41:04+00:00", "receipts": [ { "cik": "2144286", "filed": "2026-09-30", "form": "D", "id": "0000905148-26-004303", "label": "Form D accession 0000905148-26-004303", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2144286/000090514826004303/0000905148-26-004303-index.htm" } ], "record_date": "2026-09-30", "schema": "alphanume.news/item/v1", "slug": "new-hedge-fund-lighthouse-omphalos-fund-took-in-10m-from-four-investors-form-d", "status": "published", "type": "formd_new_fund", "updated_at": "2026-10-01T00:41:04+00:00", "version": 1, "url": "https://news.alphanume.com/stories/new-hedge-fund-lighthouse-omphalos-fund-took-in-10m-from-four-investors-form-d", "api_url": "https://news.alphanume.com/api/v1/stories/s_x2voyfvuevis" }, { "body": { "html": "Legion Partners Asset Management, LLC filed a Schedule 13D amendment on Sept. 28, 2026 reporting beneficial ownership of 6,991,719 shares of Lifecore Biomedical, Inc. Common Stock, par value $0.001 per share, or 17.3% of the class. The filing gives Sept. 27, 2026 as the date of the event that required it.
\nIn Item 4, the filing says: \"On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent.\"
\nThe filing is made jointly with Legion Partners, L.P. I, Legion Partners, L.P. II, Legion Partners, LLC, Legion Partners Holdings, LLC and others.
", "text": "Legion Partners Asset Management, LLC filed a Schedule 13D amendment on Sept. 28, 2026 reporting beneficial ownership of 6,991,719 shares of Lifecore Biomedical, Inc. Common Stock, par value $0.001 per share, or 17.3% of the class. The filing gives Sept. 27, 2026 as the date of the event that required it.\n\nIn Item 4, the filing says: \"On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent.\"\n\nThe filing is made jointly with Legion Partners, L.P. I, Legion Partners, L.P. II, Legion Partners, LLC, Legion Partners Holdings, LLC and others." }, "claims": [ { "evidence": "On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent.", "kind": "supports_deal", "receipt": "0000921895-26-002661" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Legion Partners Asset Management, LLC reports 6,991,719 shares in a Schedule 13D amendment filed Sept. 28, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Legion Partners", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons (matcher)", "value": "Legion Partners, L.P. I" }, "text": "Legion Partners" }, { "key": "filer", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]/reportingPersonName", "value": "Legion Partners Asset Management, LLC" }, "text": "Legion Partners Asset Management, LLC" }, { "key": "issuer", "receipt": "0000921895-26-002661", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "LIFECORE BIOMEDICAL, INC. \\DE\\" }, "text": "Lifecore Biomedical, Inc." }, { "key": "pct", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]/percentOfClass", "value": "17.3" }, "text": "17.3%" }, { "key": "shares", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]/aggregateAmountOwned", "value": "6991719.00" }, "text": "6,991,719" }, { "key": "filed_date", "receipt": "0000921895-26-002661", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-28" }, "text": "Sept. 28, 2026" }, { "key": "event_date", "receipt": "0000921895-26-002661", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/27/2026" }, "text": "Sept. 27, 2026" }, { "key": "purpose_quote", "receipt": "0000921895-26-002661", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent." }, "text": "On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent." }, { "key": "demand_phrase", "receipt": "0000921895-26-002661", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "a voting and support agreement" }, "text": "a voting and support agreement" }, { "key": "agreement", "receipt": "0000921895-26-002661", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "voting and support agreement" }, "text": "voting and support agreement" }, { "key": "deal", "receipt": "0000921895-26-002661", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "Merger" }, "text": "merger" }, { "key": "deal_quote", "receipt": "0000921895-26-002661", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent." }, "text": "On September 27, 2026, in connection with the execution of the Merger Agreement, the Reporting Persons entered into a voting and support agreement (the \"Voting Agreement\") with the Issuer and Parent." }, { "key": "co_filer_0", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "Legion Partners, L.P. I" }, "text": "Legion Partners, L.P. I" }, { "key": "co_filer_1", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Legion Partners, L.P. II" }, "text": "Legion Partners, L.P. II" }, { "key": "co_filer_2", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Legion Partners, LLC" }, "text": "Legion Partners, LLC" }, { "key": "co_filer_3", "receipt": "0000921895-26-002661", "source": { "path": "formData/reportingPersons/reportingPersonInfo[5]", "value": "Legion Partners Holdings, LLC" }, "text": "Legion Partners Holdings, LLC" }, { "key": "security", "receipt": "0000921895-26-002661", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.001 per share" }, "text": "Common Stock, par value $0.001 per share" } ], "guid": "tag:alphanume.com,2026:news:s_uplh2zgdke4t", "headline": "Legion Partners signs a voting and support agreement for Lifecore Biomedical, Inc.'s merger, amended 13D shows", "id": "s_uplh2zgdke4t", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-30T17:22:45+00:00", "reviewers": 2 }, "template": "activist_13d.v8" }, "published_at": "2026-09-30T17:22:46+00:00", "receipts": [ { "cik": "1005286", "filed": "2026-09-28", "form": "SCHEDULE 13D/A", "id": "0000921895-26-002661", "label": "Schedule 13D accession 0000921895-26-002661", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1005286/000092189526002661/0000921895-26-002661-index.htm" } ], "record_date": "2026-09-28", "schema": "alphanume.news/item/v1", "slug": "legion-partners-signs-a-voting-and-support-agreement-for-lifecore-biomedical-inc", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:22:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/legion-partners-signs-a-voting-and-support-agreement-for-lifecore-biomedical-inc", "api_url": "https://news.alphanume.com/api/v1/stories/s_uplh2zgdke4t" }, { "body": { "html": "Oasis Management Co Ltd. filed a Schedule 13D amendment on Sept. 29, 2026 reporting beneficial ownership of 3,222,085 shares of Vail Resorts Inc Common Stock, par value $0.01 per share, or 9.0% of the class. The filing gives Sept. 25, 2026 as the date of the event that required it.
\nIts previous Schedule 13D, filed Sept. 22, 2026, reported 7.4%.
\nThe filing is made jointly with Seth Fischer, Robert Chapek, M. Ashton Hudson, Bryce Roberts and others.
", "text": "Oasis Management Co Ltd. filed a Schedule 13D amendment on Sept. 29, 2026 reporting beneficial ownership of 3,222,085 shares of Vail Resorts Inc Common Stock, par value $0.01 per share, or 9.0% of the class. The filing gives Sept. 25, 2026 as the date of the event that required it.\n\nIts previous Schedule 13D, filed Sept. 22, 2026, reported 7.4%.\n\nThe filing is made jointly with Seth Fischer, Robert Chapek, M. Ashton Hudson, Bryce Roberts and others." }, "claims": [ { "evidence": "7.4", "kind": "lifts_stake", "receipt": "0000902664-26-003894" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Oasis Management Co Ltd. reports 3,222,085 shares in a Schedule 13D amendment filed Sept. 29, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Oasis Management", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons (matcher)", "value": "Oasis Management Co Ltd." }, "text": "Oasis Management" }, { "key": "filer", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Oasis Management Co Ltd." }, "text": "Oasis Management Co Ltd." }, { "key": "issuer", "receipt": "0000902664-26-003970", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "VAIL RESORTS INC" }, "text": "Vail Resorts Inc" }, { "key": "pct", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "9.0" }, "text": "9.0%" }, { "key": "shares", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "3222085.00" }, "text": "3,222,085" }, { "key": "filed_date", "receipt": "0000902664-26-003970", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-29" }, "text": "Sept. 29, 2026" }, { "key": "event_date", "receipt": "0000902664-26-003970", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/25/2026" }, "text": "Sept. 25, 2026" }, { "key": "prior_pct", "receipt": "0000902664-26-003894", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "7.4" }, "text": "7.4%" }, { "key": "prior_date", "receipt": "0000902664-26-003894", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-22" }, "text": "Sept. 22, 2026" }, { "key": "co_filer_0", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Seth Fischer" }, "text": "Seth Fischer" }, { "key": "co_filer_1", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Robert Chapek" }, "text": "Robert Chapek" }, { "key": "co_filer_2", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]", "value": "M. Ashton Hudson" }, "text": "M. Ashton Hudson" }, { "key": "co_filer_3", "receipt": "0000902664-26-003970", "source": { "path": "formData/reportingPersons/reportingPersonInfo[5]", "value": "Bryce Roberts" }, "text": "Bryce Roberts" }, { "key": "security", "receipt": "0000902664-26-003970", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.01 per share" }, "text": "Common Stock, par value $0.01 per share" } ], "guid": "tag:alphanume.com,2026:news:s_evuns5zz3aqb", "headline": "Oasis Management lifts its Vail Resorts Inc stake to 9.0% from 7.4%, amended 13D shows", "id": "s_evuns5zz3aqb", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-30T17:22:08+00:00", "reviewers": 2 }, "template": "activist_13d.v8" }, "published_at": "2026-09-30T17:22:09+00:00", "receipts": [ { "cik": "1317904", "filed": "2026-09-22", "form": "SCHEDULE 13D/A", "id": "0000902664-26-003894", "label": "Prior Schedule 13D accession 0000902664-26-003894", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1317904/000090266426003894/0000902664-26-003894-index.htm" }, { "cik": "1317904", "filed": "2026-09-29", "form": "SCHEDULE 13D/A", "id": "0000902664-26-003970", "label": "Schedule 13D accession 0000902664-26-003970", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1317904/000090266426003970/0000902664-26-003970-index.htm" } ], "record_date": "2026-09-29", "schema": "alphanume.news/item/v1", "slug": "oasis-management-lifts-its-vail-resorts-inc-stake-to-9-0-from-7-4-amended-13d", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:22:09+00:00", "version": 1, "url": "https://news.alphanume.com/stories/oasis-management-lifts-its-vail-resorts-inc-stake-to-9-0-from-7-4-amended-13d", "api_url": "https://news.alphanume.com/api/v1/stories/s_evuns5zz3aqb" }, { "body": { "html": "Saba Capital Management, L.P. filed a Schedule 13D on Sept. 30, 2026 reporting beneficial ownership of 2,519,703 shares of Virtus Total Return Fund Inc. Common Shares, $0.001 par value, or 5.04% of the class. The filing gives Sept. 28, 2026 as the date of the event that required it.
\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"Furthermore, the Reporting Person may seek to influence the Issuer to engage in share buy-backs, tenders, and liquidations and/or to change its governance, investment strategy and/or investment manager (which may be the Reporting Person).\"
\nThe filing is made jointly with Boaz R. Weinstein, Saba Capital Management GP, LLC.
", "text": "Saba Capital Management, L.P. filed a Schedule 13D on Sept. 30, 2026 reporting beneficial ownership of 2,519,703 shares of Virtus Total Return Fund Inc. Common Shares, $0.001 par value, or 5.04% of the class. The filing gives Sept. 28, 2026 as the date of the event that required it.\n\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"Furthermore, the Reporting Person may seek to influence the Issuer to engage in share buy-backs, tenders, and liquidations and/or to change its governance, investment strategy and/or investment manager (which may be the Reporting Person).\"\n\nThe filing is made jointly with Boaz R. Weinstein, Saba Capital Management GP, LLC." }, "claims": [], "contact": "research@alphanume.com", "corrections": [], "dek": "Saba Capital Management, L.P. reports 2,519,703 shares in a Schedule 13D filed Sept. 30, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Saba Capital", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons (matcher)", "value": "Saba Capital Management, L.P." }, "text": "Saba Capital" }, { "key": "filer", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Saba Capital Management, L.P." }, "text": "Saba Capital Management, L.P." }, { "key": "issuer", "receipt": "0001062993-26-005116", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "Virtus Total Return Fund Inc." }, "text": "Virtus Total Return Fund Inc." }, { "key": "pct", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "5.04" }, "text": "5.04%" }, { "key": "shares", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "2519703" }, "text": "2,519,703" }, { "key": "filed_date", "receipt": "0001062993-26-005116", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-30" }, "text": "Sept. 30, 2026" }, { "key": "event_date", "receipt": "0001062993-26-005116", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/28/2026" }, "text": "Sept. 28, 2026" }, { "key": "purpose_quote", "receipt": "0001062993-26-005116", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "Furthermore, the Reporting Person may seek to influence the Issuer to engage in share buy-backs, tenders, and liquidations and/or to change its governance, investment strategy and/or investment manager (which may be the Reporting Person)." }, "text": "Furthermore, the Reporting Person may seek to influence the Issuer to engage in share buy-backs, tenders, and liquidations and/or to change its governance, investment strategy and/or investment manager (which may be the Reporting Person)." }, { "key": "demand_phrase", "receipt": "0001062993-26-005116", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "share buy-backs, tenders, and liquidations" }, "text": "share buy-backs, tenders, and liquidations" }, { "key": "co_filer_0", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Boaz R. Weinstein" }, "text": "Boaz R. Weinstein" }, { "key": "co_filer_1", "receipt": "0001062993-26-005116", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Saba Capital Management GP, LLC" }, "text": "Saba Capital Management GP, LLC" }, { "key": "security", "receipt": "0001062993-26-005116", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Shares, $0.001 par value" }, "text": "Common Shares, $0.001 par value" } ], "guid": "tag:alphanume.com,2026:news:s_wchkb4czkymw", "headline": "Saba Capital discloses a 5.04% stake in Virtus Total Return Fund Inc., 13D shows", "id": "s_wchkb4czkymw", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-30T17:21:21+00:00", "reviewers": 2 }, "template": "activist_13d.v8" }, "published_at": "2026-09-30T17:21:21+00:00", "receipts": [ { "cik": "1510281", "filed": "2026-09-30", "form": "SCHEDULE 13D", "id": "0001062993-26-005116", "label": "Schedule 13D accession 0001062993-26-005116", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1510281/000106299326005116/0001062993-26-005116-index.htm" } ], "record_date": "2026-09-30", "schema": "alphanume.news/item/v1", "slug": "saba-capital-discloses-a-5-04-stake-in-virtus-total-return-fund-inc-13d-shows", "status": "published", "type": "activist_13d_initial", "updated_at": "2026-09-30T17:21:21+00:00", "version": 1, "url": "https://news.alphanume.com/stories/saba-capital-discloses-a-5-04-stake-in-virtus-total-return-fund-inc-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_wchkb4czkymw" }, { "body": { "html": "Long River Partners LLC filed a Form D with the SEC on Sept. 29, 2026. The filing reports $20,150,000 of interests sold to 7 investors, with the first sale dated Sept. 15, 2026.
\nThe total is cumulative since the first sale.
\nThe fund was formed in 2024.
\nThe filing names these related persons:
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "Long River Partners LLC filed a Form D with the SEC on Sept. 29, 2026. The filing reports $20,150,000 of interests sold to 7 investors, with the first sale dated Sept. 15, 2026.\n\nThe total is cumulative since the first sale.\n\nThe fund was formed in 2024.\n\nThe filing names these related persons:\n\n- Long River Partners GP LLC: Long River Partners GP LLC is the managing member of the issuer\n- Long River Partners Management LLC: Long River Partners Management LLC is the investment manager of the issuer\n- Du Yunsong: Related person is the manager and chief executive officer to the managing member of the issuer\n- Fang Yihan: Related person is the chief operating officer to the managing member of the issuer\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 29, 2026 reports $20,150,000 of fund interests sold since a first sale on Sept. 15, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2154202" }, "in_headline": true, "name": "Long River Partners LLC", "role": "issuer" } ], "facts": [ { "key": "fund", "receipt": "0001213900-26-104644", "source": { "path": "primaryIssuer/entityName", "value": "Long River Partners LLC" }, "text": "Long River Partners LLC" }, { "key": "amount_short", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "20150000" }, "text": "$20.1M" }, { "key": "amount_full", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "20150000" }, "text": "$20,150,000" }, { "key": "investors", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "7" }, "text": "seven" }, { "key": "investors_digits", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "7" }, "text": "7" }, { "key": "filed_date", "receipt": "0001213900-26-104644", "source": { "value": "2026-09-29" }, "text": "Sept. 29, 2026" }, { "key": "first_sale_date", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-15" }, "text": "Sept. 15, 2026" }, { "key": "year_of_inc", "receipt": "0001213900-26-104644", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2024" }, "text": "2024" }, { "key": "person_0", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "Long", "River", "Partners", "GP", "LLC" ] }, "text": "Long River Partners GP LLC" }, { "key": "person_0_role", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Long River Partners GP LLC is the managing member of the issuer" }, "text": "Long River Partners GP LLC is the managing member of the issuer" }, { "key": "person_1", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "values": [ "Long", "River", "Partners", "Management", "LLC" ] }, "text": "Long River Partners Management LLC" }, { "key": "person_1_role", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "value": "Long River Partners Management LLC is the investment manager of the issuer" }, "text": "Long River Partners Management LLC is the investment manager of the issuer" }, { "key": "person_2", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "values": [ "Du", "Yunsong" ] }, "text": "Du Yunsong" }, { "key": "person_2_role", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "value": "Related person is the manager and chief executive officer to the managing member of the issuer" }, "text": "Related person is the manager and chief executive officer to the managing member of the issuer" }, { "key": "person_3", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[4]", "values": [ "Fang", "Yihan" ] }, "text": "Fang Yihan" }, { "key": "person_3_role", "receipt": "0001213900-26-104644", "source": { "path": "relatedPersonsList/relatedPersonInfo[4]", "value": "Related person is the chief operating officer to the managing member of the issuer" }, "text": "Related person is the chief operating officer to the managing member of the issuer" }, { "key": "fund_short", "receipt": "0001213900-26-104644", "source": { "path": "primaryIssuer/entityName", "value": "Long River Partners" }, "text": "Long River Partners" }, { "key": "fund_plain", "receipt": "0001213900-26-104644", "source": { "path": "primaryIssuer/entityName", "value": "Long River Partners" }, "text": "Long River Partners" }, { "key": "first_sale_year", "receipt": "0001213900-26-104644", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-15" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_nvvfjxvptybq", "headline": "Long River Partners reports $20.1M sold to seven investors since 2026, Form D shows", "id": "s_nvvfjxvptybq", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "formd_classify.v1", "purpose": "formd_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-30T17:19:45+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-09-30T17:19:46+00:00", "receipts": [ { "cik": "2154202", "filed": "2026-09-29", "form": "D", "id": "0001213900-26-104644", "label": "Form D accession 0001213900-26-104644", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2154202/000121390026104644/0001213900-26-104644-index.htm" } ], "record_date": "2026-09-29", "schema": "alphanume.news/item/v1", "slug": "long-river-partners-reports-20-1m-sold-to-seven-investors-since-2026-form-d", "status": "published", "type": "formd_new_fund", "updated_at": "2026-09-30T17:19:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/long-river-partners-reports-20-1m-sold-to-seven-investors-since-2026-form-d", "api_url": "https://news.alphanume.com/api/v1/stories/s_nvvfjxvptybq" }, { "body": { "html": "The SEC posted the administrative proceeding on Sept. 28, 2026.
\nFrom the order: \"Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting the findings herein, except as to the Commission's jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (\"Order\"), as set forth below.\"
\nAccording to the order: \"This proceeding concerns breaches of fiduciary duty by Zoe Financial, a registered investment adviser, for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients.\"
", "text": "The SEC posted the administrative proceeding on Sept. 28, 2026.\n\nFrom the order: \"Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting the findings herein, except as to the Commission's jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (\"Order\"), as set forth below.\"\n\nAccording to the order: \"This proceeding concerns breaches of fiduciary duty by Zoe Financial, a registered investment adviser, for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients.\"" }, "claims": [ { "evidence": "Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting the findings herein, except as to the Commission's jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (\"Order\"), as set forth below.", "kind": "settles", "receipt": "IA-7019" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "The release describes Zoe Financial, Inc. as a registered investment adviser.", "desk": "regulatory", "desk_label": "Regulatory Actions", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Zoe Financial, Inc.", "role": "respondent" } ], "facts": [ { "key": "respondent", "receipt": "IA-7019", "source": { "path": "text", "value": "Zoe Financial, Inc." }, "text": "Zoe Financial, Inc." }, { "key": "release_date", "receipt": "IA-7019", "source": { "path": "index:date", "value": "2026-09-28" }, "text": "Sept. 28, 2026" }, { "key": "descriptor", "receipt": "IA-7019", "source": { "model_proposed": true, "path": "text", "value": "registered investment adviser" }, "text": "registered investment adviser" }, { "key": "conduct_phrase", "receipt": "IA-7019", "source": { "model_proposed": true, "path": "text", "value": "breaches of fiduciary duty" }, "text": "breaches of fiduciary duty" }, { "key": "allegation_quote", "receipt": "IA-7019", "source": { "model_proposed": true, "path": "text", "value": "This proceeding concerns breaches of fiduciary duty by Zoe Financial, a registered investment adviser, for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients." }, "text": "This proceeding concerns breaches of fiduciary duty by Zoe Financial, a registered investment adviser, for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients." }, { "key": "settle_sentence", "receipt": "IA-7019", "source": { "path": "text (sentence)", "value": "Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting the findings herein, except as to the Commission's jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (\"Order\"), as set forth below." }, "text": "Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting the findings herein, except as to the Commission's jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (\"Order\"), as set forth below." } ], "guid": "tag:alphanume.com,2026:news:s_vygk2yxk2sje", "headline": "Zoe Financial, Inc. settles SEC charges over alleged breaches of fiduciary duty", "id": "s_vygk2yxk2sje", "kind": "story", "legal": { "allegation": true, "stage": "settled_no_admit" }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "regulatory_summary.v3", "purpose": "regulatory_summary" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-30T17:19:13+00:00", "reviewers": 2 }, "template": "regulatory_action.v4" }, "published_at": "2026-09-30T17:19:13+00:00", "receipts": [ { "filed": "2026-09-28", "form": "sec-ap", "id": "IA-7019", "label": "SEC administrative proceeding IA-7019", "source": "sec_release", "type": "sec_release_no", "type_label": "SEC release", "url": "https://www.sec.gov/files/litigation/admin/2026/ia-7019.pdf" } ], "record_date": "2026-09-28", "schema": "alphanume.news/item/v1", "slug": "zoe-financial-inc-settles-sec-charges-over-alleged-breaches-of-fiduciary-duty", "status": "published", "type": "sec_admin", "updated_at": "2026-09-30T17:19:13+00:00", "version": 1, "url": "https://news.alphanume.com/stories/zoe-financial-inc-settles-sec-charges-over-alleged-breaches-of-fiduciary-duty", "api_url": "https://news.alphanume.com/api/v1/stories/s_vygk2yxk2sje" }, { "body": { "html": "AQR Flex 1 Series LLC - Series K22 filed a Form D with the SEC on Sept. 24, 2026. The filing reports $83,261,401 of interests sold to 2 investors, with the first sale dated Sept. 9, 2026.
\nAQR Capital is named in the filing's list of related persons. The fund was formed in 2026.
\nThe filing names these related persons:
\nSales compensation is listed for AQR Investments, LLC.
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "AQR Flex 1 Series LLC - Series K22 filed a Form D with the SEC on Sept. 24, 2026. The filing reports $83,261,401 of interests sold to 2 investors, with the first sale dated Sept. 9, 2026.\n\nAQR Capital is named in the filing's list of related persons. The fund was formed in 2026.\n\nThe filing names these related persons:\n\n- AQR Capital Management II, LLC: AQR Capital Management II, LLC is the Issuer's Manager.\n\nSales compensation is listed for AQR Investments, LLC.\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [ { "evidence": "2026", "kind": "new_fund", "receipt": "0001405086-26-000744" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 24, 2026 reports $83,261,401 of fund interests sold since a first sale on Sept. 9, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2135492" }, "in_headline": true, "name": "AQR Flex 1 Series LLC - Series K22", "role": "issuer" }, { "basis": "identifier or the record itself", "in_headline": true, "name": "AQR Capital Management", "role": "manager" } ], "facts": [ { "key": "fund", "receipt": "0001405086-26-000744", "source": { "path": "primaryIssuer/entityName", "value": "AQR Flex 1 Series LLC - Series K22" }, "text": "AQR Flex 1 Series LLC - Series K22" }, { "key": "amount_short", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "83261401" }, "text": "$83.3M" }, { "key": "amount_full", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "83261401" }, "text": "$83,261,401" }, { "key": "investors", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "two" }, { "key": "investors_digits", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "2" }, { "key": "filed_date", "receipt": "0001405086-26-000744", "source": { "value": "2026-09-24" }, "text": "Sept. 24, 2026" }, { "key": "first_sale_date", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-09" }, "text": "Sept. 9, 2026" }, { "key": "year_of_inc", "receipt": "0001405086-26-000744", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2026" }, "text": "2026" }, { "key": "person_0", "receipt": "0001405086-26-000744", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "AQR", "Capital", "Management", "II,", "LLC" ] }, "text": "AQR Capital Management II, LLC" }, { "key": "person_0_role", "receipt": "0001405086-26-000744", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "AQR Capital Management II, LLC is the Issuer's Manager." }, "text": "AQR Capital Management II, LLC is the Issuer's Manager." }, { "key": "manager", "receipt": "0001405086-26-000744", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "AQR Capital" }, "text": "AQR Capital" }, { "key": "fund_short", "receipt": "0001405086-26-000744", "source": { "path": "primaryIssuer/entityName", "value": "AQR Flex 1 Series LLC - Series K22" }, "text": "AQR Flex 1 Series LLC - Series K22" }, { "key": "agent_0", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/salesCompensationList/recipient[1]", "value": "AQR Investments, LLC" }, "text": "AQR Investments, LLC" }, { "key": "agent_short", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/salesCompensationList/recipient[1]", "value": "AQR Investments" }, "text": "AQR Investments" }, { "key": "fund_plain", "receipt": "0001405086-26-000744", "source": { "path": "primaryIssuer/entityName", "value": "AQR Flex 1 Series LLC - Series K22" }, "text": "AQR Flex 1 Series LLC - Series K22" }, { "key": "first_sale_year", "receipt": "0001405086-26-000744", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-09" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_tcarsjdhhjyc", "headline": "AQR Capital's new AQR Flex 1 Series LLC - Series K22 took in $83.3M from two investors, Form D shows", "id": "s_tcarsjdhhjyc", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:20:38+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "2135492", "filed": "2026-09-24", "form": "D", "id": "0001405086-26-000744", "label": "Form D accession 0001405086-26-000744", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2135492/000140508626000744/0001405086-26-000744-index.htm" } ], "record_date": "2026-09-24", "schema": "alphanume.news/item/v1", "slug": "aqr-capital-s-new-aqr-flex-1-series-llc-series-k22-took-in-83-3m-from-two", "status": "published", "type": "formd_new_fund", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/aqr-capital-s-new-aqr-flex-1-series-llc-series-k22-took-in-83-3m-from-two", "api_url": "https://news.alphanume.com/api/v1/stories/s_tcarsjdhhjyc" }, { "body": { "html": "iCapital Millennium II Access Fund, L.P. filed a Form D with the SEC on Sept. 24, 2026. It reports $101,150,000 of interests sold to 109 investors, with the first sale dated Sept. 9, 2026.
\nThe vehicle is named for Millennium.
\nThe filing lists sales compensation for RBC Capital Markets, LLC.
\nRelated persons named in the filing:
\nS.H.N. Financial Investments Ltd. filed a Schedule 13D on Sept. 24, 2026 reporting beneficial ownership of 200,000 shares of PRF Technologies Ltd. Ordinary shares, no par value, or 5.716% of the class. The filing gives Sept. 24, 2026 as the date of the event that required it.
\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"On September 24, 2026, S.H.N. delivered a letter to the Issuer demanding that the Issuer convene a special general meeting of shareholders.\"
", "text": "S.H.N. Financial Investments Ltd. filed a Schedule 13D on Sept. 24, 2026 reporting beneficial ownership of 200,000 shares of PRF Technologies Ltd. Ordinary shares, no par value, or 5.716% of the class. The filing gives Sept. 24, 2026 as the date of the event that required it.\n\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"On September 24, 2026, S.H.N. delivered a letter to the Issuer demanding that the Issuer convene a special general meeting of shareholders.\"" }, "claims": [], "contact": "research@alphanume.com", "corrections": [], "dek": "S.H.N. Financial Investments Ltd. reports 200,000 shares in a Schedule 13D filed Sept. 24, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "1890802" }, "in_headline": true, "name": "S.H.N. Financial Investments Ltd.", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0001079973-26-001274", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "S.H.N. Financial Investments Ltd." }, "text": "S.H.N. Financial Investments Ltd." }, { "key": "filer", "receipt": "0001079973-26-001274", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "S.H.N. Financial Investments Ltd." }, "text": "S.H.N. Financial Investments Ltd." }, { "key": "issuer", "receipt": "0001079973-26-001274", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "PRF Technologies Ltd." }, "text": "PRF Technologies Ltd." }, { "key": "pct", "receipt": "0001079973-26-001274", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "5.716" }, "text": "5.716%" }, { "key": "shares", "receipt": "0001079973-26-001274", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "200000.00" }, "text": "200,000" }, { "key": "filed_date", "receipt": "0001079973-26-001274", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-24" }, "text": "Sept. 24, 2026" }, { "key": "event_date", "receipt": "0001079973-26-001274", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/24/2026" }, "text": "Sept. 24, 2026" }, { "key": "purpose_quote", "receipt": "0001079973-26-001274", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 24, 2026, S.H.N. delivered a letter to the Issuer demanding that the Issuer convene a special general meeting of shareholders." }, "text": "On September 24, 2026, S.H.N. delivered a letter to the Issuer demanding that the Issuer convene a special general meeting of shareholders." }, { "key": "security", "receipt": "0001079973-26-001274", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Ordinary shares, no par value" }, "text": "Ordinary shares, no par value" } ], "guid": "tag:alphanume.com,2026:news:s_hiac22rf4hiv", "headline": "S.H.N. Financial Investments Ltd. discloses a 5.716% stake in PRF Technologies Ltd., 13D shows", "id": "s_hiac22rf4hiv", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:14:48+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1801834", "filed": "2026-09-24", "form": "SCHEDULE 13D", "id": "0001079973-26-001274", "label": "Schedule 13D accession 0001079973-26-001274", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1801834/000107997326001274/0001079973-26-001274-index.htm" } ], "record_date": "2026-09-24", "schema": "alphanume.news/item/v1", "slug": "s-h-n-financial-investments-ltd-discloses-a-5-716-stake-in-prf-technologies-ltd", "status": "published", "type": "activist_13d_initial", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/s-h-n-financial-investments-ltd-discloses-a-5-716-stake-in-prf-technologies-ltd", "api_url": "https://news.alphanume.com/api/v1/stories/s_hiac22rf4hiv" }, { "body": { "html": "Lawrence B. Seidman filed a Schedule 13D on Sept. 23, 2026 reporting beneficial ownership of 126,045 shares of URSB Bancorp, Inc. Common Stock, par value $0.01 per share, or 5.40% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.
\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"Seidman had an in-person meeting and several phone conversations with the Issuer's senior management, including regarding the addition of Ray Vanaria to the Board, and feels confident that the Issuer is working to maximize the value of the shares owned by all of its shareholders.\"
\nThe filing is made jointly with Seidman & Associates LLC Et Al, Seidman Investment Partnership LP, Seidman Investment Partnership II LP, LSBK06-08 LLC and others.
", "text": "Lawrence B. Seidman filed a Schedule 13D on Sept. 23, 2026 reporting beneficial ownership of 126,045 shares of URSB Bancorp, Inc. Common Stock, par value $0.01 per share, or 5.40% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.\n\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"Seidman had an in-person meeting and several phone conversations with the Issuer's senior management, including regarding the addition of Ray Vanaria to the Board, and feels confident that the Issuer is working to maximize the value of the shares owned by all of its shareholders.\"\n\nThe filing is made jointly with Seidman & Associates LLC Et Al, Seidman Investment Partnership LP, Seidman Investment Partnership II LP, LSBK06-08 LLC and others." }, "claims": [], "contact": "research@alphanume.com", "corrections": [], "dek": "Item 4 of the filing cites \"the addition of Ray Vanaria to the Board\".", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Lawrence B. Seidman", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[8]", "value": "LAWRENCE B. SEIDMAN" }, "text": "Lawrence B. Seidman" }, { "key": "filer", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[8]/reportingPersonName", "value": "LAWRENCE B. SEIDMAN" }, "text": "Lawrence B. Seidman" }, { "key": "issuer", "receipt": "0000921895-26-002628", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "URSB Bancorp, Inc." }, "text": "URSB Bancorp, Inc." }, { "key": "pct", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[8]/percentOfClass", "value": "5.40" }, "text": "5.40%" }, { "key": "shares", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[8]/aggregateAmountOwned", "value": "126045.00" }, "text": "126,045" }, { "key": "filed_date", "receipt": "0000921895-26-002628", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-23" }, "text": "Sept. 23, 2026" }, { "key": "event_date", "receipt": "0000921895-26-002628", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/18/2026" }, "text": "Sept. 18, 2026" }, { "key": "purpose_quote", "receipt": "0000921895-26-002628", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "Seidman had an in-person meeting and several phone conversations with the Issuer's senior management, including regarding the addition of Ray Vanaria to the Board, and feels confident that the Issuer is working to maximize the value of the shares owned by all of its shareholders." }, "text": "Seidman had an in-person meeting and several phone conversations with the Issuer's senior management, including regarding the addition of Ray Vanaria to the Board, and feels confident that the Issuer is working to maximize the value of the shares owned by all of its shareholders." }, { "key": "demand_phrase", "receipt": "0000921895-26-002628", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "the addition of Ray Vanaria to the Board" }, "text": "the addition of Ray Vanaria to the Board" }, { "key": "co_filer_0", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "SEIDMAN & ASSOCIATES LLC ET AL" }, "text": "Seidman & Associates LLC Et Al" }, { "key": "co_filer_1", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "SEIDMAN INVESTMENT PARTNERSHIP LP" }, "text": "Seidman Investment Partnership LP" }, { "key": "co_filer_2", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Seidman Investment Partnership II LP" }, "text": "Seidman Investment Partnership II LP" }, { "key": "co_filer_3", "receipt": "0000921895-26-002628", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]", "value": "LSBK06-08 LLC" }, "text": "LSBK06-08 LLC" }, { "key": "security", "receipt": "0000921895-26-002628", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.01 per share" }, "text": "Common Stock, par value $0.01 per share" } ], "guid": "tag:alphanume.com,2026:news:s_hupnqjfsd3mc", "headline": "Lawrence B. Seidman discloses a 5.40% stake in URSB Bancorp, Inc., 13D shows", "id": "s_hupnqjfsd3mc", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T20:30:22+00:00", "reviewers": 2 }, "template": "activist_13d.v6" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1026081", "filed": "2026-09-23", "form": "SCHEDULE 13D", "id": "0000921895-26-002628", "label": "Schedule 13D accession 0000921895-26-002628", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1026081/000092189526002628/0000921895-26-002628-index.htm" } ], "record_date": "2026-09-23", "schema": "alphanume.news/item/v1", "slug": "lawrence-b-seidman-discloses-a-5-40-stake-in-ursb-bancorp-inc-13d-shows", "status": "published", "type": "activist_13d_initial", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/lawrence-b-seidman-discloses-a-5-40-stake-in-ursb-bancorp-inc-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_hupnqjfsd3mc" }, { "body": { "html": "Kirkoswald Sports Fund LP filed a Form D with the SEC on Sept. 23, 2026. The filing reports $120,000,000 of interests sold to 3 investors, with the first sale dated Sept. 11, 2026.
\nIt was formed in 2026.
\nThe filing names these related persons:
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "Kirkoswald Sports Fund LP filed a Form D with the SEC on Sept. 23, 2026. The filing reports $120,000,000 of interests sold to 3 investors, with the first sale dated Sept. 11, 2026.\n\nIt was formed in 2026.\n\nThe filing names these related persons:\n\n- Nick Gaze: Director of the general partner\n- Richard Scott-Hopkins: Director of the general partner\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [ { "evidence": "2026", "kind": "new_fund", "receipt": "0001315863-26-000679" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 23, 2026 reports $120,000,000 of fund interests sold since a first sale on Sept. 11, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2128110" }, "in_headline": true, "name": "Kirkoswald Sports Fund LP", "role": "issuer" } ], "facts": [ { "key": "fund", "receipt": "0001315863-26-000679", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald Sports Fund LP" }, "text": "Kirkoswald Sports Fund LP" }, { "key": "amount_short", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "120000000" }, "text": "$120M" }, { "key": "amount_full", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "120000000" }, "text": "$120,000,000" }, { "key": "investors", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "3" }, "text": "three" }, { "key": "investors_digits", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "3" }, "text": "3" }, { "key": "filed_date", "receipt": "0001315863-26-000679", "source": { "value": "2026-09-23" }, "text": "Sept. 23, 2026" }, { "key": "first_sale_date", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-11" }, "text": "Sept. 11, 2026" }, { "key": "year_of_inc", "receipt": "0001315863-26-000679", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2026" }, "text": "2026" }, { "key": "person_0", "receipt": "0001315863-26-000679", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "Nick", "Gaze" ] }, "text": "Nick Gaze" }, { "key": "person_0_role", "receipt": "0001315863-26-000679", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Director of the general partner" }, "text": "Director of the general partner" }, { "key": "person_1", "receipt": "0001315863-26-000679", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "values": [ "Richard", "Scott-Hopkins" ] }, "text": "Richard Scott-Hopkins" }, { "key": "person_1_role", "receipt": "0001315863-26-000679", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "value": "Director of the general partner" }, "text": "Director of the general partner" }, { "key": "fund_short", "receipt": "0001315863-26-000679", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald Sports Fund" }, "text": "Kirkoswald Sports Fund" }, { "key": "fund_plain", "receipt": "0001315863-26-000679", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald Sports Fund" }, "text": "Kirkoswald Sports Fund" }, { "key": "first_sale_year", "receipt": "0001315863-26-000679", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-11" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_fw3bxrzya36h", "headline": "Kirkoswald Sports Fund took in $120M from three investors, Form D shows", "id": "s_fw3bxrzya36h", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T20:29:48+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "2128110", "filed": "2026-09-23", "form": "D", "id": "0001315863-26-000679", "label": "Form D accession 0001315863-26-000679", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2128110/000131586326000679/0001315863-26-000679-index.htm" } ], "record_date": "2026-09-23", "schema": "alphanume.news/item/v1", "slug": "kirkoswald-sports-fund-took-in-120m-from-three-investors-form-d-shows", "status": "published", "type": "formd_new_fund", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/kirkoswald-sports-fund-took-in-120m-from-three-investors-form-d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_fw3bxrzya36h" }, { "body": { "html": "Kirkoswald EM Private Credit Fund 4 LP filed a Form D with the SEC on Sept. 23, 2026. The filing reports $90,000,000 of interests sold to 2 investors, with the first sale dated Sept. 11, 2026.
\nIt was formed in 2026.
\nThe filing names these related persons:
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "Kirkoswald EM Private Credit Fund 4 LP filed a Form D with the SEC on Sept. 23, 2026. The filing reports $90,000,000 of interests sold to 2 investors, with the first sale dated Sept. 11, 2026.\n\nIt was formed in 2026.\n\nThe filing names these related persons:\n\n- Nick Gaze: Director of the general partner\n- Richard Scott-Hopkins: Director of the general partner\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [ { "evidence": "2026", "kind": "new_fund", "receipt": "0001315863-26-000678" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 23, 2026 reports $90,000,000 of fund interests sold since a first sale on Sept. 11, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2128104" }, "in_headline": true, "name": "Kirkoswald EM Private Credit Fund 4 LP", "role": "issuer" } ], "facts": [ { "key": "fund", "receipt": "0001315863-26-000678", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald EM Private Credit Fund 4 LP" }, "text": "Kirkoswald EM Private Credit Fund 4 LP" }, { "key": "amount_short", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "90000000" }, "text": "$90M" }, { "key": "amount_full", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "90000000" }, "text": "$90,000,000" }, { "key": "investors", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "two" }, { "key": "investors_digits", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "2" }, { "key": "filed_date", "receipt": "0001315863-26-000678", "source": { "value": "2026-09-23" }, "text": "Sept. 23, 2026" }, { "key": "first_sale_date", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-11" }, "text": "Sept. 11, 2026" }, { "key": "year_of_inc", "receipt": "0001315863-26-000678", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2026" }, "text": "2026" }, { "key": "person_0", "receipt": "0001315863-26-000678", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "Nick", "Gaze" ] }, "text": "Nick Gaze" }, { "key": "person_0_role", "receipt": "0001315863-26-000678", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Director of the general partner" }, "text": "Director of the general partner" }, { "key": "person_1", "receipt": "0001315863-26-000678", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "values": [ "Richard", "Scott-Hopkins" ] }, "text": "Richard Scott-Hopkins" }, { "key": "person_1_role", "receipt": "0001315863-26-000678", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "value": "Director of the general partner" }, "text": "Director of the general partner" }, { "key": "fund_short", "receipt": "0001315863-26-000678", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald EM Private Credit Fund 4" }, "text": "Kirkoswald EM Private Credit Fund 4" }, { "key": "fund_plain", "receipt": "0001315863-26-000678", "source": { "path": "primaryIssuer/entityName", "value": "Kirkoswald EM Private Credit Fund 4" }, "text": "Kirkoswald EM Private Credit Fund 4" }, { "key": "first_sale_year", "receipt": "0001315863-26-000678", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-11" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_efnclccyj7jd", "headline": "Kirkoswald EM Private Credit Fund 4 took in $90M from two investors, Form D shows", "id": "s_efnclccyj7jd", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:13:39+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "2128104", "filed": "2026-09-23", "form": "D", "id": "0001315863-26-000678", "label": "Form D accession 0001315863-26-000678", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2128104/000131586326000678/0001315863-26-000678-index.htm" } ], "record_date": "2026-09-23", "schema": "alphanume.news/item/v1", "slug": "kirkoswald-em-private-credit-fund-4-took-in-90m-from-two-investors-form-d-shows", "status": "published", "type": "formd_new_fund", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/kirkoswald-em-private-credit-fund-4-took-in-90m-from-two-investors-form-d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_efnclccyj7jd" }, { "body": { "html": "Cevian Capital II GP LTD filed a Schedule 13D amendment on Sept. 23, 2026 reporting beneficial ownership of 116,765,346 shares of Pearson PLC Ordinary Shares, par value GBP 0.25, or 19.4% of the class. The filing gives Sept. 22, 2026 as the date of the event that required it.
\nThe filing says: \"On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement.\"
", "text": "Cevian Capital II GP LTD filed a Schedule 13D amendment on Sept. 23, 2026 reporting beneficial ownership of 116,765,346 shares of Pearson PLC Ordinary Shares, par value GBP 0.25, or 19.4% of the class. The filing gives Sept. 22, 2026 as the date of the event that required it.\n\nThe filing says: \"On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement.\"" }, "claims": [ { "evidence": "On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement.", "kind": "amendment_news", "receipt": "0000902664-26-003927" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Item 4 of the filing cites \"to appoint Alexander Svensson (the \"Shareholder Director\")\".", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Cevian Capital", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000902664-26-003927", "source": { "path": "formData/reportingPersons (matcher)", "value": "Cevian Capital II GP LTD" }, "text": "Cevian Capital" }, { "key": "filer", "receipt": "0000902664-26-003927", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Cevian Capital II GP LTD" }, "text": "Cevian Capital II GP LTD" }, { "key": "issuer", "receipt": "0000902664-26-003927", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "PEARSON PLC" }, "text": "Pearson PLC" }, { "key": "pct", "receipt": "0000902664-26-003927", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "19.4" }, "text": "19.4%" }, { "key": "shares", "receipt": "0000902664-26-003927", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "116765346.00" }, "text": "116,765,346" }, { "key": "filed_date", "receipt": "0000902664-26-003927", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-23" }, "text": "Sept. 23, 2026" }, { "key": "event_date", "receipt": "0000902664-26-003927", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/22/2026" }, "text": "Sept. 22, 2026" }, { "key": "purpose_quote", "receipt": "0000902664-26-003927", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement." }, "text": "On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement." }, { "key": "demand_phrase", "receipt": "0000902664-26-003927", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "to appoint Alexander Svensson (the \"Shareholder Director\")" }, "text": "to appoint Alexander Svensson (the \"Shareholder Director\")" }, { "key": "action_quote", "receipt": "0000902664-26-003927", "source": { "model_proposed": true, "path": "text", "value": "On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement." }, "text": "On September 22, 2026, the Reporting Person entered into a relationship agreement (the \"Relationship Agreement\") with the Issuer pursuant to which the Issuer agreed, subject to the terms and conditions of the Relationship Agreement, to appoint Alexander Svensson (the \"Shareholder Director\") to serve as a non-executive director of the Issuer's board of directors (the \"Board\") and as a member of the Nomination & Governance Committee of the Board with effect from October 1, 2026, and to recommend the re-election of the Shareholder Director at each annual general meeting of the Issuer during the term of the Relationship Agreement." }, { "key": "security", "receipt": "0000902664-26-003927", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Ordinary Shares, par value GBP 0.25" }, "text": "Ordinary Shares, par value GBP 0.25" } ], "guid": "tag:alphanume.com,2026:news:s_4mbvi4aybohh", "headline": "Cevian Capital secures a board seat at Pearson PLC, amended 13D shows", "id": "s_4mbvi4aybohh", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" }, { "model": "claude-opus-5", "prompt": "amendment_news.v1", "purpose": "amendment_news" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T20:22:22+00:00", "reviewers": 2 }, "template": "activist_13d.v6" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1365341", "filed": "2026-09-23", "form": "SCHEDULE 13D/A", "id": "0000902664-26-003927", "label": "Schedule 13D accession 0000902664-26-003927", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1365341/000090266426003927/0000902664-26-003927-index.htm" } ], "record_date": "2026-09-23", "schema": "alphanume.news/item/v1", "slug": "cevian-capital-secures-a-board-seat-at-pearson-plc-amended-13d-shows", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/cevian-capital-secures-a-board-seat-at-pearson-plc-amended-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_4mbvi4aybohh" }, { "body": { "html": "Conifer Management, L.L.C. filed a Schedule 13D amendment on Sept. 22, 2026 reporting beneficial ownership of 1,512,290 shares of Group 1 Automotive, Inc. Common stock, par value $0.01 per share, or 12.7% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.
\nIts previous Schedule 13D, filed Sept. 8, 2026, reported 11.4%.
\nThe filing says: \"On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026.\"
", "text": "Conifer Management, L.L.C. filed a Schedule 13D amendment on Sept. 22, 2026 reporting beneficial ownership of 1,512,290 shares of Group 1 Automotive, Inc. Common stock, par value $0.01 per share, or 12.7% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.\n\nIts previous Schedule 13D, filed Sept. 8, 2026, reported 11.4%.\n\nThe filing says: \"On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026.\"" }, "claims": [ { "evidence": "11.4", "kind": "lifts_stake", "receipt": "0000905148-26-004113" }, { "evidence": "On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026.", "kind": "amendment_news", "receipt": "0000905148-26-004248" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Conifer Management, L.L.C. reports 1,512,290 shares in a Schedule 13D amendment filed Sept. 22, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "1773994" }, "in_headline": true, "name": "Conifer Management, L.L.C.", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000905148-26-004248", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "Conifer Management, L.L.C." }, "text": "Conifer Management, L.L.C." }, { "key": "filer", "receipt": "0000905148-26-004248", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Conifer Management, L.L.C." }, "text": "Conifer Management, L.L.C." }, { "key": "issuer", "receipt": "0000905148-26-004248", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "Group 1 Automotive, Inc." }, "text": "Group 1 Automotive, Inc." }, { "key": "pct", "receipt": "0000905148-26-004248", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "12.7" }, "text": "12.7%" }, { "key": "shares", "receipt": "0000905148-26-004248", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "1512290" }, "text": "1,512,290" }, { "key": "filed_date", "receipt": "0000905148-26-004248", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-22" }, "text": "Sept. 22, 2026" }, { "key": "event_date", "receipt": "0000905148-26-004248", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/18/2026" }, "text": "Sept. 18, 2026" }, { "key": "purpose_quote", "receipt": "0000905148-26-004248", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026." }, "text": "On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026." }, { "key": "demand_phrase", "receipt": "0000905148-26-004248", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "appoint Benjamin Hart, an Analyst at Conifer" }, "text": "appoint Benjamin Hart, an Analyst at Conifer" }, { "key": "prior_pct", "receipt": "0000905148-26-004113", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "11.4" }, "text": "11.4%" }, { "key": "prior_date", "receipt": "0000905148-26-004113", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-08" }, "text": "Sept. 8, 2026" }, { "key": "action_quote", "receipt": "0000905148-26-004248", "source": { "model_proposed": true, "path": "text", "value": "On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026." }, "text": "On September 21, 2026, the Reporting Person (collectively with Conifer Capital Management LLC, Acacia Partners LP, Acacia Conservation Fund LP, and each of their controlled affiliates, \"Conifer\") and the Issuer entered into a Stockholder Agreement (the \"Stockholder Agreement\") pursuant to which the Board agreed to take all necessary actions to (i) increase the size of the Board from ten (10) to eleven (11) members and (ii) appoint Benjamin Hart, an Analyst at Conifer (the \"New Director\"), as a director on the Board, to fill the newly created vacancy resulting from the increase in the size of the Board, effective November 1, 2026." }, { "key": "news_phrase", "receipt": "0000905148-26-004248", "source": { "path": "formData/items1To7 (verbatim)", "value": "Stockholder Agreement" }, "text": "stockholder agreement" }, { "key": "security", "receipt": "0000905148-26-004248", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common stock, par value $0.01 per share" }, "text": "Common stock, par value $0.01 per share" } ], "guid": "tag:alphanume.com,2026:news:s_kcln5xgw5obr", "headline": "Conifer Management, L.L.C. signs a stockholder agreement with Group 1 Automotive, Inc., amended 13D shows", "id": "s_kcln5xgw5obr", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" }, { "model": "claude-opus-5", "prompt": "amendment_news.v1", "purpose": "amendment_news" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:15:50+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1773994", "filed": "2026-09-08", "form": "SCHEDULE 13D/A", "id": "0000905148-26-004113", "label": "Prior Schedule 13D accession 0000905148-26-004113", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1773994/000090514826004113/0000905148-26-004113-index.htm" }, { "cik": "1773994", "filed": "2026-09-22", "form": "SCHEDULE 13D/A", "id": "0000905148-26-004248", "label": "Schedule 13D accession 0000905148-26-004248", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1773994/000090514826004248/0000905148-26-004248-index.htm" } ], "record_date": "2026-09-22", "schema": "alphanume.news/item/v1", "slug": "conifer-management-l-l-c-signs-a-stockholder-agreement-with-group-1-automotive", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/conifer-management-l-l-c-signs-a-stockholder-agreement-with-group-1-automotive", "api_url": "https://news.alphanume.com/api/v1/stories/s_kcln5xgw5obr" }, { "body": { "html": "The SEC posted the order on Sept. 22, 2026.
\nAccording to the order, Giovanni Pennetta is barred from association with any broker, dealer or investment adviser.
\nThe order describes the underlying case: \"The Commission's complaint alleged that, in connection with the offer and sale of membership interests in NextGenTech, Pennetta made misrepresentations to NextGenTech investors about its portfolio holdings and also misappropriated $6.2 million of investor funds for his personal use and to repay an investor in a separate NextGentTech offering.\"
", "text": "The SEC posted the order on Sept. 22, 2026.\n\nAccording to the order, Giovanni Pennetta is barred from association with any broker, dealer or investment adviser.\n\nThe order describes the underlying case: \"The Commission's complaint alleged that, in connection with the offer and sale of membership interests in NextGenTech, Pennetta made misrepresentations to NextGenTech investors about its portfolio holdings and also misappropriated $6.2 million of investor funds for his personal use and to repay an investor in a separate NextGentTech offering.\"" }, "claims": [ { "evidence": "Accordingly, it is hereby ORDERED pursuant to Section 203(f) of the Advisers Act, that Respondent Pennetta be, and hereby is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.", "kind": "bars", "receipt": "IA-7017" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "The release describes Giovanni Pennetta as Sestante's Managing Member and Chief Investment Officer.", "desk": "regulatory", "desk_label": "Regulatory Actions", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Giovanni Pennetta", "role": "respondent" } ], "facts": [ { "key": "respondent", "receipt": "IA-7017", "source": { "path": "text", "value": "Giovanni Pennetta" }, "text": "Giovanni Pennetta" }, { "key": "release_date", "receipt": "IA-7017", "source": { "path": "index:date", "value": "2026-09-22" }, "text": "Sept. 22, 2026" }, { "key": "descriptor", "receipt": "IA-7017", "source": { "model_proposed": true, "path": "text", "value": "Sestante's Managing Member and Chief Investment Officer" }, "text": "Sestante's Managing Member and Chief Investment Officer" }, { "key": "allegation_quote", "receipt": "IA-7017", "source": { "model_proposed": true, "path": "text", "value": "The Commission's complaint alleged that, in connection with the offer and sale of membership interests in NextGenTech, Pennetta made misrepresentations to NextGenTech investors about its portfolio holdings and also misappropriated $6.2 million of investor funds for his personal use and to repay an investor in a separate NextGentTech offering." }, "text": "The Commission's complaint alleged that, in connection with the offer and sale of membership interests in NextGenTech, Pennetta made misrepresentations to NextGenTech investors about its portfolio holdings and also misappropriated $6.2 million of investor funds for his personal use and to repay an investor in a separate NextGentTech offering." }, { "key": "bar_scope", "receipt": "IA-7017", "source": { "path": "text (bar sentence)", "values": [ "broker", "dealer", "investment adviser" ] }, "text": "any broker, dealer or investment adviser" } ], "guid": "tag:alphanume.com,2026:news:s_cf7l7f46ugma", "headline": "SEC bars Giovanni Pennetta from association with any broker, dealer or investment adviser", "id": "s_cf7l7f46ugma", "kind": "story", "legal": { "allegation": true, "stage": "barred" }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "regulatory_summary.v2", "purpose": "regulatory_summary" }, { "model": "claude-opus-5", "prompt": "regulatory_summary.v3", "purpose": "regulatory_summary" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:12:11+00:00", "reviewers": 2 }, "template": "regulatory_action.v2" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "filed": "2026-09-22", "form": "sec-ap", "id": "IA-7017", "label": "SEC administrative proceeding IA-7017", "source": "sec_release", "type": "sec_release_no", "type_label": "SEC release", "url": "https://www.sec.gov/files/litigation/admin/2026/ia-7017.pdf" } ], "record_date": "2026-09-22", "schema": "alphanume.news/item/v1", "slug": "sec-bars-giovanni-pennetta-from-association-with-any-broker-dealer-or-investment", "status": "published", "type": "sec_admin", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/sec-bars-giovanni-pennetta-from-association-with-any-broker-dealer-or-investment", "api_url": "https://news.alphanume.com/api/v1/stories/s_cf7l7f46ugma" }, { "body": { "html": "GreenWood Investors LLC filed a Schedule 13D amendment on Sept. 21, 2026 reporting beneficial ownership of 1,352,490 shares of Jack in the Box Inc Common Stock, $0.01 par value per share, or 7.1% of the class. The filing gives Sept. 17, 2026 as the date of the event that required it.
\nIn Item 4, the filing says: \"On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period.\"
\nThe filing is made jointly with Steven Wood.
", "text": "GreenWood Investors LLC filed a Schedule 13D amendment on Sept. 21, 2026 reporting beneficial ownership of 1,352,490 shares of Jack in the Box Inc Common Stock, $0.01 par value per share, or 7.1% of the class. The filing gives Sept. 17, 2026 as the date of the event that required it.\n\nIn Item 4, the filing says: \"On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period.\"\n\nThe filing is made jointly with Steven Wood." }, "claims": [ { "evidence": "On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period.", "kind": "amendment_action", "receipt": "0000902664-26-003887" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Item 4 of the filing cites \"first amendment to the Cooperation Agreement\".", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2096490" }, "in_headline": true, "name": "GreenWood Investors LLC", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000902664-26-003887", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "GreenWood Investors LLC" }, "text": "GreenWood Investors LLC" }, { "key": "filer", "receipt": "0000902664-26-003887", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "GreenWood Investors LLC" }, "text": "GreenWood Investors LLC" }, { "key": "issuer", "receipt": "0000902664-26-003887", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "JACK IN THE BOX INC" }, "text": "Jack in the Box Inc" }, { "key": "pct", "receipt": "0000902664-26-003887", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "7.1" }, "text": "7.1%" }, { "key": "shares", "receipt": "0000902664-26-003887", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "1352490.00" }, "text": "1,352,490" }, { "key": "filed_date", "receipt": "0000902664-26-003887", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-21" }, "text": "Sept. 21, 2026" }, { "key": "event_date", "receipt": "0000902664-26-003887", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/17/2026" }, "text": "Sept. 17, 2026" }, { "key": "purpose_quote", "receipt": "0000902664-26-003887", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period." }, "text": "On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period." }, { "key": "demand_phrase", "receipt": "0000902664-26-003887", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "first amendment to the Cooperation Agreement" }, "text": "first amendment to the Cooperation Agreement" }, { "key": "action_quote", "receipt": "0000902664-26-003887", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period." }, "text": "On September 17, 2026, the Issuer and GreenWood entered into a first amendment to the Cooperation Agreement (the \"First Amendment\"), which, among other things, extended the term of the Cooperation Agreement for an additional one-year period." }, { "key": "agreement_kind", "receipt": "0000902664-26-003887", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "Cooperation Agreement" }, "text": "cooperation agreement" }, { "key": "co_filer_0", "receipt": "0000902664-26-003887", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Steven Wood" }, "text": "Steven Wood" }, { "key": "security", "receipt": "0000902664-26-003887", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, $0.01 par value per share" }, "text": "Common Stock, $0.01 par value per share" } ], "guid": "tag:alphanume.com,2026:news:s_nacfc5jmotbo", "headline": "GreenWood Investors LLC amends its cooperation agreement with Jack in the Box Inc, amended 13D shows", "id": "s_nacfc5jmotbo", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T20:31:55+00:00", "reviewers": 2 }, "template": "activist_13d.v6" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "2096490", "filed": "2026-09-21", "form": "SCHEDULE 13D/A", "id": "0000902664-26-003887", "label": "Schedule 13D accession 0000902664-26-003887", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2096490/000090266426003887/0000902664-26-003887-index.htm" } ], "record_date": "2026-09-21", "schema": "alphanume.news/item/v1", "slug": "greenwood-investors-llc-amends-its-cooperation-agreement-with-jack-in-the-box", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/greenwood-investors-llc-amends-its-cooperation-agreement-with-jack-in-the-box", "api_url": "https://news.alphanume.com/api/v1/stories/s_nacfc5jmotbo" }, { "body": { "html": "STEEL PARTNERS HOLDINGS L.P. filed a Schedule 13D amendment on Sept. 21, 2026 reporting beneficial ownership of 3,429,380 shares of Spruce Power Holding Corp Common Stock, par value $0.0001 per share, or 17.8% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.
\nThe filing says: \"On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer.\"
\nThe filing is made jointly with Steel Partners Holdings GP Inc., SPH Group LLC, SPH Group Holdings LLC, Steel Excel Inc. and others.
", "text": "STEEL PARTNERS HOLDINGS L.P. filed a Schedule 13D amendment on Sept. 21, 2026 reporting beneficial ownership of 3,429,380 shares of Spruce Power Holding Corp Common Stock, par value $0.0001 per share, or 17.8% of the class. The filing gives Sept. 18, 2026 as the date of the event that required it.\n\nThe filing says: \"On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer.\"\n\nThe filing is made jointly with Steel Partners Holdings GP Inc., SPH Group LLC, SPH Group Holdings LLC, Steel Excel Inc. and others." }, "claims": [ { "evidence": "On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer.", "kind": "amendment_news", "receipt": "0000921895-26-002614" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "STEEL PARTNERS HOLDINGS L.P. reports 3,429,380 shares in a Schedule 13D amendment filed Sept. 21, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "1452857" }, "in_headline": true, "name": "Steel Partners Holdings L.P.", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "STEEL PARTNERS HOLDINGS L.P." }, "text": "Steel Partners Holdings L.P." }, { "key": "filer", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "STEEL PARTNERS HOLDINGS L.P." }, "text": "STEEL PARTNERS HOLDINGS L.P." }, { "key": "issuer", "receipt": "0000921895-26-002614", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "SPRUCE POWER HOLDING CORP" }, "text": "Spruce Power Holding Corp" }, { "key": "pct", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "17.8" }, "text": "17.8%" }, { "key": "shares", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "3429380.00" }, "text": "3,429,380" }, { "key": "filed_date", "receipt": "0000921895-26-002614", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-21" }, "text": "Sept. 21, 2026" }, { "key": "event_date", "receipt": "0000921895-26-002614", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/18/2026" }, "text": "Sept. 18, 2026" }, { "key": "purpose_quote", "receipt": "0000921895-26-002614", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer." }, "text": "On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer." }, { "key": "demand_phrase", "receipt": "0000921895-26-002614", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "joined the Board as a director" }, "text": "joined the Board as a director" }, { "key": "action_quote", "receipt": "0000921895-26-002614", "source": { "model_proposed": true, "path": "text", "value": "On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer." }, "text": "On September 18, 2026, Benjamin Rosenzweig, Senior Vice President of Steel Holdings, joined the Board as a director of the Issuer." }, { "key": "co_filer_0", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Steel Partners Holdings GP Inc." }, "text": "Steel Partners Holdings GP Inc." }, { "key": "co_filer_1", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "SPH Group LLC" }, "text": "SPH Group LLC" }, { "key": "co_filer_2", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]", "value": "SPH Group Holdings LLC" }, "text": "SPH Group Holdings LLC" }, { "key": "co_filer_3", "receipt": "0000921895-26-002614", "source": { "path": "formData/reportingPersons/reportingPersonInfo[5]", "value": "Steel Excel Inc." }, "text": "Steel Excel Inc." }, { "key": "security", "receipt": "0000921895-26-002614", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.0001 per share" }, "text": "Common Stock, par value $0.0001 per share" } ], "guid": "tag:alphanume.com,2026:news:s_dfox5kbtenmj", "headline": "Steel Partners Holdings L.P. gets a seat on Spruce Power Holding Corp's board, amended 13D shows", "id": "s_dfox5kbtenmj", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" }, { "model": "claude-opus-5", "prompt": "amendment_news.v1", "purpose": "amendment_news" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:16:45+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1772720", "filed": "2026-09-21", "form": "SCHEDULE 13D/A", "id": "0000921895-26-002614", "label": "Schedule 13D accession 0000921895-26-002614", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1772720/000092189526002614/0000921895-26-002614-index.htm" } ], "record_date": "2026-09-21", "schema": "alphanume.news/item/v1", "slug": "steel-partners-holdings-l-p-gets-a-seat-on-spruce-power-holding-corp-s-board", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/steel-partners-holdings-l-p-gets-a-seat-on-spruce-power-holding-corp-s-board", "api_url": "https://news.alphanume.com/api/v1/stories/s_dfox5kbtenmj" }, { "body": { "html": "The Justice Department announced the sentence on Sept. 18, 2026.
\nAccording to the Justice Department: \"The jury convicted Aguilar of conspiracy to violate the FCPA and violating the FCPA in connection with the Ecuador bribery scheme, and conspiracy to commit money laundering in connection with the Ecuador and Mexico bribery schemes.\"
", "text": "The Justice Department announced the sentence on Sept. 18, 2026.\n\nAccording to the Justice Department: \"The jury convicted Aguilar of conspiracy to violate the FCPA and violating the FCPA in connection with the Ecuador bribery scheme, and conspiracy to commit money laundering in connection with the Ecuador and Mexico bribery schemes.\"" }, "claims": [ { "evidence": "BROOKLYN, NY – Earlier today, in federal court in Brooklyn, Javier Aguilar was sentenced to 48 months in prison for his role in two interrelated schemes to bribe Ecuadorian and Mexican government officials.", "kind": "sentenced", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "The release describes Javier Aguilar as a trader in the Houston office of Vitol, Inc.", "desk": "regulatory", "desk_label": "Regulatory Actions", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Javier Aguilar", "role": "respondent" } ], "facts": [ { "key": "respondent", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "path": "text", "value": "Javier Aguilar" }, "text": "Javier Aguilar" }, { "key": "release_date", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "path": "index:date", "value": "2026-09-18" }, "text": "Sept. 18, 2026" }, { "key": "descriptor", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "model_proposed": true, "path": "text", "value": "trader in the Houston office of Vitol, Inc." }, "text": "trader in the Houston office of Vitol, Inc" }, { "key": "conduct_phrase", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "model_proposed": true, "path": "text", "value": "bribery and money laundering schemes" }, "text": "bribery and money laundering schemes" }, { "key": "allegation_quote", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "model_proposed": true, "path": "text", "value": "The jury convicted Aguilar of conspiracy to violate the FCPA and violating the FCPA in connection with the Ecuador bribery scheme, and conspiracy to commit money laundering in connection with the Ecuador and Mexico bribery schemes." }, "text": "The jury convicted Aguilar of conspiracy to violate the FCPA and violating the FCPA in connection with the Ecuador bribery scheme, and conspiracy to commit money laundering in connection with the Ecuador and Mexico bribery schemes." }, { "key": "sentence_term", "receipt": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": { "path": "text (verbatim, the respondent's sentence)", "value": "48 months in prison" }, "text": "48 months in prison" } ], "guid": "tag:alphanume.com,2026:news:s_ofu4oaow2zeg", "headline": "Javier Aguilar sentenced to 48 months in prison in bribery and money laundering schemes case", "id": "s_ofu4oaow2zeg", "kind": "story", "legal": { "allegation": true, "stage": "sentenced" }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "regulatory_summary.v3", "purpose": "regulatory_summary" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T20:28:42+00:00", "reviewers": 2 }, "template": "regulatory_action.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "filed": "2026-09-18", "form": "doj-press", "id": "doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "label": "Justice Department press release doj:7e3be85f-8747-4d21-ae82-04526c435b3f", "source": "doj", "type": "doj_key", "type_label": "DOJ press release", "url": "https://www.justice.gov/usao-edny/pr/ex-energy-trader-vitol-sentenced-48-months-prison-500-million-international-bribery" } ], "record_date": "2026-09-18", "schema": "alphanume.news/item/v1", "slug": "javier-aguilar-sentenced-to-48-months-in-prison-in-bribery-and-money-laundering", "status": "published", "type": "doj_action", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/javier-aguilar-sentenced-to-48-months-in-prison-in-bribery-and-money-laundering", "api_url": "https://news.alphanume.com/api/v1/stories/s_ofu4oaow2zeg" }, { "body": { "html": "Nilesh Undavia filed a Schedule 13D amendment on Sept. 18, 2026 reporting beneficial ownership of 2,211,504 shares of GrafTech International Ltd Common Stock, or 8.5% of the class. The filing gives Sept. 16, 2026 as the date of the event that required it.
\nThe filing says: \"The Reporting Persons acquired the additional Shares reported in this Amendment for investment purposes, based on their belief that the Common Stock is an attractive investment in light of current industry conditions.\"
\nThe filing is made jointly with Liliana Undavia, Kanta Undavia, The Nilesh P Undavia 2018 Trust u/a Dated 10/25/2018, The Liliana Arsenio-Undavia 2018 Trust u/a Dated 10/25/2018 and others.
", "text": "Nilesh Undavia filed a Schedule 13D amendment on Sept. 18, 2026 reporting beneficial ownership of 2,211,504 shares of GrafTech International Ltd Common Stock, or 8.5% of the class. The filing gives Sept. 16, 2026 as the date of the event that required it.\n\nThe filing says: \"The Reporting Persons acquired the additional Shares reported in this Amendment for investment purposes, based on their belief that the Common Stock is an attractive investment in light of current industry conditions.\"\n\nThe filing is made jointly with Liliana Undavia, Kanta Undavia, The Nilesh P Undavia 2018 Trust u/a Dated 10/25/2018, The Liliana Arsenio-Undavia 2018 Trust u/a Dated 10/25/2018 and others." }, "claims": [ { "evidence": "The Reporting Persons acquired the additional Shares reported in this Amendment for investment purposes, based on their belief that the Common Stock is an attractive investment in light of current industry conditions.", "kind": "amendment_news", "receipt": "0001944761-26-000004" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "Nilesh Undavia reports 2,211,504 shares in a Schedule 13D amendment filed Sept. 18, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Nilesh Undavia", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "Nilesh Undavia" }, "text": "Nilesh Undavia" }, { "key": "filer", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Nilesh Undavia" }, "text": "Nilesh Undavia" }, { "key": "issuer", "receipt": "0001944761-26-000004", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "GRAFTECH INTERNATIONAL LTD" }, "text": "GrafTech International Ltd" }, { "key": "pct", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "8.5" }, "text": "8.5%" }, { "key": "shares", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "2211504.00" }, "text": "2,211,504" }, { "key": "filed_date", "receipt": "0001944761-26-000004", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-18" }, "text": "Sept. 18, 2026" }, { "key": "event_date", "receipt": "0001944761-26-000004", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/16/2026" }, "text": "Sept. 16, 2026" }, { "key": "action_quote", "receipt": "0001944761-26-000004", "source": { "model_proposed": true, "path": "text", "value": "The Reporting Persons acquired the additional Shares reported in this Amendment for investment purposes, based on their belief that the Common Stock is an attractive investment in light of current industry conditions." }, "text": "The Reporting Persons acquired the additional Shares reported in this Amendment for investment purposes, based on their belief that the Common Stock is an attractive investment in light of current industry conditions." }, { "key": "co_filer_0", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Liliana Undavia" }, "text": "Liliana Undavia" }, { "key": "co_filer_1", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Kanta Undavia" }, "text": "Kanta Undavia" }, { "key": "co_filer_2", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]", "value": "The Nilesh P Undavia 2018 Trust u/a Dated 10/25/2018" }, "text": "The Nilesh P Undavia 2018 Trust u/a Dated 10/25/2018" }, { "key": "co_filer_3", "receipt": "0001944761-26-000004", "source": { "path": "formData/reportingPersons/reportingPersonInfo[5]", "value": "The Liliana Arsenio-Undavia 2018 Trust u/a Dated 10/25/2018" }, "text": "The Liliana Arsenio-Undavia 2018 Trust u/a Dated 10/25/2018" }, { "key": "security", "receipt": "0001944761-26-000004", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock" }, "text": "Common Stock" } ], "guid": "tag:alphanume.com,2026:news:s_k7k3yaefhu7t", "headline": "Nilesh Undavia adds to stake in GrafTech International Ltd, amended 13D shows", "id": "s_k7k3yaefhu7t", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" }, { "model": "claude-opus-5", "prompt": "amendment_news.v1", "purpose": "amendment_news" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:17:24+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "931148", "filed": "2026-09-18", "form": "SCHEDULE 13D/A", "id": "0001944761-26-000004", "label": "Schedule 13D accession 0001944761-26-000004", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/931148/000194476126000004/0001944761-26-000004-index.htm" } ], "record_date": "2026-09-18", "schema": "alphanume.news/item/v1", "slug": "nilesh-undavia-adds-to-stake-in-graftech-international-ltd-amended-13d-shows", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/nilesh-undavia-adds-to-stake-in-graftech-international-ltd-amended-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_k7k3yaefhu7t" }, { "body": { "html": "The Justice Department announced the guilty plea on Sept. 17, 2026.
\nAccording to the Justice Department: \"From at least in or about January 2015, up to and including at least in or about August 2022, CARLTON engaged in cherry-picking, systematically assigning profitable trades to himself and unprofitable trades to his clients.\"
", "text": "The Justice Department announced the guilty plea on Sept. 17, 2026.\n\nAccording to the Justice Department: \"From at least in or about January 2015, up to and including at least in or about August 2022, CARLTON engaged in cherry-picking, systematically assigning profitable trades to himself and unprofitable trades to his clients.\"" }, "claims": [ { "evidence": "United States Attorney for the Southern District of New York, Jamie McDonald, and Assistant Director in Charge of the New York Field Office of the Federal Bureau of Investigation (\"FBI\"), James C. Barnacle, Jr., announced today that WILLIAM CARLTON has been charged and pled guilty to securities fraud for his role in a scheme to defraud his investment advisory clients by \"cherry picking,\" systematically allocating profitable trades to himself and allocating unprofitable trades to his clients.", "kind": "pleads_guilty", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "The release describes William Carlton as an investment adviser to more than 50 clients every year.", "desk": "regulatory", "desk_label": "Regulatory Actions", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "William Carlton", "role": "respondent" } ], "facts": [ { "key": "respondent", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": { "path": "text", "value": "WILLIAM CARLTON" }, "text": "William Carlton" }, { "key": "release_date", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": { "path": "index:date", "value": "2026-09-17" }, "text": "Sept. 17, 2026" }, { "key": "descriptor", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": { "model_proposed": true, "path": "text", "value": "investment adviser to more than 50 clients every year" }, "text": "investment adviser to more than 50 clients every year" }, { "key": "conduct_phrase", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": { "model_proposed": true, "path": "text", "value": "Cherry-Picking Scheme" }, "text": "cherry-picking scheme" }, { "key": "allegation_quote", "receipt": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": { "model_proposed": true, "path": "text", "value": "From at least in or about January 2015, up to and including at least in or about August 2022, CARLTON engaged in cherry-picking, systematically assigning profitable trades to himself and unprofitable trades to his clients." }, "text": "From at least in or about January 2015, up to and including at least in or about August 2022, CARLTON engaged in cherry-picking, systematically assigning profitable trades to himself and unprofitable trades to his clients." } ], "guid": "tag:alphanume.com,2026:news:s_b2b7kzqbxik7", "headline": "William Carlton pleads guilty in cherry-picking scheme case", "id": "s_b2b7kzqbxik7", "kind": "story", "legal": { "allegation": true, "stage": "pleaded" }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "regulatory_summary.v3", "purpose": "regulatory_summary" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:13:37+00:00", "reviewers": 2 }, "template": "regulatory_action.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "filed": "2026-09-17", "form": "doj-press", "id": "doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "label": "Justice Department press release doj:31e74e43-8d15-4d6c-b7de-619aa6f475be", "source": "doj", "type": "doj_key", "type_label": "DOJ press release", "url": "https://www.justice.gov/usao-sdny/pr/former-investment-adviser-pleads-guilty-cherry-picking-scheme" } ], "record_date": "2026-09-17", "schema": "alphanume.news/item/v1", "slug": "william-carlton-pleads-guilty-in-cherry-picking-scheme-case", "status": "published", "type": "doj_action", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/william-carlton-pleads-guilty-in-cherry-picking-scheme-case", "api_url": "https://news.alphanume.com/api/v1/stories/s_b2b7kzqbxik7" }, { "body": { "html": "MAK Capital Fund LP filed a Schedule 13D amendment on Sept. 16, 2026 reporting beneficial ownership of 5,065,656 shares of Comstock Inc. Common Stock, par value $0.000666 per share, or 6.7% of the class. The filing gives Sept. 14, 2026 as the date of the event that required it.
\nThe filing says: \"MAK Fund has undertaken the sales reported in this Amendment No. 1 to the Schedule 13D to effectuate a rebalancing of its portfolio.\"
\nThe filing is made jointly with Mak Capital One LLC, Kaufman Michael A.
", "text": "MAK Capital Fund LP filed a Schedule 13D amendment on Sept. 16, 2026 reporting beneficial ownership of 5,065,656 shares of Comstock Inc. Common Stock, par value $0.000666 per share, or 6.7% of the class. The filing gives Sept. 14, 2026 as the date of the event that required it.\n\nThe filing says: \"MAK Fund has undertaken the sales reported in this Amendment No. 1 to the Schedule 13D to effectuate a rebalancing of its portfolio.\"\n\nThe filing is made jointly with Mak Capital One LLC, Kaufman Michael A." }, "claims": [ { "evidence": "MAK Fund has undertaken the sales reported in this Amendment No. 1 to the Schedule 13D to effectuate a rebalancing of its portfolio.", "kind": "amendment_news", "receipt": "0000921895-26-002563" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "MAK Capital Fund LP reports 5,065,656 shares in a Schedule 13D amendment filed Sept. 16, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "1426156" }, "in_headline": true, "name": "MAK Capital Fund LP", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]", "value": "MAK Capital Fund LP" }, "text": "MAK Capital Fund LP" }, { "key": "filer", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "MAK Capital Fund LP" }, "text": "MAK Capital Fund LP" }, { "key": "issuer", "receipt": "0000921895-26-002563", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "Comstock Inc." }, "text": "Comstock Inc." }, { "key": "pct", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "6.7" }, "text": "6.7%" }, { "key": "shares", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "5065656.00" }, "text": "5,065,656" }, { "key": "filed_date", "receipt": "0000921895-26-002563", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-16" }, "text": "Sept. 16, 2026" }, { "key": "event_date", "receipt": "0000921895-26-002563", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/14/2026" }, "text": "Sept. 14, 2026" }, { "key": "action_quote", "receipt": "0000921895-26-002563", "source": { "model_proposed": true, "path": "text", "value": "MAK Fund has undertaken the sales reported in this Amendment No. 1 to the Schedule 13D to effectuate a rebalancing of its portfolio." }, "text": "MAK Fund has undertaken the sales reported in this Amendment No. 1 to the Schedule 13D to effectuate a rebalancing of its portfolio." }, { "key": "co_filer_0", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "MAK CAPITAL ONE LLC" }, "text": "Mak Capital One LLC" }, { "key": "co_filer_1", "receipt": "0000921895-26-002563", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Kaufman Michael A" }, "text": "Kaufman Michael A" }, { "key": "security", "receipt": "0000921895-26-002563", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.000666 per share" }, "text": "Common Stock, par value $0.000666 per share" } ], "guid": "tag:alphanume.com,2026:news:s_zrj5sgudfha7", "headline": "MAK Capital Fund LP sells Comstock Inc. shares, amended 13D shows", "id": "s_zrj5sgudfha7", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "model", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" }, { "model": "claude-opus-5", "prompt": "amendment_news.v1", "purpose": "amendment_news" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:16:22+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1120970", "filed": "2026-09-16", "form": "SCHEDULE 13D/A", "id": "0000921895-26-002563", "label": "Schedule 13D accession 0000921895-26-002563", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1120970/000092189526002563/0000921895-26-002563-index.htm" } ], "record_date": "2026-09-16", "schema": "alphanume.news/item/v1", "slug": "mak-capital-fund-lp-sells-comstock-inc-shares-amended-13d-shows", "status": "published", "type": "activist_13d_amendment", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/mak-capital-fund-lp-sells-comstock-inc-shares-amended-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_zrj5sgudfha7" }, { "body": { "html": "Oasis Management Co Ltd. filed a Schedule 13D on Sept. 16, 2026 reporting beneficial ownership of 2,199,016 shares of Vail Resorts Inc Common Stock, par value $0.01 per share, or 6.2% of the class. The filing gives Sept. 11, 2026 as the date of the event that required it.
\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"On September 10, 2026, the Oasis Fund delivered to the Issuer a notice (the \"Nomination Notice\") of its intention to nominate Mr. Chapek, Mr. Hudson, Mr. Roberts, and Ms. Street (collectively, the \"Nominees\") for election to the Board at the Issuer's 2026 annual meeting of stockholders (the \"2026 Annual Meeting\").\"
\nThe filing is made jointly with Seth Fischer, Robert Chapek, M. Ashton Hudson, Bryce Roberts and others.
", "text": "Oasis Management Co Ltd. filed a Schedule 13D on Sept. 16, 2026 reporting beneficial ownership of 2,199,016 shares of Vail Resorts Inc Common Stock, par value $0.01 per share, or 6.2% of the class. The filing gives Sept. 11, 2026 as the date of the event that required it.\n\nIn Item 4, which sets out the purpose of the transaction, the filing says: \"On September 10, 2026, the Oasis Fund delivered to the Issuer a notice (the \"Nomination Notice\") of its intention to nominate Mr. Chapek, Mr. Hudson, Mr. Roberts, and Ms. Street (collectively, the \"Nominees\") for election to the Board at the Issuer's 2026 annual meeting of stockholders (the \"2026 Annual Meeting\").\"\n\nThe filing is made jointly with Seth Fischer, Robert Chapek, M. Ashton Hudson, Bryce Roberts and others." }, "claims": [], "contact": "research@alphanume.com", "corrections": [], "dek": "Oasis Management Co Ltd. reports 2,199,016 shares in a Schedule 13D filed Sept. 16, 2026.", "desk": "activism", "desk_label": "Activism", "entities": [ { "basis": "identifier or the record itself", "in_headline": true, "name": "Oasis Management", "role": "filer" } ], "facts": [ { "key": "activist", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons (matcher)", "value": "Oasis Management Co Ltd." }, "text": "Oasis Management" }, { "key": "filer", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/reportingPersonName", "value": "Oasis Management Co Ltd." }, "text": "Oasis Management Co Ltd." }, { "key": "issuer", "receipt": "0000902664-26-003832", "source": { "path": "formData/coverPageHeader/issuerInfo/issuerName", "value": "VAIL RESORTS INC" }, "text": "Vail Resorts Inc" }, { "key": "pct", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/percentOfClass", "value": "6.2" }, "text": "6.2%" }, { "key": "shares", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[1]/aggregateAmountOwned", "value": "2199016.00" }, "text": "2,199,016" }, { "key": "filed_date", "receipt": "0000902664-26-003832", "source": { "path": "edgar:daily-index/date-filed", "value": "2026-09-16" }, "text": "Sept. 16, 2026" }, { "key": "event_date", "receipt": "0000902664-26-003832", "source": { "path": "formData/coverPageHeader/dateOfEvent", "value": "09/11/2026" }, "text": "Sept. 11, 2026" }, { "key": "purpose_quote", "receipt": "0000902664-26-003832", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "On September 10, 2026, the Oasis Fund delivered to the Issuer a notice (the \"Nomination Notice\") of its intention to nominate Mr. Chapek, Mr. Hudson, Mr. Roberts, and Ms. Street (collectively, the \"Nominees\") for election to the Board at the Issuer's 2026 annual meeting of stockholders (the \"2026 Annual Meeting\")." }, "text": "On September 10, 2026, the Oasis Fund delivered to the Issuer a notice (the \"Nomination Notice\") of its intention to nominate Mr. Chapek, Mr. Hudson, Mr. Roberts, and Ms. Street (collectively, the \"Nominees\") for election to the Board at the Issuer's 2026 annual meeting of stockholders (the \"2026 Annual Meeting\")." }, { "key": "demand_phrase", "receipt": "0000902664-26-003832", "source": { "path": "formData/items1To7/item4 (verbatim)", "value": "its intention to nominate" }, "text": "its intention to nominate" }, { "key": "co_filer_0", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[2]", "value": "Seth Fischer" }, "text": "Seth Fischer" }, { "key": "co_filer_1", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[3]", "value": "Robert Chapek" }, "text": "Robert Chapek" }, { "key": "co_filer_2", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[4]", "value": "M. Ashton Hudson" }, "text": "M. Ashton Hudson" }, { "key": "co_filer_3", "receipt": "0000902664-26-003832", "source": { "path": "formData/reportingPersons/reportingPersonInfo[5]", "value": "Bryce Roberts" }, "text": "Bryce Roberts" }, { "key": "security", "receipt": "0000902664-26-003832", "source": { "path": "formData/coverPageHeader/securitiesClassTitle", "value": "Common Stock, par value $0.01 per share" }, "text": "Common Stock, par value $0.01 per share" } ], "guid": "tag:alphanume.com,2026:news:s_ijcosqclc4cw", "headline": "Oasis Management discloses a 6.2% stake in Vail Resorts Inc, 13D shows", "id": "s_ijcosqclc4cw", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [ { "model": "claude-opus-5", "prompt": "activism_classify.v1", "purpose": "activism_classify" } ], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:15:24+00:00", "reviewers": 2 }, "template": "activist_13d.v7" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "1317904", "filed": "2026-09-16", "form": "SCHEDULE 13D", "id": "0000902664-26-003832", "label": "Schedule 13D accession 0000902664-26-003832", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/1317904/000090266426003832/0000902664-26-003832-index.htm" } ], "record_date": "2026-09-16", "schema": "alphanume.news/item/v1", "slug": "oasis-management-discloses-a-6-2-stake-in-vail-resorts-inc-13d-shows", "status": "published", "type": "activist_13d_initial", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/oasis-management-discloses-a-6-2-stake-in-vail-resorts-inc-13d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_ijcosqclc4cw" }, { "body": { "html": "BW CCPRS-PA Fund, LLC filed a Form D with the SEC on Sept. 15, 2026. The filing reports $2,811,976,176 of interests sold to 2 investors, with the first sale dated Sept. 1, 2026.
\nBridgewater is named in the filing's list of related persons. The fund was formed in 2026.
\nThe filing names these related persons:
\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers.
", "text": "BW CCPRS-PA Fund, LLC filed a Form D with the SEC on Sept. 15, 2026. The filing reports $2,811,976,176 of interests sold to 2 investors, with the first sale dated Sept. 1, 2026.\n\nBridgewater is named in the filing's list of related persons. The fund was formed in 2026.\n\nThe filing names these related persons:\n\n- Robert P. Prince: Executive officer of Bridgewater Associates, LP, the Manager of the Issuer\n- Gregory S. Jensen: Executive officer of Bridgewater Associates, LP, the Manager of the Issuer\n- Karen Karniol-Tambour: Executive officer of Bridgewater Associates, LP, the Manager of the Issuer\n\nThe fund relies on Section 3(c)(7) of the Investment Company Act, which limits a fund to qualified purchasers." }, "claims": [ { "evidence": "2026", "kind": "new_fund", "receipt": "0000905148-26-004196" } ], "contact": "research@alphanume.com", "corrections": [], "dek": "A Form D filed Sept. 15, 2026 reports $2,811,976,176 of fund interests sold since a first sale on Sept. 1, 2026.", "desk": "registry", "desk_label": "Registry & People", "entities": [ { "basis": "identifier or the record itself", "identifiers": { "cik": "2142132" }, "in_headline": true, "name": "BW CCPRS-PA Fund, LLC", "role": "issuer" }, { "basis": "identifier or the record itself", "in_headline": true, "name": "Bridgewater Associates", "role": "manager" } ], "facts": [ { "key": "fund", "receipt": "0000905148-26-004196", "source": { "path": "primaryIssuer/entityName", "value": "BW CCPRS-PA Fund, LLC" }, "text": "BW CCPRS-PA Fund, LLC" }, { "key": "amount_short", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "2811976176" }, "text": "$2.8B" }, { "key": "amount_full", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/offeringSalesAmounts/totalAmountSold", "value": "2811976176" }, "text": "$2,811,976,176" }, { "key": "investors", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "two" }, { "key": "investors_digits", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/investors/totalNumberAlreadyInvested", "value": "2" }, "text": "2" }, { "key": "filed_date", "receipt": "0000905148-26-004196", "source": { "value": "2026-09-15" }, "text": "Sept. 15, 2026" }, { "key": "first_sale_date", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-01" }, "text": "Sept. 1, 2026" }, { "key": "year_of_inc", "receipt": "0000905148-26-004196", "source": { "path": "primaryIssuer/yearOfInc/value", "value": "2026" }, "text": "2026" }, { "key": "person_0", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "values": [ "Robert", "P.", "Prince" ] }, "text": "Robert P. Prince" }, { "key": "person_0_role", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, "text": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, { "key": "person_1", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "values": [ "Gregory", "S.", "Jensen" ] }, "text": "Gregory S. Jensen" }, { "key": "person_1_role", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[2]", "value": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, "text": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, { "key": "person_2", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "values": [ "Karen", "Karniol-Tambour" ] }, "text": "Karen Karniol-Tambour" }, { "key": "person_2_role", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[3]", "value": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, "text": "Executive officer of Bridgewater Associates, LP, the Manager of the Issuer" }, { "key": "manager", "receipt": "0000905148-26-004196", "source": { "path": "relatedPersonsList/relatedPersonInfo[1]", "value": "Bridgewater" }, "text": "Bridgewater" }, { "key": "fund_short", "receipt": "0000905148-26-004196", "source": { "path": "primaryIssuer/entityName", "value": "BW CCPRS-PA Fund" }, "text": "BW CCPRS-PA Fund" }, { "key": "fund_plain", "receipt": "0000905148-26-004196", "source": { "path": "primaryIssuer/entityName", "value": "BW CCPRS-PA Fund" }, "text": "BW CCPRS-PA Fund" }, { "key": "first_sale_year", "receipt": "0000905148-26-004196", "source": { "path": "offeringData/typeOfFiling/dateOfFirstSale/value", "value": "2026-09-01" }, "text": "2026" } ], "guid": "tag:alphanume.com,2026:news:s_uelf3w4onq74", "headline": "Bridgewater's new BW CCPRS-PA Fund took in $2.8B from two investors, Form D shows", "id": "s_uelf3w4onq74", "kind": "story", "legal": { "allegation": false, "stage": null }, "provenance": { "classification": "rule", "models": [], "review": { "decision": "approved", "method": "independent agent panel", "models": [ "claude-opus-5-5", "claude-opus-5-5" ], "prompt": "story_review.v2", "reviewed_at": "2026-09-29T21:21:29+00:00", "reviewers": 2 }, "template": "formd_new_fund.v4" }, "published_at": "2026-09-30T17:01:46+00:00", "receipts": [ { "cik": "2142132", "filed": "2026-09-15", "form": "D", "id": "0000905148-26-004196", "label": "Form D accession 0000905148-26-004196", "source": "edgar", "type": "accession", "type_label": "EDGAR accession", "url": "https://www.sec.gov/Archives/edgar/data/2142132/000090514826004196/0000905148-26-004196-index.htm" } ], "record_date": "2026-09-15", "schema": "alphanume.news/item/v1", "slug": "bridgewater-s-new-bw-ccprs-pa-fund-took-in-2-8b-from-two-investors-form-d-shows", "status": "published", "type": "formd_new_fund", "updated_at": "2026-09-30T17:01:46+00:00", "version": 1, "url": "https://news.alphanume.com/stories/bridgewater-s-new-bw-ccprs-pa-fund-took-in-2-8b-from-two-investors-form-d-shows", "api_url": "https://news.alphanume.com/api/v1/stories/s_uelf3w4onq74" } ], "next_cursor": "MjAyNi0wOS0zMFQxNzowMTo0NiswMDowMHwyMDI2LTA5LTE1fHNfdWVsZjN3NG9ucTc0", "next_url": "https://news.alphanume.com/api/v1/stories?limit=25&cursor=MjAyNi0wOS0zMFQxNzowMTo0NiswMDowMHwyMDI2LTA5LTE1fHNfdWVsZjN3NG9ucTc0" }