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Wednesday, November 4, 2026

Companies

Public company updates

Investment Managers Series Trust III reports $1.4B in assets

Investment Managers Series Trust III's latest NPORT-P filing shows $1.4 billion in total assets, indicating a stable financial position in the investment management sector.

Investment Managers Series Trust III Reports Latest Portfolio Data

Investment Managers Series Trust III discloses recent portfolio data, showcasing significant investments and performance metrics as of August 31, 2026.

Prospect Capital prices $300 million unsecured notes offering

Prospect Capital Corp has priced a $300 million offering of 8.95% unsecured notes due 2031, enhancing its financing and refinancing existing debt.

RBB Fund announces change in portfolio manager team

RBB Fund, Inc. has announced a change in its portfolio management team, with Michael J. Olsen stepping down, impacting the Motley Fool Global Opportunities ETF.

511 Therapeutics raises $1 million in new offering

511 Therapeutics, Inc. has filed to raise $1 million, reflecting ongoing fundraising efforts in the biotechnology sector.

JPMorgan Chase unveils callable fixed-rate notes due 2033

JPMorgan Chase & Co. files a preliminary pricing supplement for callable fixed-rate notes, aiming to enhance its capital structure in a competitive banking landscape.

JPMorgan Chase issues callable fixed-rate notes to investors

JPMorgan Chase & Co. has announced the issuance of callable fixed-rate notes, offering a 6.05% interest rate to investors.

UBS AG files pricing supplement for $7.03 million notes

UBS AG has filed a pricing supplement for $7,031,000 in Trigger Autocallable Contingent Yield Notes, signaling a strategic move in the national commercial banking sector.

Spirit of America Investment Fund reports $176.39M in assets

Spirit of America Investment Fund Inc. reveals total assets of $176.39 million in its latest NPORT-P filing, highlighting investment performance metrics.

Harmony Gold Mining files annual report for fiscal year 2026

Harmony Gold Mining Company Limited has submitted its annual report for the fiscal year ending June 30, 2026, enhancing transparency in the gold mining sector.

Bank of Nova Scotia Unveils New Autocallable Notes

Bank of Nova Scotia files for new Autocallable Notes linked to SpaceX, aiming to attract investors in a competitive banking landscape.

JPMorgan Chase Financial Co. launches new S&P 500-linked offering

JPMorgan Chase Financial Co. LLC announces a new security linked to the S&P 500 Index, valued at $12.87 million, enhancing its financial product offerings.

JPMorgan Chase Financial Co. issues $743,000 in notes

JPMorgan Chase Financial Co. LLC has issued $743,000 in structured investment notes linked to the MerQube US Large-Cap Vol Advantage Index, fully guaranteed by JPMorgan Chase & Co.

Soundlink Investment Partners amends private offering details

Soundlink Investment Partners, LP has amended its private offering, reflecting changes in its investment strategy and operations in the hedge fund sector.

JPMorgan Chase Financial Co. unveils $100K structured notes

JPMorgan Chase Financial Co. LLC files for $100,000 in auto callable contingent interest notes linked to Intel stock, targeting innovative investment strategies.

First Trust AlphaDEX Fund Names New Portfolio Manager

First Trust Exchange-Traded AlphaDEX Fund appoints Chris Fallow as portfolio manager, effective November 1, 2026, aiming to enhance investment strategies.

Lloyds Bank appoints agent for U.S. service of process

Lloyds Bank plc files Form F-N/A with the SEC, appointing Pia Friis as its agent for service of process in the U.S., enhancing its operational framework.

Arbejdsmarkedets Tillaegspension reports $3.93 billion in assets

Arbejdsmarkedets Tillaegspension's latest filing shows $3.93 billion in assets, reflecting its strategic investment management approach.

JPMorgan Chase Financial Co. unveils $200K structured notes

JPMorgan Chase Financial Co. LLC announces a $200,000 offering of structured investment notes linked to the S&P 500 Futures Index, highlighting industry trends.

JPMorgan Chase Financial Co. issues $1 million in notes

JPMorgan Chase Financial Co. LLC has issued $1 million in Auto Callable Accelerated Barrier Notes linked to major stock indices, reflecting strategic financial moves.

Financialist News Desk

Our desk turns official SEC filings into news. Each story is checked against the original filing. About us → · Editorial standards →