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Pearl Diver Credit Company Inc. (PDCC) filed a Rule 497 prospectus update covering data as of 30 Jun 2025. The closed-end fund reports total NAV of $123.6 million and NAV per share of $18.19 versus a market price of $17.98, reflecting a narrow -1.1% discount and a market cap of $122.2 million. The fund pays a 14.7% annual dividend, distributed monthly.

The underlying CLO portfolio is highly diversified with 1,807 loans across 1,285 obligors; average single-name exposure is just 0.08%. Top-10 obligors account for 4.7% of NAV, headed by Asurion (0.7%). Top-10 CLO positions represent 38.5% of assets, while the ten largest managers (led by Apollo at 12.5%) control 60%. By industry, Software leads at 8.3%, and the ten largest sectors together equal 43%. Cash is minimal at 0.1% and all exposure is USD-denominated.

Management reiterates that the strategy is speculative, concentrated in CLO equity and may cause principal loss; closed-end shares can trade below NAV. Investors are urged to review the prospectus and SEC filings before purchase. Any pending registration statements are not yet effective, and the securities described cannot be sold until they become effective.

AbbVie Inc. (ABBV) filed a Form 3 disclosing the initial beneficial ownership of newly appointed EVP & Chief HR Officer Demetris D. Crum. As of the reportable event date 07/01/2025, Mr. Crum directly holds 7,048 shares of AbbVie common stock, a figure that includes 1,113 restricted stock units scheduled to vest in full on 02/16/2026.

The filing also lists two employee stock option grants made under the company鈥檚 2013 Incentive Stock Program:

• 5,043 options at an exercise price of $175.28, expiring 02/14/2034; 1,681 shares became exercisable on 02/15/2025 with additional tranches in 2026 and 2027.
• 4,687 options at an exercise price of $192.86, expiring 02/12/2035; tranches vest annually from 2026-2028.

The filing is administrative, establishing Mr. Crum鈥檚 initial ownership under Section 16 reporting rules. No purchase or sale transactions are reported, and no new equity issuance by AbbVie is involved.

Schedule 13G Overview 鈥� The Vanguard Group & Ralliant Corp (RAL)

On 30 June 2025, The Vanguard Group filed a Schedule 13G reporting passive beneficial ownership of Ralliant Corp鈥檚 common stock. Vanguard now controls 13,174,096 shares, representing 11.65 % of RAL鈥檚 outstanding shares. The filing is made under Rule 13d-1(b) because Vanguard is an SEC-registered investment adviser ("IA").

Voting vs. dispositive authority

• Sole voting power: 0 shares
• Shared voting power: 49,118 shares
• Sole dispositive power: 12,898,650 shares
• Shared dispositive power: 275,446 shares

While Vanguard has virtually no direct voting power, it retains the right to dispose of nearly all of the reported shares, indicating the holding is spread across indexed and managed funds that delegate voting to third parties or follow fund-level policies.

Implications for investors

• Crossing the 10 % threshold makes Vanguard a significant institutional holder, potentially increasing RAL鈥檚 visibility among passive and ETF-tracking investors.
• The passive 13G filing (rather than an activist 13D) signals no intention to influence control or strategy.
• Concentrated ownership may add liquidity support but could create share-supply risk if Vanguard trims its position.

The certification confirms the stake was acquired in the ordinary course of business and not to influence management. The document is signed by Ashley Grim, Head of Global Fund Administration, on 7 July 2025.

Harte Hanks (HHS) has filed a Form 4 revealing that General Counsel Robert T. Wyman received 25,000 restricted stock units (RSUs) on 2 June 2025 at a reference price of $4.55 per share. The RSUs vest in three equal annual tranches on each anniversary of the grant date, encouraging long-term retention and alignment with shareholder interests.

After the award, Wyman reports 27,217 directly held common shares and 33,334 unvested RSUs鈥�25,000 from the new 2025 grant plus 8,334 remaining from a 12,500-share grant made on 4 Mar 2024. The RSUs are held indirectly by the company until they vest, and no derivative securities, option exercises or open-market transactions were disclosed.

The filing represents routine executive equity compensation rather than an outright purchase. Immediate cash outlay is zero, and the incremental dilution from 25,000 shares is expected to be negligible relative to the company鈥檚 total share count. While the grant reinforces incentive alignment, it is unlikely to have a material impact on Harte Hanks鈥� near-term valuation or trading dynamics.

Potbelly Corporation (PBPB) 鈥� Form 4 filing: President & CEO Robert D. Wright reported three Code F transactions on 06/30/2025. Code F denotes shares surrendered to the issuer to cover tax obligations arising from the vesting of previously granted restricted stock units (RSUs).

• Shares withheld: 1,004, 537 and 641, totaling 2,182 common shares at an indicated price of $12.25.
• Post-transaction ownership: 780,254 common shares held directly.
• Context: The surrendered shares represent tax-related withholding, not open-market sales, and reduce Mr. Wright鈥檚 stake by a small fraction relative to his overall holdings.

No derivative security activity was reported, and there were no purchases or sales for investment purposes. The filing is routine and conveys minimal impact on Potbelly鈥檚 share-count or insider ownership profile.

Potbelly Corporation (PBPB) 鈥� Form 4 filing: President & CEO Robert D. Wright reported three Code F transactions on 06/30/2025. Code F denotes shares surrendered to the issuer to cover tax obligations arising from the vesting of previously granted restricted stock units (RSUs).

• Shares withheld: 1,004, 537 and 641, totaling 2,182 common shares at an indicated price of $12.25.
• Post-transaction ownership: 780,254 common shares held directly.
• Context: The surrendered shares represent tax-related withholding, not open-market sales, and reduce Mr. Wright鈥檚 stake by a small fraction relative to his overall holdings.

No derivative security activity was reported, and there were no purchases or sales for investment purposes. The filing is routine and conveys minimal impact on Potbelly鈥檚 share-count or insider ownership profile.