{"schema_version":"secwatch.filing_event.v1","accession":"0001521945-26-000031","form_type":"8-K","ticker":null,"cik":"0001521945","company_name":"Prospect Floating Rate & Alternative Income Fund, Inc.","filed_at":"2026-03-06T23:59:59+00:00","discovered_at":"2026-05-14T18:02:35.313184+00:00","generated_at":"2026-05-15T18:39:31.495958+00:00","sec_items":["5.03","5.07","8.01","9.01"],"event_type":"other_material","sentiment":"neutral","materiality_score":0.5,"calibrated_materiality_score":0.5,"confidence":"high","headline":"Prospect Floating Rate & Alternative Income Fund adopts governance changes and fee reduction until exchange listing","bullets":["Stockholders approved Fifth Articles of Amendment and Restatement, increasing quorum to 50% and dividing common stock into four classes.","Bylaws amended to require majority vote for director elections and for amendments affecting stockholder rights.","Investment advisory agreement amended: management fee reduced to 1.20% of total assets until one year after exchange listing, then 1.75% with incentive fee.","Administration agreement also amended to conform to NASAA Omnibus Guidelines; all changes effective March 4, 2026.","Fee reduction provides incentive for future listing of common stock on a national securities exchange."],"urls":{"canonical":"https://secwatch.observer/filing/0001521945-26-000031","json":"https://secwatch.observer/filing/0001521945-26-000031.json","markdown":"https://secwatch.observer/filing/0001521945-26-000031.md","text":"https://secwatch.observer/filing/0001521945-26-000031.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/pfloat-20260306.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-15T18:39:31.495958+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"0de0618daaad2541b874bfcd054f3d3764ba093a","claim":"Prospect Floating Rate & Alternative Income Fund, Inc.: Adopted Fifth Amended and Restated Bylaws to conform to NASAA Omnibus Guidelines, changing director election voting standard and requiring stockholder majority concurrence for adverse bylaw amendments (effective 2026-03-04).","evidence_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","evidence_source":"SEC 8-K Item 5.03/5.05/5.06","evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","confidence":0.9},{"claim_id":"a2fe9a944f4ceb1eb11174d05792a9b7ad4c916a","claim":"Prospect Floating Rate & Alternative Income Fund, Inc.: Amended Fourth Articles to conform to NASAA Omnibus Guidelines, increasing quorum to 50%, dividing common stock into four classes, and changing stockholder meeting and director removal provisions (effective 2026-03-06).","evidence_excerpt":"On March 6, 2026, the Company filed its Fifth Articles of Amendment and Restatement with the State Department of Assessments and Taxation of Maryland and the amendment became effective immediately upon filing.","evidence_source":"SEC 8-K Item 5.03/5.05/5.06","evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","confidence":0.9}],"comparable_filings":[{"accession":"0001193125-26-201035","ticker":null,"company_name":"BANCPLUS CORP","filed_at":"2026-05-01T23:59:59+00:00","headline":"BancPlus shareholders approve board declassification, remove supermajority voting; declares $0.53 quarterly dividend","event_type":"other_material","sec_items":["5.03","5.07","8.01","9.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 8.01, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001193125-26-201035","json":"https://secwatch.observer/filing/0001193125-26-201035.json","markdown":"https://secwatch.observer/filing/0001193125-26-201035.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1118004/000119312526201035/0001193125-26-201035-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1118004/000119312526201035/ck0001118004-20260428.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","comparable_excerpt":"At the 2026 Annual Meeting of Shareholders, held on April 28, 2026, BancPlus Corporation (the “Company”) approved an amendment to its Articles of Incorporation to phase out the classified structure of its Board of Directors (the “Board”) over a three‐year period, beginning with the 2026 Annual Meeting of Shareholders and concluding at the 2028 Annual Meeting of Shareholders, at which time all directors will be elected annually (the “Declassification Amendment”).","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1118004/000119312526201035/0001193125-26-201035-index.htm"}},{"accession":"0000943374-26-000219","ticker":"DCOM","company_name":"Dime Community Bancshares, Inc. /NY/","filed_at":"2026-06-01T20:02:33+00:00","headline":"Dime Commercial Bancshares name change effective; three executives amend employment agreements","event_type":"other_material","sec_items":["5.02","5.03","5.07","9.01"],"materiality_score":0.55,"calibrated_materiality_score":0.55,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0000943374-26-000219","json":"https://secwatch.observer/filing/0000943374-26-000219.json","markdown":"https://secwatch.observer/filing/0000943374-26-000219.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/846617/000094337426000219/0000943374-26-000219-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/846617/000094337426000219/form8k_052826.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","comparable_excerpt":"On May 28, 2026, the Company filed with the Department of State of the State of New York a Certificate of Amendment to Certificate of Incorporation to change our corporate name from Dime Community Bancshares, Inc. to Dime Commercial Bancshares, Inc., effective immediate.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/846617/000094337426000219/0000943374-26-000219-index.htm"}},{"accession":"0001437749-26-018930","ticker":"CPSH","company_name":"CPS TECHNOLOGIES CORP/DE/","filed_at":"2026-06-01T13:35:50+00:00","headline":"CPS Technologies closes $9.6M registered direct offering of 1.2M shares at $8.00/share","event_type":"other_material","sec_items":["1.01","5.03","8.01","9.01"],"materiality_score":0.6,"calibrated_materiality_score":0.6,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 8.01, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001437749-26-018930","json":"https://secwatch.observer/filing/0001437749-26-018930.json","markdown":"https://secwatch.observer/filing/0001437749-26-018930.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/0001437749-26-018930-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/cpsh20260528_8k.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","comparable_excerpt":"On May 27, 2026, the Company filed with the Secretary of State of the State of Delaware a Certificate of Amendment (the “Amendment”) of the Company’s Restated Certificate of Incorporation, effective as of the same date. The Amendment increased the number of shares of common stock, $0.01 par value per share (the “Common Stock”), that the Company is authorized to issue from 20,000,000 to 25,000,000.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/0001437749-26-018930-index.htm"}},{"accession":"0001065696-26-000036","ticker":"LKQ","company_name":"LKQ CORP","filed_at":"2026-05-08T23:59:59+00:00","headline":"LKQ stockholders approve 25% special meeting right; all director nominees elected","event_type":"other_material","sec_items":["5.03","5.07","9.01"],"materiality_score":0.4,"calibrated_materiality_score":0.4,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001065696-26-000036","json":"https://secwatch.observer/filing/0001065696-26-000036.json","markdown":"https://secwatch.observer/filing/0001065696-26-000036.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1065696/000106569626000036/0001065696-26-000036-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1065696/000106569626000036/lkq-20260506.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","comparable_excerpt":"the Company’s stockholders, upon the recommendation of the Company’s board of directors (the “Board”), approved an amendment (the “Charter Amendment”) to the Company’s Restated Certificate of Incorporation to provide stockholders holding a combined 25% or more of the Company’s common stock with the right to request a special meeting of stockholders.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1065696/000106569626000036/0001065696-26-000036-index.htm"}},{"accession":"0001104659-26-057731","ticker":"AEIS","company_name":"ADVANCED ENERGY INDUSTRIES INC","filed_at":"2026-05-08T23:59:59+00:00","headline":"AEIS stockholders approve doubling of authorized shares to 140M and expansion of equity plan to 4.9M shares","event_type":"other_material","sec_items":["5.02","5.07","5.03","9.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001104659-26-057731","json":"https://secwatch.observer/filing/0001104659-26-057731.json","markdown":"https://secwatch.observer/filing/0001104659-26-057731.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/927003/000110465926057731/0001104659-26-057731-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/927003/000110465926057731/tm2612734d2_8k.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"On March 4, 2026, the Company adopted the Fifth Amended and Restated Bylaws for the purpose of amending the Company’s Fourth Amended and Restated Bylaws to conform to provisions of the NASAA Omnibus Guidelines.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1521945/000152194526000031/0001521945-26-000031-index.htm","comparable_excerpt":"the amendment increases the number of authorized shares of common stock from 70,000,000 shares to 140,000,000 shares. The amendment became effective upon the filing of a Certificate of Amendment to the Amended and Restated Certificate of Incorporation (the “Certificate of Amendment”) with the Secretary of State of the State of Delaware on May 7, 2026.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/927003/000110465926057731/0001104659-26-057731-index.htm"}},{"accession":"0001193125-26-211978","ticker":"JPM","company_name":"JPMORGAN CHASE & CO","filed_at":"2026-05-07T23:59:59+00:00","headline":"JPMorgan issues $3B of 6.100% Fixed-Rate Reset Non-Cumulative Preferred Stock, Series PP","event_type":"other_material","sec_items":["3.03","5.03","8.01","9.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 8.01, 9.01","same event type: other_material","similar 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State of the State of Delaware, establishing the rights, preferences, privileges, qualifications, restrictions and limitations relating to the Series PP Preferred Stock","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/19617/000119312526211978/0001193125-26-211978-index.htm"}},{"accession":"0001193125-26-212065","ticker":"FBIN","company_name":"Fortune Brands Innovations, Inc.","filed_at":"2026-05-07T23:59:59+00:00","headline":"Fortune Brands shareholders approve removal of supermajority voting, board declassification","event_type":"other_material","sec_items":["5.03","5.07","9.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 9.01","same event type: other_material","similar 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Certificate of Incorporation, the form of which was included as Appendix B to the Company's definitive Proxy Statement.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1519751/000119312526212065/0001193125-26-212065-index.htm"}},{"accession":"0001213900-26-053305","ticker":"CLRCF","company_name":"ClimateRock","filed_at":"2026-05-07T23:59:59+00:00","headline":"ClimateRock shareholders approve extension to November 2, 2026 and redeem 4,543 shares for ~$59.9 million","event_type":"other_material","sec_items":["5.03","5.07","9.01"],"materiality_score":0.6,"calibrated_materiality_score":0.6,"match_reasons":["same fact type: governance_change","same SEC item: 5.03, 5.07, 9.01","same event type: other_material","similar 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The disclosure contained in","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1903392/000121390026053305/0001213900-26-053305-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}