Global High-Priority Regulatory Events — September 10, 2026

10-09-2026

Shah Foods Ltd announced the resignation of Executive Director Mr. Manan Rajesh Patel effective September 7, 2026, following the completion of an open offer process under SEBI's Takeover Code. The resignation is part of a change in management control triggered by the open offer. No financial figures or performance metrics were disclosed in this filing.

• · Resignation effective from close of business on September 7, 2026
• · Resignation is consequent to change in management pursuant to completion of open offer process under SEBI (SAST) Regulations, 2011
• · No material reasons for resignation other than those stated
• · Director confirmed no other material reasons in resignation letter

10-09-2026

Shilpa Medicare Limited disclosed that the NCLT Ahmedabad Bench has admitted an insolvency petition under Section 9 of the IBC against its wholly owned subsidiary, FTF Pharma Private Limited, and ordered the commencement of CIRP. The petition was filed by Immacule Lifesciences Private Limited over an alleged operational debt of ₹2,18,03,319. The company is evaluating its legal options, and the financial impact on Shilpa Medicare is not yet ascertainable.

• · The NCLT order was pronounced on September 9, 2026, in CP (IB) No. 346 (AHM) 2025.
• · The CIRP includes a moratorium under Section 14 of the IBC.
• · The IRP appointed is Mr. Sunil Kumar Kedia (IBBI Registration No. IBBI/IPA-001/IP-P00028/2016-2017/10064).
• · The NCLT held that there was no valid pre-existing dispute sufficient to reject the application.
• · No violation or contravention by the listed entity (Shilpa Medicare) has been alleged or determined in the order.

10-09-2026

Sammaan Capital Limited held a court-convened meeting of equity shareholders on September 10, 2026, to approve a Scheme of Arrangement for the demerger of Sammaan Finserve Limited's NBFC undertaking into Sammaan Capital Limited, as directed by the NCLT. The meeting initially lacked the required 75% quorum but proceeded after a 30-minute adjournment, with the remaining shareholders deemed to constitute the quorum. The results of the voting will be declared within two working days.

• · The meeting was convened pursuant to NCLT Order dated June 12, 2026, read with Rectification/Clarification Order dated July 10, 2026.
• · Remote e-voting was open from September 6, 2026, to September 9, 2026.
• · The meeting concluded at 1:17 P.M. (IST).
• · The Chairperson's report on the result will be submitted to the NCLT within three days from the meeting date.

10-09-2026

SEBI issued a Compliance Release Order (Certificate No. RC 722 of 2015) against Softrak Venture Investment Limited, concluding recovery proceedings in the matter of the company. The order indicates that the company has satisfied the compliance requirements set by the regulator, resulting in the release of the certificate. No financial penalties or amounts are specified in this filing.

• · The release order pertains to Certificate No. RC 722 of 2015.
• · The order was issued on September 10, 2026.
• · The company's PAN is AAOCS4146C.
• · This is categorized under SEBI's Recovery Proceedings enforcement actions.

10-09-2026

The Hon'ble NCLT, Mumbai Bench, has approved a resolution plan for VXL Instruments Ltd., which has been under CIRP since November 2024. The plan, submitted by a consortium of NG Organics Private Limited and Mr. Nitinbhai Govindbhai Patel, involves a total bid value of ₹7.00 Crore and will result in near-total dilution for existing public shareholders, who will be left with only a 5.00% stake. The company had a negative net worth of ₹(5,30,80,000) as of March 31, 2026, and no fixed assets, indicating a complete financial restructuring.

• · The Resolution Plan has been approved under Section 31 of the Insolvency and Bankruptcy Code, 2016, and is binding on all stakeholders from September 09, 2026.
• · All existing liabilities, except those specifically assumed, stand irrevocably extinguished and abated.
• · The company had no fixed assets prior to CIRP, with its factory at Hosur on rental basis.
• · All enforcement proceedings against the company's assets shall stand withdrawn or terminated.
• · The Resolution Applicant has confirmed availability of alternative funding sources, including bank finance or strategic investors, subject to Section 29A of the IBC.

10-09-2026

JSW Infrastructure Limited, through its step-down wholly owned subsidiary Khurja Rail Terminal Private Limited, has successfully implemented the Approved Resolution Plan and acquired NCR Rail Infrastructure Limited (NCR Rail) effective 10th September 2026, making NCR Rail a step-down wholly owned subsidiary. The total cost of acquisition is Rs. 467.47 Crore, plus an additional Rs. 41.94 Crore for purchase of ~39.57 acres of land from Arshiya Limited. NCR Rail has been loss-making with negative net worth, reporting a PAT loss of Rs. 25.96 Crore in FY2026 and a net worth of Rs. (2,168.69) Crore, though revenue has grown modestly from Rs. 8.63 Crore in FY2024 to Rs. 11.19 Crore in FY2026.

• · NCR Rail was incorporated on 7th April 2008 and is based in India.
• · The acquisition was approved by the National Company Law Tribunal, Mumbai, Bench II on 22nd January 2026.
• · AMD Business Support Services Private Limited, a non-operational entity incorporated on 24th November 2009, became a step-down subsidiary as a consequence.
• · The acquisition is not a related party transaction.
• · The acquisition is for integration and expansion of logistics business.

10-09-2026

Tarsus Pharmaceuticals completed its acquisition of Alkeus Pharmaceuticals, adding worldwide rights to gildeuretinol (ALK-001), a Phase 3 investigational oral therapy for Stargardt disease, a rare inherited retinal disease with no FDA-approved treatment. The deal, announced August 6, 2026, closed September 4, 2026, and strengthens Tarsus' eye care pipeline. While the acquisition expands Tarsus' leadership in eye care, the asset is still in clinical development with topline data not expected until 2029, and the company faces the risk that anticipated benefits may not be realized.

• · ALK-001 has received Breakthrough Therapy, Orphan Drug, Fast Track, and Rare Pediatric Disease designations from the FDA for Stargardt disease.
• · Topline data from the NORTHSTAR Phase 3 trial is anticipated in 2029.
• · Tarsus' pipeline includes XDEMVY (FDA approved for Demodex blepharitis), TP-04 (Phase 2 for ocular rosacea), TP-05 (Phase 2 for Lyme disease prevention), and IRX-101 (ocular antiseptic).
• · The acquisition closed following satisfaction of customary closing conditions; no financial terms were disclosed.

10-09-2026

Sunoco LP (SUN) announced the voluntary withdrawal of its common units from listing on the NYSE and a transfer of listing to the Texas Stock Exchange (TXSE). The delisting from NYSE will take effect at market close on October 2, 2026, with trading on TXSE commencing at market open on October 5, 2026; the ticker symbol will remain SUN. The company also issued a press release on September 10, 2026, in connection with the listing transfer.

• · The voluntary delisting and transfer were approved by the Partnership on September 3, 2026.
• · The filing was made under Items 3.01 (delisting/transfer), 7.01 (Regulation FD disclosure via press release), and 9.01 (exhibits).
• · The press release (Exhibit 99.1) is not deemed filed for purposes of Section 18 of the Exchange Act.

10-09-2026

Bitwise Dogecoin ETF (BWOW) announced on September 10, 2026, that it will voluntarily close, de-list, and liquidate the fund, with shares ceasing to trade on NYSE Arca as of October 15, 2026. The liquidation proceeds are scheduled to be distributed to shareholders on or about October 22, 2026. This decision represents a complete shutdown of the fund, with no secondary market for shares after the halt date.

• · The fund will stop trading prior to market open on October 15, 2026.
• · Creation of new shares will cease prior to market open on October 15, 2026.
• · Fund holdings will be liquidated by October 22, 2026, or shortly thereafter.
• · During liquidation, the fund will not be managed in accordance with its investment objective.
• · Cash distributions from liquidation are taxable events; shareholders are advised to consult tax advisors.
• · The sponsor announced the closure via a press release dated September 10, 2026.

10-09-2026

Energy Transfer LP (ET-PI) has voluntarily withdrawn its common units and Series I Preferred Units from listing on the NYSE and will transfer those listings to the Texas Stock Exchange (TXSE). The delisting from NYSE is expected at market close on October 2, 2026, with trading on TXSE beginning at market open on October 5, 2026. Ticker symbols (ET and ETprI) will remain unchanged. The move is a strategic listing transfer, not a failure to satisfy listing standards.

• · The delisting is voluntary and not due to any failure to meet continued listing standards.
• · Trading on NYSE ends at market close on October 2, 2026.
• · Trading on TXSE begins at market open on October 5, 2026.
• · The press release was issued on September 10, 2026, and is attached as Exhibit 99.1.

10-09-2026

East West Ave Acquisition Corp. (EWAV) dismissed its independent auditor Fortune CPA, Inc. and appointed Golden Ocean FAC PAC as its new auditor for FY 2026, effective September 8, 2026. The change was approved by the Board and Audit Committee. There were no disagreements or reportable events with the former auditor, and the company had not consulted the new auditor on any accounting matters prior to engagement.

• · Company incorporated on October 30, 2025 (Inception).
• · Fortune CPA's reports from Inception through November 30, 2025 contained no adverse opinion, disclaimer, or qualification.
• · No disagreements or reportable events occurred during FY ended November 30, 2025 or the subsequent interim period through September 8, 2026.
• · Golden Ocean's PCAOB ID is 7285.
• · A letter from Fortune CPA to the SEC is filed as Exhibit 16.1.

10-09-2026

USA Compression Partners, LP (USAC) announced the voluntary delisting of its common units from the New York Stock Exchange (NYSE) and the transfer of its listing to the Texas Stock Exchange (TXSE). The delisting from NYSE will occur at market close on October 2, 2026, with trading on TXSE commencing at market open on October 5, 2026. The ticker symbol (USAC) will remain unchanged. This is a voluntary transfer of listing, not a regulatory delisting or failure to satisfy listing standards.

• · The delisting is voluntary and not due to any failure to satisfy continued listing standards.
• · The transfer of listing is expected to be seamless with no change to the ticker symbol (USAC).
• · A press release regarding the transfer was issued on September 10, 2026, and is attached as Exhibit 99.1.

10-09-2026

20/20 Biolabs, Inc. (AIDX) disclosed it received a second Nasdaq deficiency notice on September 3, 2026, for failing to meet the $2,500,000 stockholders' equity requirement under Listing Rule 5550(b)(1), with reported equity of only $1,620,700 as of June 30, 2026. The company was already under a prior notice for non-compliance with the $1.00 minimum bid price rule, with a compliance deadline of January 13, 2027. Failure to resolve the equity deficiency by that date would also disqualify the company from a second 180-day extension on the bid price rule, significantly increasing delisting risk.

• · The company received the initial bid price deficiency notice on July 17, 2026, covering the period from June 3, 2026 to July 16, 2026.
• · The company's common stock trades under the symbol AIDX on The Nasdaq Capital Market.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.
• · If the equity compliance plan is not accepted by Nasdaq, the company will have the opportunity to appeal to a hearings panel.

10-09-2026

Broadcom Inc. filed an S-4 registration statement to exchange up to $654,004,000 of its outstanding 4.926% Senior Notes due 2037 for registered notes with identical terms, fulfilling a registration rights agreement from a 2022 private exchange. The exchange offer is not conditioned on a minimum tender and will not generate cash proceeds. The transaction is a routine debt exchange and does not involve any acquisition or regulatory action.

• · The exchange offer expires at 5:00 p.m. New York City time on a date to be filled in the prospectus (five business days before expiration).
• · Outstanding Notes may be exchanged only in minimum denominations of $2,000 and integral multiples of $1,000 in excess thereof.
• · The exchange is not conditioned upon any minimum aggregate principal amount being tendered.
• · No cash proceeds will be received from the issuance of Exchange Notes.
• · The exchange will not constitute a taxable event for U.S. federal income tax purposes.

10-09-2026

Global Interactive Technologies, Inc. (GITS) received a Nasdaq delinquency notice on August 20, 2026 for not timely filing its quarterly report (Form 10-Q) for the period ended June 30, 2026. However, on September 10, 2026, Nasdaq confirmed the company regained compliance after filing the Form 10-Q on September 9, 2026, thereby resolving the delisting risk.

• · Initial delinquency notice received August 20, 2026 for failure to comply with Nasdaq Listing Rule 5250(c)(1).
• · Compliance regained on September 9, 2026 upon filing of the delinquent Form 10-Q.
• · Nasdaq confirmed compliance via written notice dated September 10, 2026.
• · Company is an emerging growth company and has not elected to use the extended transition period for new financial accounting standards.

10-09-2026

Infinity Core Alternative Fund completed its issuer tender offer, accepting $621,985 in net asset value of shares tendered by six shareholders as of December 26, 2025. The offer was significantly undersubscribed relative to the $7.5 million maximum, with only about 8.3% of the target amount tendered. Payments were made in April and May 2026, with partial tenders receiving 100% of NAV and full tenders receiving at least 95% initially plus a post-audit contingent payment.

• · Tender offer was open from November 26, 2025 to December 26, 2025.
• · Promissory notes were issued to tendering shareholders and held by UMB Fund Services, Inc.
• · Partial tenders received 100% of unaudited NAV; full tenders received at least 95% initially plus a Post-Audit Payment.
• · Cash payments were wired on April 28, 2026; Post-Audit Payment was paid by end of May 2026.
• · The offer was significantly undersubscribed, with only $621,985 tendered against a $7.5M maximum.

10-09-2026

SunocoCorp LLC (SUNC) announced the voluntary withdrawal of its common units from listing on the NYSE and transfer to the Texas Stock Exchange (TXSE), effective after market close on October 2, 2026, with trading on TXSE beginning October 5, 2026. The ticker symbol (SUNC) will remain unchanged. The move is a voluntary listing transfer, not a regulatory delisting, and no financial impact or performance metrics were disclosed.

• · Voluntary delisting from NYSE and transfer to TXSE approved on September 3, 2026.
• · NYSE trading ends at market close on October 2, 2026.
• · TXSE trading begins at market open on October 5, 2026.
• · Ticker symbol remains SUNC on TXSE.
• · Press release issued on September 10, 2026 (Exhibit 99.1).

10-09-2026

USVC Venture Capital Access Fund filed a final amendment to its tender offer, reporting that 19,379.119 shares were validly tendered and not withdrawn. The fund paid a total of $427,115.81 to shareholders by August 7, 2026, at a net asset value of $22.04 per share. The offer expired on July 28, 2026, and the fund had initially sought to purchase up to $2,000,000 (approximately 5% of net assets), but only $427,115.81 was tendered, representing a significant shortfall from the maximum target.

• · The tender offer expired at 11:59 p.m. Eastern Time on July 28, 2026.
• · The per-share net asset value used for the tender was $22.04 as of the Valuation Date.
• · Payment was made in cash by August 7, 2026.
• · The filing fee was calculated at $138.10 per $1,000,000 of transaction valuation.
• · The fund was formerly known as SVX LLC, Silicon Valley Access Fund LLC, and AL Venture Fund LLC.

10-09-2026

National Healthcare Properties, Inc. completed the first tranche of the sale of a portfolio of 86 outpatient medical facilities to an unaffiliated third party, closing on September 10, 2026. The first tranche included 30 properties, generating approximately $79 million in net cash proceeds before expenses and adjustments. The company also repaid approximately $119 million of outstanding secured indebtedness, including about $60 million of debt encumbering other outpatient medical facilities not part of this portfolio.

• · The sale was previously announced on May 4, 2026, under a Purchase and Sale of Real Property Agreement.
• · No material relationships exist between the sellers and the buyer other than this transaction.
• · The filing includes a cover page XBRL interactive data file as an exhibit.

10-09-2026

OptimumBank Holdings, Inc. filed an S-4 registration statement with the SEC on September 10, 2026, to register up to $35,000,000 aggregate principal amount of 7.50% Fixed-to-Floating Rate Subordinated Notes due 2036, offering to exchange these registered notes for any and all outstanding unregistered notes of the same series. The filing incorporates by reference the company's annual report for FY2025, quarterly reports for Q1 and Q2 2026, and several current reports, but does not disclose any financial results or performance metrics for the current period.

• · The exchange offer is for up to $35,000,000 aggregate principal amount of notes.
• · The notes have a fixed-to-floating rate structure with an initial fixed rate of 7.50% and mature in 2036.
• · The filing incorporates by reference the company's Annual Report on Form 10-K for FY2025 (filed Feb 26, 2026), Quarterly Reports for Q1 and Q2 2026, and several Current Reports on Form 8-K.
• · The exchange agent is UMB Bank National Association.
• · The registration statement includes exhibits such as the Indenture dated August 19, 2026, and the form of the subordinated note.

10-09-2026

iSpecimen Inc. (ISPC) received a Nasdaq deficiency letter on September 8, 2026, for non-compliance with Listing Rule 5550(b) requiring minimum $2.5M stockholders' equity. Nasdaq granted an extension until November 25, 2026, after the company submitted compliance plans including a $2.5M private placement closed in May 2026 and a planned $5M public offering. The company projects stockholders' equity of $5.1M through June 2027 but warns there is no assurance of regaining or maintaining compliance, and failure could lead to delisting.

• · Initial non-compliance notification from Nasdaq was received on May 29, 2026.
• · Company submitted compliance plans on July 13, August 6, and September 4, 2026.
• · Extension deadline to evidence compliance is November 25, 2026.
• · If compliance is not evidenced in the periodic report for year ended December 31, 2026, the company may be subject to delisting.
• · The deficiency letter has no immediate effect on listing or trading of common stock on Nasdaq Capital Market.
• · Company is an emerging growth company and has elected not to use the extended transition period for complying with new financial accounting standards.

10-09-2026

ARC Group Acquisition I Corp. entered into a definitive share purchase agreement to acquire 100% of Firstborn Top Capital Sdn. Bhd., a licensed Malaysian private financing company, in a transaction implying a pro forma enterprise value of approximately $1,091.2 million. The combined company is expected to be renamed BlueCrest Investment, Inc. and listed on the Nasdaq Global Market under the ticker "BCIN," with closing expected in the first quarter of 2027; however, completion remains subject to ARCL shareholder approval and other customary conditions.

• · Firstborn Top Capital was founded in 2019 and is licensed as a private financing company in Malaysia.
• · Firstborn Top Capital shareholders are expected to own approximately 82.39% of the combined company, while public investors are expected to own approximately 12.4% at closing.
• · The transaction requires approval from ARCL shareholders and is subject to other customary closing conditions.
• · ARCL consummated its initial public offering on May 1, 2026, generating total gross proceeds of $120,750,000.
• · The proposed transaction is expected to close during the first quarter of 2027.
• · Firstborn Top Capital offers fixed monthly interest, no hidden fees or upfront costs, and loan terms of up to five years.
• · The transaction remains subject to execution risks, including failure to obtain shareholder approval, failure to satisfy closing conditions, and the possibility that the transaction may not close in a timely manner or at all.

10-09-2026

Ryan Cohen filed an amended Schedule 13D on September 10, 2026, disclosing beneficial ownership of 43,082,626 shares of GameStop Corp., representing 8.5% of shares outstanding (including shares underlying warrants). On the same day, Cohen purchased 1,000,000 additional shares in the open market at a weighted average price of $20.3759 per share. The filing shows continued accumulation by the largest individual shareholder.

• · Cohen directly owned 39,347,842 shares purchased with personal funds (may include margin loans).
• · The 3,734,784 warrants were received for no consideration via a warrant dividend to stockholders.
• · Shares outstanding used for percentage calculation: 504,500,990 as of September 3, 2026 per the company's 10-Q.
• · Purchase prices on Sept 10 ranged from $20.0199 to $20.4699 per share.
• · No other transactions by Cohen since the previous 13D/A filing.

10-09-2026

Three Lions Acquisition Corp. filed an 8-K on September 10, 2026, reporting the consummation of its IPO and a concurrent private placement on September 2, 2026. The IPO of 10,000,000 units at $10.00 per unit generated gross proceeds of $100,000,000, and the private placement of 400,000 units at $10.00 per unit added $4,000,000, with $100,500,000 deposited into a trust account for public shareholders. The filing also notes the underwriter's 45-day option to purchase up to 1,500,000 additional units for over-allotments.

• · The IPO closed on September 2, 2026, with units trading on Nasdaq under ticker TLACU.
• · Each unit consists of one ordinary share ($0.0001 par value) and one-half of one warrant.
• · Warrants are exercisable for one ordinary share at $11.50 per whole warrant.
• · The underwriter has a 45-day option to purchase up to 1,500,000 additional units for over-allotments.
• · Private placement included 200,000 units to Sponsor, 100,000 to Underwriter, and 100,000 to third-party investors.
• · An audited balance sheet as of September 2, 2026 is included as Exhibit 99.1.

10-09-2026

SurgePays, Inc. closed the sale of its ClearLine engagement platform, media network, and GPOX Wireless business to a subsidiary of GPO Plus, Inc. for $27.5 million, paid in 25 million shares of GPO Plus Series D Preferred Stock. To ensure cash value, SurgePays obtained a put option from Emerald Shoals Targeted Opportunities Fund LP to sell those shares for $27.5 million over a ~3.25-year period. The transaction boosted SurgePays' stockholders' equity above Nasdaq's continued listing requirements, helping address its non-compliance with the market value of listed securities rule, though the company still faces a bid price deficiency that it plans to cure, potentially via a reverse stock split.

• · The put option exercise period begins at closing and continues for three years and 90 days.
• · The warrant issued to Emerald Shoals has a five-year term and is exercisable in three tranches of 5 million shares at $0.05, $0.15, and $0.25 per share.
• · SurgePays previously received a Nasdaq deficiency notice for failing the market value of listed securities requirement (Rule 5550(b)(2)) and the bid price requirement (Rule 5550(a)(2)).
• · The company intends to notify Nasdaq of its intent to cure the bid price deficiency during a second compliance period, including by effecting a reverse stock split if necessary.