Global High-Priority Regulatory Events — October 01, 2026

01-10-2026

BRC Group Holdings, Inc. (RILY) announced a definitive agreement to acquire Sangoma Technologies Corporation for an enterprise value of approximately $204 million (C$289 million), comprising ~$170M in cash and ~$10M in BRC shares. The combined trailing-twelve-month revenue of BRC's communications businesses and Sangoma was approximately $441 million as of June 2026. However, the filing explicitly warns that Sangoma's recent operating results reflect declining Adjusted EBITDA and reduced guidance, with no assurance that prior revenue growth rates or margins will be restored, and the transaction is subject to shareholder and regulatory approvals with an expected close no later than early 2027.

• · Sangoma shareholders will receive $4.925 in cash and 0.04767 of a BRC share per Sangoma share.
• · The transaction is expected to be partially funded through a $215M senior secured term loan facility with Banc of California as sole lead arranger.
• · The transaction is not subject to any financing condition.
• · Completion requires approval by at least two-thirds of votes cast by Sangoma shareholders and a simple majority excluding certain shares per MI 61-101.
• · Sangoma shares will be delisted from TSX and Nasdaq upon closing; BRC will become a reporting issuer under Canadian securities laws.
• · The filing explicitly warns that Sangoma's recent operating results reflect declining Adjusted EBITDA and reduced guidance.

01-10-2026

Aureus Greenway Holdings Inc. (AGH) completed its merger with Powerus, effective October 1, 2026, with Powerus surviving as a wholly owned subsidiary. AGH was renamed Powerus Corporation and continues trading on Nasdaq under the symbol PUSA. The combined company is a U.S. defense technology firm focused on autonomous drones and unmanned systems. While the merger positions Powerus for scale, the filing also highlights that several previously announced milestones—including a $90 million Air Force IDIQ contract ceiling, a $60 million Australia-New Zealand distribution agreement, and a $30 million equity investment—are non-binding or subject to significant contingencies, with no guaranteed future orders or revenue.

• · The merger was completed effective October 1, 2026, with Powerus merging into a newly formed subsidiary of AGH and Powerus continuing as the surviving entity.
• · AGH was renamed Powerus Corporation and continues trading on Nasdaq under the symbol PUSA (no change in symbol).
• · The $2.5 million purchase order for 1,500 FPV aircraft does not guarantee future orders, a continuing customer relationship, or program-of-record status.
• · The U.S. Air Force IDIQ contract has a ceiling of $90 million but orders are at the government's discretion and actual awards may be materially less.
• · The $60 million Australia-New Zealand distribution agreement and $30 million equity investment are non-binding or subject to contingencies.
• · The memorandum of understanding with Swarmer and with Pakistani defense officials are exploratory and may not result in definitive agreements.
• · The UAE manufacturing facility arrangement does not guarantee any particular level of production or sales.
• · The Falcon Peak 26.2 designation as an industry participant does not constitute a procurement contract or purchase commitment.

01-10-2026

Majestic Research Services and Solutions Ltd, under an approved Resolution Plan (NCLT order dated June 20, 2025), has cancelled all existing equity shares held by promoters (51,36,992 shares) and public shareholders (48,89,008 shares) without consideration, and will allot 20,650 fresh shares to public shareholders and 3,92,350 fresh shares on a preferential basis to five allottees. This restructuring effectively wipes out existing shareholders and transfers control to new investors, reflecting a significant corporate action following insolvency proceedings.

• · Record Date for public shareholders: July 8, 2026
• · NCLT Bengaluru Bench order approving Resolution Plan: June 20, 2025
• · Preferential allotment price: ₹10 per share
• · Fractional shares entitlement ignored for public shareholders
• · Board meeting held on October 1, 2026, from 4:00 PM to 5:00 PM IST

01-10-2026

SEBI issued an Adjudication Order against SMC Global Securities Ltd on October 1, 2026, under its enforcement powers. The order details the findings and penalties imposed by the Adjudicating Officer, but the filing does not disclose the specific violations or monetary penalty amount.

• · The order was issued by SEBI's Adjudicating Officer (AO) under the SEBI Act.
• · No specific violations, penalty amount, or compliance directives are disclosed in the filing.

01-10-2026

NSTS Bancorp, Inc. completed its merger with Brookfield Bancshares, Inc. effective October 1, 2026, with shareholders receiving $14.31 per share in cash, totaling approximately $73.7 million. The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity. The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.

• · The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.
• · The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity.
• · The company's directors and executive officers ceased to hold their positions as of the Effective Time.
• · The Bank will continue to operate under its existing name and federal savings association charter as a subsidiary of Brookfield.
• · The company's Certificate of Incorporation and Bylaws ceased to be in effect by operation of law.
• · Brookfield intends to file a Form 15 with the SEC to deregister the common stock and suspend reporting obligations.

01-10-2026

Harig Crankshafts Ltd held its 3rd Annual General Meeting (Post CIRP) on September 29, 2026, with 90.13% of total shares voted. All four ordinary resolutions were passed, including adoption of FY2026 financials, re-appointment of director Manoj Agarwal, re-appointment of statutory auditors M/S M.B. Gupta & Co., and approval of material related party transactions with Chemester Food Industry Private Limited. However, public non-institutional shareholders showed significant dissent on resolutions 3 and 4, with 42.49% and 42.52% voting against, respectively.

• · Promoter and promoter group did not vote on Resolution 4 (related party transactions), resulting in only 0.13% of total shares being polled on that resolution.
• · No invalid votes were recorded for any resolution.
• · The meeting lasted 1 hour 5 minutes (12:00 PM to 1:05 PM).
• · Record date for voting was September 22, 2026.

01-10-2026

Siti Networks Limited disclosed a default on term loan instalments as of August 31, 2026, with the default continuing beyond 30 days. The company is already under Corporate Insolvency Resolution Process (CIRP) initiated by NCLT on February 22, 2023, with total outstanding claims from lenders of ₹1,500 Crore as of February 2023, up from ₹1,206.03 Crore as of August 2023. The CIRP has been marked by legal appeals and stays, including a current Supreme Court stay preventing financial creditors from remitting amounts received during the stay period, while the Resolution Professional has been replaced from Mr. Rohit Mehra to Mr. Trupal J. Patel following regulatory cancellation of the former's registration.

• · The default date is August 31, 2026, and continues beyond 30 days.
• · The CIRP was initiated on February 22, 2023, under Section 7 of the IBC.
• · The Resolution Professional was changed from Mr. Rohit Mehra to Mr. Trupal J. Patel after IBBI cancelled Mr. Mehra's registration effective September 6, 2026.
• · The Hon'ble NCLT on October 1, 2024, fixed the insolvency commencement date at February 22, 2023, and ruled that the moratorium under Section 14 was applicable during the stay period.
• · The Hon'ble NCLAT on July 31, 2025, dismissed all appeals against the October 1, 2024 order and directed financial creditors to remit amounts back to the corporate debtor with accrued interest.
• · Certain financial creditors have appealed to the Hon'ble Supreme Court, which has granted a stay on remittance and directed that no payments be made to operational creditors for liabilities during the stay period.
• · VAPL's claim (₹148 Cr) originates from a related party (Zee Entertainment Enterprise Limited) assignment, and NCLT on August 27, 2026, allowed VAPL's application to be included in the CoC with voting rights.

01-10-2026

Rathi Graphic Technologies Ltd held its 2nd Annual General Meeting post-completion of the Corporate Insolvency Resolution Process on September 30, 2026, via video conferencing. The meeting covered the adoption of audited financial statements for FY ended March 31, 2026, and the re-appointment of a director. The statutory and secretarial audit reports contained no qualifications or adverse remarks, indicating a clean financial position post-insolvency resolution.

• · The AGM was originally scheduled for 3:30 PM IST but commenced at 3:56 PM IST.
• · The cut-off date for determining member eligibility to vote was September 23, 2026.
• · Remote e-voting was open from September 27 to September 29, 2026.
• · Management and control of the company was transferred to the reconstituted Board effective February 7, 2025.
• · No queries were received from members during the meeting.

01-10-2026

Ashford Hospitality Trust completed the sale of the 220-room Embassy Suites Las Vegas for approximately $42.7 million in cash, net of selling expenses, and used about $41.2 million to repay the mortgage lender. The transaction closed on September 25, 2026, and the company recorded a preliminary non-recurring gain, with pro forma financials reflecting the removal of the hotel's assets and operations. While the sale strengthens liquidity, it also reduces the company's asset base and incurs a loss on extinguishment of debt, reflecting a mixed impact on financial performance.

• · Pro forma net loss for the year ended December 31, 2025, improved from a historical loss of $188,159 thousand to $156,992 thousand, reflecting the removal of the hotel's operations and the non-recurring gain.
• · Pro forma operating income for the year ended December 31, 2025, increased from $116,415 thousand to $144,721 thousand, a 24.3% improvement.
• · Pro forma interest expense for the year ended December 31, 2025, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit remained at $143 thousand, unchanged.
• · Pro forma net loss allocated to redeemable noncontrolling interests reflected an ownership percentage of 1.43% for the year ended December 31, 2025 and 1.41% for the six months ended June 30, 2026.
• · Pro forma total assets decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma common stock remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding remained at 83,944 thousand, unchanged.
• · Pro forma operating income for the six months ended June 30, 2026, decreased from $209,576 thousand to $207,455 thousand, a 1.0% decline.
• · Pro forma interest expense for the six months ended June 30, 2026, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees for the six months ended June 30, 2026, decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt for the six months ended June 30, 2026, remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities for the six months ended June 30, 2026, remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives for the six months ended June 30, 2026, remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit for the six months ended June 30, 2026, remained at $143 thousand, unchanged.
• · Pro forma net loss for the six months ended June 30, 2026, improved from $188,159 thousand to $156,992 thousand, a 16.6% improvement.
• · Pro forma net loss allocated to redeemable noncontrolling interests for the six months ended June 30, 2026, reflected an ownership percentage of 1.41%.
• · Pro forma total assets for the six months ended June 30, 2026, decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities for the six months ended June 30, 2026, decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) for the six months ended June 30, 2026, improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, for the six months ended June 30, 2026, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership for the six months ended June 30, 2026, decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership for the six months ended June 30, 2026, remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable for the six months ended June 30, 2026, remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, for the six months ended June 30, 2026, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, for the six months ended June 30, 2026, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma common stock for the six months ended June 30, 2026, remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital for the six months ended June 30, 2026, remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) for the six months ended June 30, 2026, remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities for the six months ended June 30, 2026, remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding for the six months ended June 30, 2026, remained at 83,944 thousand, unchanged.

01-10-2026

01-10-2026

Inseego Corp. completed its acquisition of Nokia's Fixed Wireless Access (FWA) business on October 1, 2026, a transaction expected to approximately double Inseego's revenue and expand its global footprint across Europe, the Middle East, Asia, Oceania, and the Americas. Under the terms, Nokia received an equity ownership stake of approximately 1.9 million shares (about 11% interest) and warrants for up to 0.8 million shares at $4.26 per share, plus a $10 million cash investment. Nokia will also make an additional $10 million cash payment to Inseego by October 15, 2026 to support engineering investments. Approximately 250 personnel from the acquired business will support expanded operations, and Inseego has established an international headquarters in Amsterdam and a development center in Athens.

• · Inseego established an international headquarters in Amsterdam and a development center in Athens, and expanded its presence in Bangalore.
• · Nokia will provide support through the transition and refer new FWA opportunities to Inseego.
• · Technology collaboration areas include AI-RAN, converged fiber and 5G connectivity, end-to-end network optimization, and distributed edge computing.
• · Approximately 250 personnel from the acquired business will support operations, including employees joining Inseego and Nokia personnel under a transition services agreement.

01-10-2026

LFTD PARTNERS INC. filed an 8-K on October 1, 2026, reporting the termination of a material definitive agreement (Item 1.02) and the completion of an acquisition or disposition of assets (Item 2.01). The filing also includes Regulation FD disclosure (Item 7.01) and financial statements (Item 9.01). However, the filing does not disclose the counterparty, deal value, consideration type, or any financial metrics, making it impossible to assess the strategic rationale, valuation, or shareholder impact.

• · The filing does not disclose the identity of the counterparty or the nature of the terminated agreement.
• · No financial statements, pro forma data, or exhibits are summarized in the filing text.
• · The acquisition/disposition could be either an asset purchase or a stock transaction, but no details are provided.
• · No breakup fees, termination penalties, or go-shop provisions are mentioned.

01-10-2026

HCAC, a SPAC, is seeking shareholder approval for a business combination with REEcycle Holdings, Inc., a rare earth elements technology company. The deal values REEcycle at a Purchase Price of $400,000,000, with HCAC having raised $207,000,000 in its IPO and an additional $6,140,000 in a private placement. The transaction is supported by a majority of REEcycle stockholders and the SPAC sponsor, but is subject to shareholder approval and redemption rights for public shareholders.

• · HCAC's securities trade on Nasdaq under ticker symbols HCACU, HCAC, and HCACR.
• · HCAC has until November 24, 2027, to complete an initial business combination.
• · The Business Combination Agreement includes an earnout provision (Earnout Shares) contingent on a Milestone Event.
• · Supporting Company Stockholders, owning more than 50% of REEcycle Common Stock, have agreed to vote in favor of the transaction.
• · The Sponsor has agreed to vote all its HCAC Ordinary Shares in favor of the transaction and granted an irrevocable proxy to REEcycle.

01-10-2026

CenterPoint Energy completed the $2.62 billion sale of its Ohio natural gas business (Vectren Energy Delivery of Ohio, LLC) to National Fuel Gas Company, receiving all required federal and state approvals including from the Public Utilities Commission of Ohio. The divested assets include approximately 5,900 miles of pipeline serving about 335,000 metered customers in West Central Ohio. Proceeds will support CenterPoint's $66.7 billion, 10-year capital plan, while the company continues to serve nearly 7 million metered customers in Indiana, Minnesota, and Texas.

• · Transaction received all required federal and state approvals, including review by the Public Utilities Commission of Ohio.
• · National Fuel Gas Company is headquartered in Western New York.
• · CenterPoint is the only investor-owned electric and gas utility based in Texas.
• · CenterPoint and its predecessor companies have been in business for more than 150 years.
• · The sale closed on October 1, 2026.

01-10-2026

National Fuel Gas Company (NFG) completed its acquisition of CenterPoint Energy's Ohio natural gas utility, Vectren Energy Delivery of Ohio, LLC, for an undisclosed amount. The deal adds approximately 335,000 customers across 16 Ohio counties, doubling NFG's utility rate base and expanding its regulated footprint into a new state. The company's total utility customer base grows to ~1.1 million, and approximately 200 employees will join NFG, though no financial terms or expected cost synergies were disclosed.

• · The acquired entity will be renamed National Fuel Gas Distribution of Ohio, LLC.
• · Existing customer billing cycles, payment methods, and online account access will remain unchanged initially.
• · NFG plans to be an active corporate citizen through local community support and employee volunteerism.
• · The acquisition is expected to provide a platform for continued regulated investment opportunities and further balance the company's business mix.
• · No purchase price or valuation metrics were disclosed in the filing.

01-10-2026

Sadot Group Inc. filed an 8-K on October 1, 2026, announcing the creation of 3,575 shares of Series D Non-Voting Contingently Convertible Preferred Stock with an aggregate stated value of $3,575,000 as partial consideration for the acquisition of the SalesIQ Platform from Softtech Resources Limited. The Series D Preferred is non-convertible until milestones are met, including achieving annual recurring revenue (ARR) of at least $250,000 within 36 months of issuance and obtaining shareholder and Nasdaq approvals. The instrument is structured as permanent equity, with no dividends, no redemption rights, and no liquidation preference.

• · The Series D Preferred has no voting rights, no dividends, no redemption rights, and no liquidation preference.
• · Conversion is contingent on three conditions: achievement of ARR ≥ $250,000 within 36 months, shareholder approval, and Nasdaq confirmation that the issuance does not trigger a back-door listing or new listing application.
• · The preferred stock is intended to be classified as permanent equity under US GAAP (ASC 480 and ASC 815-40).
• · Series E Non-Voting Contingently Convertible Preferred Stock was issued concurrently under the same Purchase Agreement.
• · The Purchase Agreement was entered on September 30, 2026.

01-10-2026

Transindia Real Estate Limited has published newspaper advertisements for a notice of petition regarding the scheme of amalgamation of its wholly owned subsidiary, Madanahatti Logistics and Industrial Parks Private Limited, into itself. The NCLT admitted the joint petition on September 4, 2026, and the hearing is scheduled for November 3, 2026. This is a procedural step in the merger process and does not involve any financial figures or performance metrics.

• · The joint petition was admitted by the NCLT on September 4, 2026.
• · Hearing is fixed for November 3, 2026.
• · Advertisements were published in Business Standard (English) and Loksatta (Marathi) on October 1, 2026.
• · The amalgamation involves a wholly owned subsidiary (Transferor Company) merging into the holding company (Transferee Company).

01-10-2026

Arbutus Biopharma Corporation filed Amendment No. 2 to its Schedule TO, announcing the final results of its modified Dutch auction tender offer that expired on September 29, 2026. The company offered to purchase up to $230 million of its common shares at a price between $5.00 and $5.75 per share. The final results were disclosed via a press release on October 1, 2026, marking the conclusion of the offer.

• · The tender offer expired at 5:00 p.m. (New York City time) on September 29, 2026.
• · The final results press release was issued on October 1, 2026, and is filed as Exhibit (a)(5)(iv).
• · This is Amendment No. 2 to the Schedule TO, originally filed on August 24, 2026.
• · The offer was an issuer tender offer subject to Rule 13e-4.
• · The filing is a final amendment reporting the results of the tender offer.

01-10-2026

First Seacoast Bancorp, Inc. (FSEA) filed a Form 25-NSE with the SEC on October 1, 2026, notifying the delisting of its common stock from The Nasdaq Stock Market LLC. The delisting is effective as of October 1, 2026, and is based on SEC Rule 17 CFR 240.12d2-2(a)(3), which typically applies when the issuer has failed to meet continued listing standards or has voluntarily withdrawn its securities. This filing marks the formal removal of FSEA's common stock from Nasdaq trading.

• · Delisting effective date: October 1, 2026
• · SEC file number: 001-41597
• · Rule basis: 17 CFR 240.12d2-2(a)(3) (failure to meet listing standards or voluntary withdrawal)
• · Filing submitted by Nasdaq Stock Market LLC on behalf of the exchange

01-10-2026

SecureKloud Technologies Limited has defaulted on the repayment of interest on a loan from its promoter, Mr. R S Ramani, amounting to INR 3,14,26,183. The default occurred on October 1, 2026, and the company estimates a possible legal action by the lender/promoter as a result.

• · The default was intimated under Regulation 30 of SEBI (LODR) Regulations, 2015.
• · The company estimates a possible legal action by the promoter/lender.
• · The default was not reported to any other appropriate authorities.

01-10-2026

Pitanium Ltd (PTNM) has been delisted from The Nasdaq Stock Market LLC, with trading of its Class A Ordinary Shares suspended on July 16, 2026, and delisting effective October 12, 2026. The delisting followed a Nasdaq Staff determination on July 7, 2026, that the company no longer qualified for listing under Listing Rule IM-5101-4, and the company did not appeal the decision. This represents a significant negative regulatory and corporate event, reflecting the loss of exchange listing status.

• · Delisting effective at the opening of the trading session on October 12, 2026
• · Nasdaq Staff determination date: July 7, 2026
• · Suspension of Class A Ordinary Shares: July 16, 2026
• · Staff delisting determination became final on July 16, 2026
• · Company did not appeal the Staff Delist Determination Letter
• · Listing Rule IM-5101-4 cited as basis for delisting

01-10-2026

Dynamic Alternatives Fund filed a final amendment to its tender offer, reporting that $930,351 in shares were validly tendered and accepted for purchase, out of a maximum authorized transaction value of $19,929,892. The offer expired on May 18, 2026, and the net asset value per share was $11.77 as of June 30, 2026. The initial payment of 95% of the amount tendered was made on August 12, 2026, with a final payment expected after the completion of the annual audit.

• · The offer expired on May 18, 2026, at 11:59 P.M. Eastern Time.
• · Net asset value per share as of June 30, 2026 was $11.77.
• · Initial payment of 95% of the amount tendered was paid on August 12, 2026.
• · Final payment will be made after completion of the annual audit for the fiscal year ended September 30, 2026.
• · The filing fee of $2,752.32 was previously paid on April 14, 2026.

01-10-2026

NYSE American LLC has filed a Form 25-NSE with the SEC to delist Amaze Holdings, Inc. (AMZE) effective October 12, 2026, because the exchange determined the company's common stock is no longer suitable for continued listing due to a low selling price. Trading was immediately suspended on September 29, 2026, and the company has declined to appeal the delisting determination.

• · The delisting is effective at the opening of business on October 12, 2026.
• · The delisting is pursuant to SEC Rule 12d2-2(b) and Section 1003(f)(v) of the NYSE American Company Guide.
• · The company was notified of the suspension and delisting determination on September 29, 2026.
• · The company had seven calendar days to appeal but notified the exchange on September 30, 2026, that it would not appeal.
• · The company's former names include Fresh Vine Wine, Inc. (name change December 8, 2021) and Fresh Grapes, LLC (name change August 26, 2021).
• · The company is classified under SIC 5961 (Retail-Catalog & Mail-Order Houses) and incorporated in Nevada.

01-10-2026

SEG Partners Long/Short Equity Fund has launched an issuer tender offer to repurchase up to 25% of its net assets (approximately $36.9 million, or 1,536,684 shares) from shareholders. Shareholders must tender shares by October 30, 2026, with the NAV calculated as of December 31, 2026. Payment will be made via promissory notes with an initial cash payment of at least 90% of the unaudited NAV, followed by a post-audit final payment.

• · The Fund is a closed-end, non-diversified, management investment company organized as a Delaware statutory trust.
• · There is no established trading market for the Shares; transfers are strictly limited by the Declaration of Trust.
• · The Offer is scheduled to expire at 11:59 p.m., Eastern Time, on October 30, 2026, but may be extended at the Board's discretion.
• · Shareholders have the right to withdraw their tender before the Notice Due Date, and the Fund may cancel, amend, or postpone the Offer at any time before that date.
• · If the Fund has not accepted a tender by December 1, 2026, the shareholder may cancel the tender after that date.
• · The annual audit of the Fund's financial statements is anticipated to be completed within 60 days after the end of the fiscal year (October 31).
• · The Fund may choose to make a single payment equal to 100% of the repurchased shares' value, in which case no promissory note or post-audit adjustment would be issued.

01-10-2026

Liquidity Services (LQDT) completed the acquisition of Auction Holdings, Inc., which operates Invaluable, AuctionZip, and RFC Auction Systems, for $80 million in cash on a debt-free, cash-free basis. The acquisition expands Liquidity Services' global footprint in the collectibles, fine art, and antiques market, adding approximately four million registered bidders and over $500 million in gross merchandise sales (GMS) for the fiscal year ended December 31, 2025. The deal is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27, but the company did not provide a reconciliation of the Non-GAAP measure due to the difficulty of estimating certain items.

• · Invaluable's platform supports multi-currency and multi-lingual transactions.
• · Invaluable offers proprietary pricing data via subscription service.
• · The acquisition is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27.
• · Liquidity Services funded the acquisition with cash on hand.
• · Invaluable's leadership team is expected to remain with the business post-closing.
• · The acquisition is part of Liquidity Services' strategy to invest in marketplace platforms in sectors ripe for innovation.
• · Liquidity Services has over $15 billion in completed transactions and serves more than six million qualified buyers and 15,000 corporate and government sellers.

01-10-2026

First Internet Bancorp filed an S-4 registration statement with the SEC on October 1, 2026, to register an exchange offer of new notes for outstanding old notes. The filing incorporates by reference the company's annual report for FY2025 and quarterly reports for Q1 and Q2 2026, but does not disclose any specific financial results or material changes in the exchange offer terms. No quantitative financial data or period-over-period comparisons are provided in this filing.

• · The registration statement is filed under the Securities Act and is not yet effective.
• · The exchange offer is not being made in jurisdictions where it is not permitted.
• · The securities offered are not savings or deposit accounts and are not FDIC-insured.
• · Documents incorporated by reference include the Annual Report on Form 10-K for FY2025, Quarterly Reports on Form 10-Q for Q1 and Q2 2026, and Current Reports on Form 8-K filed on May 20, 2026 and September 10, 2026.
• · The prospectus includes a special note regarding forward-looking statements with risk factors related to economic conditions, credit quality, regulatory changes, and competitive factors.

01-10-2026

Guardforce AI Co., Ltd. (GFAIW) filed a Form 25-NSE with the SEC on October 1, 2026, notifying the delisting of its warrants from the Nasdaq Stock Market. The delisting is effective as of the filing date, and the company's securities will no longer be traded on Nasdaq.

• · The delisting is for the company's warrants (ticker: GFAIW), not common stock.
• · The delisting is based on SEC Rule 17 CFR 240.12d2-2(a)(2).
• · The filing was made by Nasdaq Stock Market LLC as the filer.
• · The company is incorporated in the Cayman Islands (E9) and headquartered in Singapore.

01-10-2026

Nextdoor Holdings, Inc. (NXDR) filed an 8-K on October 1, 2026, announcing its voluntary withdrawal from the New York Stock Exchange (NYSE) and transfer of its Class A common stock listing to Nasdaq, effective October 14, 2026. The stock will continue trading under the ticker symbol 'NXDR' on Nasdaq. The company issued a related press release (Exhibit 99.1) under Item 7.01. No financial metrics or operational performance data were disclosed in this filing.

• · Voluntary delisting from NYSE effective at market close on October 13, 2026
• · Trading on Nasdaq begins at market open on October 14, 2026
• · Ticker symbol remains 'NXDR' on Nasdaq
• · Board of Directors authorized the transfer
• · Press release issued as Exhibit 99.1

01-10-2026

Jefferies Credit Partners BDC Inc. has commenced an issuer tender offer to repurchase up to 5% of its net asset value as of June 30, 2026. The offer is open from October 1, 2026, with a notice deadline of October 30, 2026, and shares will be purchased at net asset value per share as of the Valuation Date (September 30, 2026), less a 2% Early Repurchase Deduction for shares held less than 12 months. As of the Prior NAV Calculation Date (August 31, 2026), the company had 59,953,212.192 Class I shares and 37,920.940 Class S shares outstanding, with a total net asset value of $858,734,015.47.

• · The tender offer is an issuer tender offer subject to Rule 13e-4, not a third-party offer.
• · Shares tendered within 12 months of original issue date are subject to a 2% Early Repurchase Deduction, reducing purchase price to 98% of NAV.
• · Shares issued under the DRIP are exempt from the Early Repurchase Deduction.
• · The company may fund repurchases from cash flow, asset sales, borrowings, return of capital, or offering proceeds.
• · There is no established trading market for the shares.
• · The company reserves the right to cancel, amend, or postpone the offer at any time before the Tender Withdrawal Date (October 30, 2026).
• · Payment will be in cash promptly after the Termination Date (October 30, 2026, unless extended).

01-10-2026

Lantern Pharma Inc. (LTRN) received a delisting notice from Nasdaq on September 25, 2026, for failing to meet the minimum market value of listed securities (MVLS) requirement of $35,000,000 for 30 consecutive business days. The company has a 180-day cure period until March 24, 2027, to regain compliance, or its common stock will be delisted from the Nasdaq Capital Market. This development poses a material risk to the company's listing status and investor confidence.

• · The company also does not meet requirements under Listing Rules 5550(b)(1) and 5550(b)(3).
• · The compliance deadline is March 24, 2027.
• · The filing was made under Item 3.01 (Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing).

01-10-2026

H2O America (NASDAQ: HTO) announced the completion of its Texas subsidiary Texas Water Company's (TWC) acquisition of all assets of Quadvest, more than doubling H2O America's water and wastewater connections in Texas and expanding into the Houston region. The company projects Texas customers will grow from 8% to 26% of its overall customer base by 2029, with double-digit customer growth expected. However, the acquisition carries integration risks, and the company notes potential regulatory, operational, and financial uncertainties that could affect projected benefits.

• · Quadvest has served Houston-area customers since 1978.
• · TWC has served Texas Hill Country customers since 2006.
• · The acquisition more than doubles H2O America's water and wastewater connections in Texas.
• · Operations continue without interruption for Quadvest customers.
• · Locally based employees and leadership serving Houston-area customers have been retained.
• · The acquisition is expected to be accretive to H2O America's long-term EPS growth rate (forward-looking).
• · Risks include integration challenges, regulatory actions, climate change, and financing availability.

01-10-2026

Gaxos.ai Inc. received a Nasdaq notification on September 28, 2026, for non-compliance with the minimum bid price requirement of $1.00 per share, based on the closing bid price between August 14, 2026 and September 25, 2026. The company has 180 calendar days, until March 29, 2027, to regain compliance by achieving a closing bid price of at least $1.00 for 10 consecutive business days. While the stock continues to trade under the symbol GXAI, failure to cure could lead to delisting, though the company may consider a reverse stock split as a potential remedy.

• · The non-compliance period is based on closing bid prices from August 14, 2026 to September 25, 2026.
• · If compliance is not achieved by March 29, 2027, an additional 180-day period may be granted if the company meets all other continued listing requirements and notifies Nasdaq in writing of its intent to cure.
• · If the second compliance period is not granted or fails, Nasdaq will issue a delisting determination, which the company can appeal to a Hearings Panel.
• · The company may consider a reverse stock split to regain compliance.

01-10-2026

Franklin Municipal Opportunities Trust (PMO) has filed a Schedule TO with the SEC to initiate an issuer tender offer to purchase up to 100% of its outstanding Remarketed Preferred Shares, Series B and Series C. The purchase price is set at 92.875% of the liquidation preference of $25,000 per share for both series, plus any unpaid accrued dividends through the termination date. The offer is being made under Rule 13e-4 and is detailed in the Offer to Purchase dated October 1, 2026.

• · The tender offer is for up to 100% of the outstanding Preferred Shares.
• · The purchase price is 92.875% of the $25,000 liquidation preference per share, plus any unpaid accrued dividends through the termination date.
• · The offer is being made under Rule 13e-4 (issuer tender offer).
• · The filing includes exhibits such as the Offer to Purchase, Letter of Transmittal, Notice of Guaranteed Delivery, and a Press Release issued on October 1, 2026.

01-10-2026

Getty Images Holdings, Inc. (GETY) received notice from the NYSE on September 29, 2026, that it will commence delisting proceedings due to 'abnormally low selling price' levels. The company will not appeal the delisting, and its Class A common stock was immediately suspended from trading on the NYSE, beginning trading on the OTC Pink Limited Market on September 30, 2026 under the symbol 'GETY.' Additionally, the Board has postponed the 2026 Annual Meeting of Stockholders, previously scheduled for October 8, 2026, as the company continues evaluating strategic financing alternatives and balance sheet management initiatives with key debt and equity holders.

• · The company's Class A common stock was immediately suspended from trading on the NYSE.
• · The company does not intend to appeal the NYSE's determination.
• · The company can provide no assurance that the Common Stock will continue to trade on the OTC market, that broker-dealers will provide public quotes, or that there will be sufficient trading volume for an efficient market.
• · The Board of Directors has postponed the 2026 Annual Meeting of Stockholders, previously scheduled for October 8, 2026.
• · The company and its advisors have been evaluating strategic financing alternatives and balance sheet management initiatives, with active dialogue with key debt and equity holders.
• · The filing references risks including substantial doubt about the company's ability to continue as a going concern.

01-10-2026

Franklin Managed Municipal Income Trust (PMM) filed a Schedule TO with the SEC on October 1, 2026, announcing an issuer tender offer to purchase up to 100% of its outstanding Remarketed Preferred Shares, Series A and Series C, at 92.875% of the liquidation preference ($100,000 per Series A share and $50,000 per Series C share), plus any unpaid dividends accrued through the termination date. The offer is subject to the terms and conditions in the Offer to Purchase and related documents. No financial results or period-over-period comparisons are provided in this filing.

• · The tender offer is an issuer tender offer subject to Rule 13e-4.
• · The offer is for up to 100% of the outstanding Preferred Shares.
• · The purchase price includes any unpaid dividends accrued through the termination date.
• · The filing includes exhibits such as the Offer to Purchase, Letter of Transmittal, Notice of Guaranteed Delivery, and a Press Release issued on October 1, 2026.

01-10-2026

Columbus Acquisition Corp/Cayman Islands (COLAR) filed a Form 25-NSE with the SEC on October 1, 2026, to voluntarily delist its Ordinary Shares, Rights, and Units from the Nasdaq Stock Market. The delisting is effective as of the filing date and is made under SEC Rule 12d2-2(a)(3), which typically applies when a company has ceased to have a class of securities listed on a national exchange. This action indicates the company is terminating its public listing, likely as part of a wind-down or liquidation process common for blank-check companies (SPACs).

• · The delisting is effective as of October 1, 2026.
• · The filing cites 17 CFR 240.12d2-2(a)(3) as the basis for delisting.
• · The company's SEC file number is 333-283278.
• · The company is classified under SIC 6770 (Blank Checks).

01-10-2026

MDJM LTD has been notified by Nasdaq that its Class A Ordinary Shares will be delisted effective October 12, 2026, following a final determination that the company no longer meets the minimum bid price requirement under Listing Rule 5550(a)(2). The company exhausted its appeals through Nasdaq's hearing process, including a Panel decision on May 14, 2026, and a final affirmation by the NLHRC on July 28, 2026, with no further review by the Nasdaq Board. The delisting marks the end of a months-long process that began with a Staff determination on March 13, 2026, and the shares have been suspended since March 20, 2026.

• · Delisting effective date: October 12, 2026
• · Shares have been suspended from trading since March 20, 2026
• · Company appealed the initial Staff determination on April 23, 2026
• · Panel hearing held on April 23, 2026; decision to suspend issued May 14, 2026
• · Company appealed Panel decision to NLHRC on May 28, 2026
• · NLHRC affirmed Panel decision on July 28, 2026; Nasdaq Board declined review
• · Final delisting determination became effective June 29, 2026

01-10-2026

5E Advanced Materials, Inc. subsidiary 5E SVM, LLC issued a $6.22M promissory note to Karnavati Holdings, Inc. on October 1, 2026, bearing 14.50% PIK interest and maturing September 30, 2031. The note is tied to an Asset Purchase Agreement dated September 14, 2026, and requires a mandatory $1.22M prepayment 12 months after closing. The filing does not disclose any revenue, profit, or operational metrics, so no period-over-period comparisons are available.

• · The note is issued by 5E SVM, LLC, a wholly owned subsidiary of 5E Advanced Materials, Inc.
• · Interest is paid in kind (PIK) by adding accrued interest to principal, unless borrower elects cash payment with 3 business days' notice.
• · The note is secured by an Asset Purchase Agreement dated September 14, 2026, and a Sale Order satisfactory to the lender.
• · A Change of Control event is triggered if any person/group acquires >35% of the Guarantor's voting stock or if the Borrower ceases to be a wholly owned subsidiary of the Guarantor.
• · The filing does not disclose the purpose of the loan or the assets being acquired under the Asset Purchase Agreement.

01-10-2026

Gentherm (THRM) completed its combination with Modine's Performance Technologies business via a Reverse Morris Trust transaction, creating a global market leader in thermal and precision flow management technologies. The deal closed with Modine shareholders receiving 0.44619 Gentherm shares per Modine share, resulting in Modine shareholders owning ~43.62% and pre-closing Gentherm shareholders owning ~56.38% of the combined company. Gentherm also declared a special dividend of $2.07 per share payable October 7, 2026, and appointed former Ford CTO Paul Mascarenas to its board, which expands to 10 members.

• · Transaction structured as a Reverse Morris Trust (RMT) intended to be tax-free to Modine and its shareholders for U.S. federal income tax purposes.
• · Modine shareholders received 0.44619 shares of Gentherm common stock per Modine share held as of September 28, 2026 record date.
• · Modine will continue using the Modine brand in its Commercial HVAC segment (Heat Transfer Solutions and HVAC Technologies) under a license with Gentherm.
• · Paul Mascarenas holds a B.S. in Mechanical Engineering from University of London, King's College and an honorary doctorate from Chongqing University.
• · Gentherm acquired the Modine brand, domains, and trademarks and will continue to go to market as Modine.

01-10-2026

Modine completed the spin-off of its Performance Technologies business and its combination with Gentherm via a Reverse Morris Trust transaction, effective October 1, 2026. Modine shareholders received 0.44619 Gentherm shares per Modine share, representing about 43.62% of the combined company, and Modine received a cash distribution of approximately $156 million to repay debt. The transaction valued Performance Technologies at approximately $946.4 million, and Modine plans to change its name to Modexus Solutions pending shareholder approval, while Gentherm will operate under the Modine brand.

• · Record date for spin-off was September 28, 2026.
• · Special dividend of $2.07 per share payable on October 7, 2026 to Gentherm shareholders as of September 28, 2026.
• · Modine shareholders continue to hold same number of Modine shares post-transaction.
• · Modine expects to call special shareholder meeting within next three months to vote on name change to Modexus Solutions.
• · Gentherm acquired Modine brand, domains, and trademarks; Modine will license brand for certain businesses.
• · Transaction intended to be tax-free for U.S. federal income tax purposes, except cash in lieu of fractional shares.
• · Modine's common stock expected to continue trading on NYSE under ticker 'MOD' after name change.

01-10-2026

Sizzle Acquisition Corp. II (SZZL) announced that Pubco (Trasteel S.A.) confidentially submitted a draft registration statement on Form F-4 to the SEC on September 30, 2026, in connection with its proposed business combination with Trasteel Holding S.A. This milestone advances the previously announced merger, but the registration statement remains subject to SEC review and has not yet been declared effective. No financial terms or performance metrics were disclosed in this filing.

• · The draft registration statement on Form F-4 was confidentially submitted to the SEC on September 30, 2026.
• · The Business Combination Agreement was originally entered into on April 13, 2026, and has been amended.
• · The registration statement has not been filed or declared effective and remains subject to SEC review.
• · The filing is a Regulation FD disclosure and does not contain financial statements or new financial data.

01-10-2026

SKYX Platforms Corp. disclosed that on September 26, 2026, independent board member Efrat L. Greenstein Brayer passed away, causing the company to fall out of compliance with Nasdaq Listing Rules requiring a majority independent board and a three-member audit committee. Nasdaq has granted a cure period expiring at the earlier of the next annual meeting or September 26, 2027 (or March 25, 2027 if the meeting is held before that date). The company intends to regain compliance but cannot assure it will do so, though there is no immediate effect on its Nasdaq listing.

• · The cure period for regaining compliance with Nasdaq Listing Rules 5605(b)(1) and 5605(c)(2)(A) expires at the earlier of the next annual meeting or September 26, 2027, with a potential earlier deadline of March 25, 2027 if the meeting is held before that date.
• · The company received the Nasdaq letter on September 30, 2026.
• · The filing was made on October 1, 2026.

01-10-2026

Highlands REIT, Inc. completed its issuer tender offer to purchase up to 125,000,000 shares of its common stock at $0.20 per share. The company exercised its right to increase the number of shares accepted by 2% of outstanding shares, ultimately purchasing 135,380,970.82434 shares for an aggregate purchase price of $27,076,194.16. The shares accepted represent approximately 18.7% of total shares outstanding as of the offer's commencement.

• · The tender offer expired at 11:59 p.m., New York City time, on September 29, 2026.
• · The company increased the number of shares accepted from 125,000,000 to 135,380,970.82434 by exercising its right to purchase up to 2% of outstanding shares (14,453,024 shares) without amending or extending the offer.
• · All validly tendered shares were accepted at $0.20 per share.
• · The aggregate purchase price excludes fees, excise taxes, and expenses relating to the offer.

01-10-2026

Armada Acquisition Corp. II held an extraordinary general meeting on September 30, 2026, where shareholders approved all key proposals for its business combination with Ripple Labs Inc. and Evernorth Holdings Inc., including the Business Combination Proposal (20,514,034 for, 1,362,081 against), the Merger Proposal (20,514,597 for, 1,362,089 against), and the Domestication Proposal (7,880,000 for, 0 against). The advisory proposals on Delaware documents and organizational documents were also approved on a non-binding basis. The Adjournment Proposal was not needed as sufficient votes were present. The transaction involves a change of domicile from Cayman Islands to Delaware, with the post-combination entity to be named Arrington Capital SPAC I Inc.

• · The Business Combination Agreement was dated October 19, 2025.
• · The record date for the meeting was August 20, 2026.
• · The definitive proxy statement/prospectus was filed on August 27, 2026.
• · The Domestication Proposal was voted on only by Class B shareholders (7,880,000 shares), with no votes against or abstentions.
• · The Adjournment Proposal was not presented because sufficient votes were present to approve the other proposals.
• · The post-combination entity will be domiciled in Delaware as Arrington Capital SPAC I Inc.
• · The company's principal executive offices are at 382 NE 191 St, Suite 52895, Miami, FL 33179-3899.

01-10-2026

ACV Auctions Inc. (ACVA) disclosed that its tender offer by Copart's subsidiary, Apple Merger Sub, Inc., has been extended to October 7, 2026, from the original expiration of September 30, 2026. As of the original expiration, approximately 81,269,394 shares (47.78% of outstanding shares) had been validly tendered, indicating the offer remains below the required threshold. The offer price is $10.50 per share in cash.

• · The tender offer was extended to 5:00 p.m. Eastern Time on October 7, 2026.
• · The original expiration was one minute following 11:59 p.m. Eastern Time on September 30, 2026.
• · The offer is a third-party tender offer subject to Rule 14d-1.
• · The press release dated October 1, 2026, was filed as an exhibit.

01-10-2026

Mangoceuticals, Inc. (MGRX) announced a $2.5 million strategic investment in its former wholly-owned subsidiary, MangoRx IP Holdings, LLC, with an initial tranche of $1.75 million received. The investment is at the subsidiary level and does not involve the issuance of MGRX common stock, thus avoiding dilution for public shareholders. The funds will support the commercialization of the company's antiviral intellectual property portfolio, which has potential applications in oral care and feed additives markets valued at $34.8 billion and $39.8 billion respectively in 2025.

• · The investment does not involve issuance of MGRX common stock, warrants, or other parent company securities.
• · Patent No. 11,517,523 protects the technology in the U.S.; corresponding patents are granted or pending in the EU, Canada, China, India, Australia, and Japan.
• · The second tranche of $750,000 is payable by November 28, 2026.
• · The offering was conducted under Section 4(a)(2) of the Securities Act and/or Rule 506(b) of Regulation D.
• · The company faces risks including potential non-compliance with Nasdaq listing standards and a significant number of outstanding warrants and convertible securities.

01-10-2026

Plum Acquisition Corp. IV announced that its merger partner, Controlled Thermal Resources Holdings Inc. (CTR), has secured agreements with strategic investors to strengthen its capital structure ahead of the planned business combination. The deal is expected to support CTR's flagship Hell's Kitchen lithium project, but the filing provides no specific financial figures or completion timeline, and the transaction remains subject to shareholder approval and regulatory conditions.

• · The press release was issued on October 1, 2026.
• · CTR entered into agreements with strategic investors to strengthen its capital structure.
• · The business combination is subject to approval by Plum IV shareholders and other closing conditions.
• · Plum IV's securities trade on the Nasdaq Global Market under symbols PLMKU, PLMK, and PLMKW.
• · The combined company's securities are expected to trade on Nasdaq after the transaction.
• · Plum IV is an emerging growth company and has elected not to use the extended transition period for complying with new financial accounting standards.

01-10-2026

Alpha Modus Holdings, Inc. closed a PIPE transaction on September 30, 2026, issuing 51,621,560 shares of Class A Common Stock and warrants for an additional 51,621,560 shares at $4.36/share to non-U.S. investors in exchange for 3,170 bitcoin. The bitcoin, held by a newly-formed subsidiary, is valued at over $250 million based on a reference price of ~$83,612.20 per bitcoin. The company believes this transaction has resolved a prior Nasdaq delisting risk by boosting stockholders' equity well above the $2.5 million minimum requirement, though Nasdaq will continue to monitor compliance.

• · The company had previously failed to meet Nasdaq's $500,000 minimum net income standard, $35M alternative minimum market value, and $2.5M minimum stockholders' equity.
• · Nasdaq granted an extension for the company to submit a compliance plan, which has now been accepted.
• · Despite the transaction, Nasdaq will continue to monitor the company's equity compliance, and failure at the next periodic report could lead to delisting.
• · Potential consequences of delisting include reduced liquidity, lower stock price, difficulty raising equity, and inability to provide equity incentives to employees.