Global High-Priority Regulatory Events — October 02, 2026

02-10-2026

John Marshall Bancorp, Inc. (JMSB) filed an S-4 registration statement with the SEC on October 2, 2026, in connection with its merger with EFSI. The pro forma combined entity would have total assets of approximately $4.29 billion and total shareholders' equity of $504.7 million as of June 30, 2026. For the six months ended June 30, 2026, pro forma net income is $25.7 million, with basic EPS of $1.03, reflecting the combination of JMSB's $13.1 million and EFSI's $8.7 million net income. However, the pro forma results include significant adjustments such as $2.6 million in intangible asset amortization and a $5.7 million provision for credit losses, and the actual combined performance may differ materially due to integration costs, fair value adjustments, and stock price changes.

• · Pro forma net interest income for six months ended June 30, 2026 is $74.2M, up from JMSB's $33.8M and EFSI's $32.9M combined.
• · Pro forma non-interest income is $15.2M, with EFSI contributing $13.5M vs JMSB's $1.7M, highlighting EFSI's wealth management fees ($4.0M) and service charges.
• · Pro forma non-interest expenses are $50.8M, including $2.6M of intangible amortization; JMSB's historical expenses were $18.4M and EFSI's $29.7M.
• · Pro forma basic EPS of $1.03 is lower than EFSI's standalone $1.61 but higher than JMSB's $0.93, reflecting dilution from share issuance.
• · The merger is accounted for as an acquisition of EFSI by JMSB, with JMSB as the acquirer for accounting purposes.
• · The final purchase price allocation is subject to change based on the closing stock price of JMSB common stock (closing price on September 25, 2026 used for pro forma).
• · Nonrecurring integration charges (systems, severance, etc.) are anticipated but not yet estimable and are not reflected in the pro forma financials.

02-10-2026

Premier Explosives Limited (PEL) disclosed that its Committee of Independent Directors (IDC) has recommended the open offer by Apollo Micro Systems Limited to acquire up to 1,39,77,911 equity shares (26.00% of PEL's equity capital) at ₹698 per share plus applicable interest of ₹7.65, aggregating to ₹705.65 per share, payable in cash. The recommendation was published in Business Standard (English and Hindi) and Navshakti (Marathi) on October 02, 2026. The filing is a routine regulatory disclosure under SEBI (SAST) Regulation 26(7); no financial performance data for PEL is provided, and the offer is subject to regulatory and shareholder approvals.

• · The IDC recommendation was published in Business Standard (English and Hindi) and Navshakti (Marathi) on October 02, 2026.
• · The open offer is made to public shareholders of Premier Explosives Limited.
• · The offer is subject to regulatory approvals and other conditions as per SEBI (SAST) Regulations.

02-10-2026

Baron Infotech Ltd's insolvency resolution process has been stalled after an unsuccessful resolution applicant, Mr. Vivek Kumar Ratakonda, filed an appeal with the NCLAT Chennai bench challenging the NCLT Hyderabad's September 8, 2026 approval of the resolution plan submitted by M/s. Innopark (India) Private Limited. The NCLAT has issued an oral order to maintain status quo as of October 1, 2026, with further hearings scheduled from November 3 to November 6, 2026. The company currently has no operations, and the delay in the appeal's disposal will further postpone the revival of the corporate debtor.

• · The NCLAT Chennai bench heard the appellant's arguments on October 1, 2026 and passed oral orders to maintain status quo as of that date.
• · Written orders from the NCLAT have not yet been uploaded or made available to the Resolution Professional.
• · The company is not currently operational, and the delay in the appeal will delay the revival of the corporate debtor.
• · The company intends to take appropriate legal steps to protect the interests of the company, shareholders, and other stakeholders.

02-10-2026

CareTrust REIT announced a definitive agreement to acquire 45 new UK care homes from LNT Care Developments for approximately £1.1 billion, with the first closing of 24 homes for £576 million (~$764 million) completed on October 1, 2026. The transaction is structured with a lease-up phase followed by a transition to a RIDEA/SHOP structure, expected to be accretive and generate mid-to-high 7% yields. The company also closed ~$488 million of other investments and raised its full-year 2026 guidance, reflecting strong investment activity, though the remaining 21 homes are subject to development and regulatory approvals.

• · First closing of 24 homes occurred on October 1, 2026; one additional home is completed and operating but closing subject to regulatory approval expected in October 2026.
• · Remaining 21 homes are under development, with closings expected on a rolling basis throughout 2027.
• · All homes will be leased to Crystal Care under triple-net leases with fixed annual escalators and renewal options during the Lease-up Phase.
• · SHOP Phase expected to begin between years two and four after each home's completion, with first transition anticipated by Q4 2027.
• · LNT has granted CareTrust an option to acquire the LNT platform in its entirety in the future.
• · Revised FY2026 guidance: net income $1.54-$1.57 per share, Normalized FFO $2.06-$2.09 per share, Normalized FAD $2.02-$2.05 per share.
• · Company has deliberately run below target leverage to maintain capacity for strategic opportunities.
• · LNT founder Lawrence Tomlinson has built more than 250 care homes; LNT delivers at a pace approaching 30 homes per year.

02-10-2026

Amaze Holdings received notice from NYSE American on September 29, 2026, that it is being delisted due to the low selling price of its common stock, with trading suspended immediately. The company will not appeal the delisting and its shares are now quoted on the OTC Pink Limited Market. This transition to a significantly less liquid market could further depress the trading price.

• · The NYSE American determined the company no longer suitable for listing under Section 1003(f)(v) of the NYSE American Company Guide.
• · NYSE American filed a Form 25 on October 1, 2026, to delist the common stock, with the delisting effective 10 days after filing.
• · The company intends to apply for quotation on the OTCQB Venture Market.
• · The company cautions that there is no assurance that broker-dealers will continue to provide public quotes or that trading volume will be sufficient for an efficient market.

02-10-2026

ENDRA Life Sciences Inc. filed an S-4 registration statement on October 2, 2026, in connection with a business combination. The filing details the company's complex capital structure, including multiple series of preferred stock, warrants, and digital assets (tokens). The company has incurred significant accumulated deficits, with retained earnings of -$168,168,200 as of June 30, 2026, indicating ongoing losses. However, the company has raised capital through private placements and ATM agreements, including a May 2026 private placement that issued common stock and warrants.

• · The filing includes a merger agreement with K Resources Inc. involving Class A and Class B common stock.
• · The company has multiple ATM equity offering programs (February 2024, October 2025, June 2021).
• · A May 2026 securities purchase agreement issued common stock and warrants in a private placement.
• · The company has Series A, B, and C preferred stock outstanding, with various conversion and warrant features.
• · Digital assets (including HYPE tokens) are held and measured at fair value using Level 1, 2, and 3 inputs.

02-10-2026

Columbus Acquisition Corp. issued a $50,000 convertible promissory note to WISeSat.Space Corp. in connection with their Business Combination Agreement. The note funds 50% of two extension payments and can convert into securities at $10.00 per unit or, under certain termination scenarios, at $5.00 per share. The note is non-interest bearing and includes a trust account waiver, limiting recourse to the trust account.

• · The note is issued under Section 8.19 of the BCA to fund 50% of two Extension Payments.
• · The note matures on the earliest of: BCA termination (other than by Maker under Section 10.1(e)), consummation of the business combination, or winding up of Maker.
• · No interest accrues on the note.
• · Upon an Event of Default, the unpaid principal becomes immediately due and payable, and Maker agrees to pay collection costs including reasonable attorneys' fees.
• · The note is governed by New York law, with exclusive jurisdiction in New York County courts.
• · Payee irrevocably waives any claims against the Trust Account established for public shareholders.

02-10-2026

Jay Kailash Namkeen Limited has constituted a Committee of Independent Directors to provide recommendations on an Open Offer by Mr. Amar Pramod Talwar to acquire 21,76,540 fully paid-up equity shares of the company. The Open Offer is being made under SEBI Takeover Regulations, and the committee comprises three independent directors: Mr. Dipakbhai Bhikhubhai Hariyani, Ms. Pooja Jamnabhai Varsani, and Mr. Vipin Vishvanath Agrawal.

• · The committee was constituted via a board resolution passed by circulation on October 02, 2026.
• · The Open Offer is being made under Regulation 3(1) and 4 of the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.
• · The target company's scrip code on BSE is 544160.
• · The registered office of Jay Kailash Namkeen Limited is in Rajkot, Gujarat.

02-10-2026

AIP Alternative Lending Fund A (the 'Fund') has commenced an issuer tender offer to purchase up to 5% of its net assets from shareholders. The offer, which commenced on October 2, 2026, will pay shareholders the net asset value per share as of a Valuation Date (December 31, 2026), with payment made via a promissory note within 30 days thereafter. As of the Prior NAV Calculation Date (July 31, 2026), the Fund's aggregate net asset value was $960,129,516, with a net asset value per share of $910.90.

• · The Fund is a closed-end, diversified, management investment company registered under the Investment Company Act of 1940, organized as a Delaware statutory trust.
• · There is no established trading market for the Shares, and transfers are strictly limited by the Fund's Declaration of Trust.
• · The tender offer is an issuer tender offer subject to Rule 13e-4.
• · Key dates: Commencement Date (October 2, 2026), Initial Notice Date (November 2, 2026), Initial Expiration Date (December 21, 2026), Valuation Date (December 31, 2026).
• · Payment for purchased shares will be made via a non-interest bearing, non-transferable promissory note, with cash payment made no later than 30 days after the Valuation Date.
• · The Fund reserves the right to cancel, amend, or postpone the offer at any time before the Initial Expiration Date.
• · The Fund also reserves the right to compulsorily repurchase all of a shareholder's shares if the aggregate value is less than the minimum initial investment.

02-10-2026

AIP Alternative Lending Fund P has commenced an issuer tender offer to repurchase its own shares of beneficial interest, in parallel with a corresponding offer by its master fund (AIP Alternative Lending Fund A) for up to 5% of the master fund's net assets. The offer is open from October 2, 2026, with a notice deadline of November 2, 2026, and an expiration date of December 21, 2026. As of the prior NAV calculation date (July 31, 2026), the fund had aggregate net assets of $362,858,249 and a net asset value per share of $910.90. The fund may increase the offer size by up to 2% of net asset value at its discretion, but the master fund's 5% cap remains the binding constraint.

• · The fund is a closed-end, diversified, management investment company registered under the Investment Company Act of 1940, organized as a Delaware statutory trust.
• · There is no established trading market for the shares; transfers are strictly limited by the Declaration of Trust.
• · Shareholders may tender any number of shares, but the fund retains the right to compulsorily repurchase all shares of a shareholder whose aggregate value falls below the minimum initial investment.
• · Payment for accepted shares will be made via a non-interest bearing, non-transferable promissory note, with cash payment due no later than 30 days after the Valuation Date (December 31, 2026).
• · The fund may cancel, amend, or postpone the offer at any time before the Initial Expiration Date (December 21, 2026).
• · The offer is subject to the master fund's 5% limitation on repurchases, which may constrain the fund's ability to accept all tendered shares.

02-10-2026

Getty Images Holdings, Inc. (GETY) received a delisting notice from the NYSE due to an 'abnormally low selling price' under Section 802.01D of the Listed Company Manual. Trading was suspended on September 29, 2026, and the company chose not to appeal the decision, with delisting effective October 13, 2026. This represents a significant negative event for shareholders, as the stock will no longer trade on a major exchange.

• · Delisting effective date: October 13, 2026
• · Suspension and notification date: September 29, 2026
• · Company notified NYSE on October 1, 2026, that it would not appeal the delisting determination
• · Grounds for delisting: 'abnormally low selling price' per Section 802.01D of the NYSE Listed Company Manual

02-10-2026

Viking Acquisition Corp I (VACI-WT) is being delisted from the NYSE effective October 13, 2026, following the completion of its business combination with NorthStar Earth & Space Inc. on October 1, 2026. As a result, the Units (each consisting of one Class A ordinary share and one-third of one Warrant) will automatically convert into New Class A Ordinary Shares and New Warrants of NorthStar Earth & Space Enterprises, Inc., with the new warrants exercisable at $11.50 per share. Trading was suspended on October 2, 2026.

• · The delisting is effective at the opening of business on October 13, 2026.
• · Trading was suspended before market open on October 2, 2026.
• · The filing is made under 17 CFR 240.12d2-2(a)(3), indicating the securities now represent the right to receive an immediate cash payment or other securities.
• · The business combination closed on October 1, 2026.

02-10-2026

Kaival Brands Innovations Group, Inc. (KAVL) has been delisted from Nasdaq effective October 12, 2026, following a Staff determination that the company no longer qualified for listing under Listing Rule 5101. The company initially appealed the determination but withdrew its appeal on December 19, 2025, and its common stock was suspended on December 23, 2025. This delisting represents a significant negative event for shareholders, as the stock will no longer trade on a major exchange.

• · Delisting effective date: October 12, 2026
• · Nasdaq Staff determination date: November 10, 2025
• · Appeal filed: November 17, 2025
• · Appeal withdrawn: December 19, 2025
• · Stock suspension date: December 23, 2025
• · Basis for delisting: Listing Rule 5101 (discretionary authority for public interest concerns)

02-10-2026

Spark I Acquisition Corp (SPKLU) filed an 8-K on October 2, 2026, furnishing an investor presentation related to its previously announced business combination with ZincFive, Inc., a Delaware corporation. The presentation is provided for informational purposes under Regulation FD and does not constitute an offer of securities. The filing includes forward-looking statements and risk factors, and notes that a registration statement (File No. 333-299215) was filed on September 30, 2026, but has not yet been declared effective.

• · The registration statement (File No. 333-299215) was filed on September 30, 2026, but has not yet been declared effective.
• · The investor presentation is furnished under Item 7.01 and is not deemed filed for Section 18 liability purposes.
• · The filing includes extensive risk factors including ZincFive's ability to grow, supply chain risks, and potential shareholder redemptions.
• · The business combination is subject to regulatory approvals and shareholder vote.
• · No specific financial metrics or transaction values were disclosed in this filing.

02-10-2026

Direct Digital Holdings, Inc. (DRCT) received a delisting determination from Nasdaq on October 1, 2026, due to failure to comply with the minimum stockholders' equity requirement under Listing Rule 5550(b)(1) after an extension period. Trading will be suspended effective October 5, 2026, and the company expects shares to move to the OTC Markets' OTC Pink 'Limited Information' tier, which may materially adversely affect trading price and volume. The company has 15 days to appeal the determination to the Nasdaq Listing and Hearing Review Council.

• · The delisting is based on failure to satisfy Nasdaq Listing Rule 5550(b)(1) (minimum stockholders' equity requirement).
• · The company was previously granted an extension by the Nasdaq Hearings Panel to comply with the rule.
• · Trading suspension is effective at the open of business on Monday, October 5, 2026.
• · The company may appeal to the Nasdaq Listing and Hearing Review Council within 15 days of the Delist Determination.
• · The Listing Council may separately elect to review the matter within 45 days of the determination.
• · Upon suspension, shares are expected to trade on OTC Markets' OTC Pink 'Limited Information' tier under symbol 'DRCT'.
• · The filing notes substantial doubt about the company's ability to continue as a going concern.

02-10-2026

Daré Bioscience, Inc. received a Nasdaq Staff deficiency notice on September 28, 2026, for failing to maintain the minimum $1.00 bid price per share for 30 consecutive business days. The company has until March 29, 2027, to regain compliance, with a possible additional 180-day cure period, but there is no assurance of regaining compliance and the stock remains at risk of delisting.

• · Compliance deadline to regain minimum bid price is March 29, 2027
• · If not compliant by the Compliance Date, Daré may be eligible for an additional 180-day compliance period if it meets other listing standards and provides written notice of intent to cure, potentially via a reverse stock split
• · If ineligible or unable to cure, Nasdaq Staff will issue a written delisting notice, which Daré may appeal to a Nasdaq Hearing Panel
• · Daré will monitor the closing bid price and consider options to regain compliance, but there is no assurance of success

02-10-2026

Solésence, Inc. received a Nasdaq notice on September 29, 2026, for failing to maintain the $1.00 minimum bid price for 30 consecutive trading days, triggering a 180-day compliance period ending March 29, 2027. The company is evaluating options to regain compliance, but there is no assurance of success, and a delisting would materially harm its ability to raise capital and its financial condition.

• · Compliance deadline: March 29, 2027
• · Potential additional 180-day grace period if company meets other listing standards and notifies Nasdaq of intent to cure
• · Company's common stock trades on The Nasdaq Capital Market under ticker SLSN
• · Notice has no immediate effect on listing or SEC reporting requirements

02-10-2026

BC Partners Lending Corporation (BCPL) completed its merger with Alternative Credit Income Fund (ACIF), with BCPL as the surviving company. The combined company has a net asset value in excess of $223 million as of September 26, 2026. Management expects to leverage enhanced scale, portfolio diversification, cost savings, and improved liquidity to deliver compelling risk-adjusted returns.

• · ACIF conducted a one-time discretionary repurchase offer for up to 15% of its outstanding shares at NAV as of September 24, 2026, prior to the merger closing.
• · Exchange ratios vary by ACIF share class: Class A ~0.4571, Class C ~0.4647, Class I ~0.4568, Class L ~0.4579, Class W ~0.4567 BCPL shares per ACIF share.
• · BCPL is a non-diversified, closed-end management investment company treated as a business development company under the Investment Company Act of 1940.
• · BCPL's investment objective is current income and capital appreciation primarily through debt investments in private middle-market companies.

02-10-2026

ESCO Technologies Inc. completed the acquisition of Megger Group Limited for approximately $2.3 billion, funded with $922 million in cash and 5.10 million shares of ESCO common stock. The acquisition was financed through a new $1.5 billion senior secured credit facility (comprising $500 million each in revolving credit, Term Loan A, and Term Loan B facilities), which replaced the existing credit agreement. In connection with the deal, the board was expanded to nine members with the appointment of Jeremy P. Abson as an independent director, and a shareholder agreement with seller TBG AG provides for board representation, transfer restrictions, and other governance rights.

• · The purchase price is subject to a post-closing adjustment based on net debt and working capital of Megger Group, payable in cash.
• · The shareholder agreement grants TBG AG the right to designate one board member as long as it holds at least 50% of the Consideration Shares.
• · Consideration Shares are subject to transfer restrictions: 50% released after 6 months, the remainder after 12 months.
• · Standstill provisions limit TBG AG from acquiring more than 24.5% of ESCO's outstanding common stock without board consent.
• · The New Credit Agreement matures on October 1, 2031 for the Revolving Credit Facility and Term Loan A, and October 1, 2033 for Term Loan B.
• · The New Credit Agreement includes financial covenants (leverage ratio, interest coverage ratio) and restrictions on incurring debt, granting liens, and asset sales.
• · Financial statements and pro forma financial information will be filed by amendment within 71 calendar days.
• · Mr. Abson was appointed as a Class III director with term ending at the 2029 annual meeting; Mr. Khilnani was reclassified from Class III to Class I director.

02-10-2026

Innovation Access Fund filed a final amendment to its tender offer statement, reporting that its offer to repurchase up to 4% of its outstanding Class A, Class W, and Class I shares expired on August 26, 2026, with zero shares tendered by shareholders. As a result, the Fund accepted no shares for purchase under the offer.

• · The offer was for up to 4% of shares outstanding as of June 30, 2026, at a price equal to net asset value as of September 30, 2026.
• · The offer expired on August 26, 2026, at 12:00 midnight Eastern Time.
• · This is a final amendment (SC TO-I/A) filed on October 2, 2026.

02-10-2026

Bluerock Acquisition Corp. II filed an 8-K reporting the consummation of its IPO and a concurrent private placement on September 28, 2026. The IPO of 17,250,000 units at $10.00 per unit generated gross proceeds of $172.5 million, and the private placement of 5,812,500 warrants at $1.00 per warrant added $5.8 million, for total gross proceeds of $178.3 million. A total of $173.4 million of the proceeds has been placed in a trust account, representing the net proceeds available for a future business combination.

• · The IPO included full exercise of the underwriters' over-allotment option (2,250,000 additional units).
• · The trust account holds $10.05 per unit, which includes the deferred underwriting commission.
• · The private placement warrants were sold at $1.00 per warrant, compared to the public warrant exercise price of $11.50 per share.

02-10-2026

Piermont Valley Acquisition Corp entered into a PIPE Securities Purchase Agreement with Tigerless AI Holdings Inc., Tigerless Health, Inc., and Capstan Point, LLC, securing $5.0 million in aggregate gross proceeds through the issuance of 5,000 shares of Series A Convertible Preferred Stock at $1,000 per share. The PIPE financing is structured in two tranches: $3.5 million at the first closing post-business combination and $1.5 million at the second closing 90 business days later. The agreement includes complex conversion terms with a floor price that can reset lower over time, potentially diluting existing shareholders significantly, and imposes restrictive covenants and registration obligations on Pubco.

• · The PIPE Securities Purchase Agreement was entered into on September 30, 2026, in connection with a previously announced business combination under an Agreement and Plan of Merger dated April 17, 2026.
• · The second tranche commitment is binding but subject to conditions including no continuing Triggering Event or Pubco Default, continued Nasdaq listing, and required registration statement filings.
• · The Conversion Price is the lower of $10.00 and 93% of the lowest daily VWAP over the prior five trading days, subject to a floor price that starts at $2.00 and can reset lower every six months to 20% of a defined market price.
• · If the floor price resets below $2.00, a larger number of shares could become issuable, increasing potential dilution.
• · Pubco must reserve at least 200% of the shares needed for conversion at the applicable floor price.
• · Triggering Events include failures to maintain registration, trading or Nasdaq listing, timely delivery of conversion shares, payment failures, defaults on indebtedness, bankruptcy, material breaches, and DTC restrictions.
• · During an uncured Triggering Event, a holder may require Pubco to apply up to 25% of gross cash proceeds from subsequent debt or equity financings to redeem shares.
• · Pubco may redeem all or part of the Series A Preferred Stock at 110% of stated value plus dividends, on at least 15 business days' notice, provided no Triggering Event is continuing.
• · Closing Fee Shares of 2,000,000 Pubco Class A Common Stock will be transferred by existing stockholders of Tigerless and/or Piermont to the PIPE Investor, subject to a 4.99% beneficial ownership cap.
• · Registration rights require Pubco to file a resale registration statement within 30 days of the first PIPE closing, covering 200% of maximum conversion shares at the initial floor price plus Closing Fee Shares.
• · If registration deadlines are missed, Pubco must pay liquidated damages of 5% of the purchase price initially, plus 5% for each 30-day period, with unpaid amounts bearing 18% annual interest.
• · The PIPE Investor is subject to daily leak-out restrictions on open-market sales until the second PIPE closing, limited to the greater of $75,000 divided by prior day's closing price and 8% of that day's trading volume.
• · The Series A Preferred Stock ranks senior to Class A and Class B Common Stock for dividends, distributions, and liquidation, but generally has no voting rights except protective votes and those required by Nevada law.

02-10-2026

Maxeon Solar Technologies, Ltd. (MAXN) has been formally delisted from Nasdaq, effective October 12, 2026, following a series of compliance failures and a failed appeal. Nasdaq Staff initially determined the company no longer met listing requirements under Listing Rule 5110(b) on April 24, 2026, and later added violations of Rules 5250(c)(1), 5605(c)(2), and 5605(d)(2). The company's appeal to the Listing Qualifications Hearings Panel was unsuccessful, and the delisting became final on August 10, 2026, with shares suspended since May 1, 2026.

• · Delisting effective at the opening of trading on October 12, 2026.
• · Shares were suspended from trading on May 1, 2026.
• · The company violated Listing Rules 5110(b), 5250(c)(1), 5605(c)(2), and 5605(d)(2).
• · The Panel decision to suspend was issued on June 26, 2026, and the delisting became final on August 10, 2026.

02-10-2026

Blaize Holdings, Inc. received a Nasdaq notice on September 28, 2026, that its common stock (BZAI) has fallen below the $1.00 minimum bid price for 30 consecutive business days, failing to meet Nasdaq Listing Rule 5450(a)(1). The company has a 180-day grace period until March 29, 2027, to regain compliance by achieving a closing bid price of at least $1.00 for ten consecutive business days. If it fails, it may seek a second 180-day period by transferring to the Nasdaq Capital Market, but the company acknowledges it may not regain compliance or secure an extension, putting its listing at risk.

• · The notice was received on September 28, 2026, and the compliance period began on September 25, 2026.
• · The company's common stock continues to trade on the Nasdaq Global Market under the symbol BZAI during the grace period.
• · If the company fails to regain compliance, it may apply for a second 180-day period by transferring to the Nasdaq Capital Market, provided it meets other listing standards.
• · The company explicitly warns that it may not regain compliance, secure a second period, or maintain compliance with other Nasdaq requirements.

02-10-2026

Tavia Acquisition Corp. (SPAC) completed a sponsor handover on October 1, 2026, whereby Fog Cutter Holdings LLC purchased 2,243,333 ordinary shares and 249,107 private units from the prior sponsor, becoming the new sponsor. The transaction triggered a complete board and officer overhaul: Andrew Wiederhorn (Chairman & CEO of Fog Cutter) was appointed Executive Chairman and CEO, Kenneth Kuick became CFO, and four new directors joined. The prior sponsor retained 1,500,000 ordinary shares, and the new sponsor assumed responsibility for monthly trust contributions of up to $60,000 and operating expenses.

• · The Purchase Agreement was approved by the SPAC Board on September 29, 2026.
• · Closing occurred on October 1, 2026.
• · The new sponsor did not assume obligations under Sections 7 and 8 of the letter agreement dated December 3, 2024.
• · The administrative services agreement between the SPAC and the prior sponsor terminated as of the Closing.
• · The resignations of Christophe Charlier, Marsha Kutkevitch and Darrell Mays were not due to any disagreements with the company.
• · Andrew Wiederhorn previously founded FAT Brands Inc. and served as its Chairman, President and CEO until March 2026.
• · Christopher DeWolfe co-founded MySpace and Jam City; Jam City had peak annual revenue exceeding $550 million and a valuation over $1 billion.
• · Kenneth Kuick is a Certified Public Accountant.

02-10-2026

BeyondSpring Inc. (BYSI) received a Nasdaq notice on September 29, 2026, for failing to meet the $35 million market value of listed securities (MVLS) requirement for continued listing on the Nasdaq Capital Market. The company has a 180-day compliance period until March 29, 2027, to regain compliance, during which its shares will continue to trade. The company is evaluating options but cannot assure compliance.

• · The notification does not affect the company's business operations.
• · The company may appeal a delisting determination if it fails to regain compliance by March 29, 2027.
• · The company's securities will continue to trade on Nasdaq during the compliance period.

02-10-2026

XCel Brands, Inc. received a Nasdaq deficiency notice on September 29, 2026, because its common stock closing bid price fell below $1.00 for 30 consecutive business days, failing the minimum bid price requirement. The company has until March 29, 2027, to regain compliance, and may face delisting if it fails to do so, though it is considering options including a potential reverse stock split.

• · Compliance deadline: March 29, 2027
• · Company may be eligible for additional time under Nasdaq Listing Rule 5810(c)(3)(A)(ii) if it provides written notice of intent to cure via reverse stock split
• · If compliance is not regained, Nasdaq will provide notice that shares will be subject to delisting, and the company may appeal to a hearings panel
• · Company will monitor closing bid price and market value of publicly held common stock until March 29, 2027
• · No assurance that the company will be able to regain compliance with minimum bid price requirement or other Nasdaq listing criteria

02-10-2026

Fairway Private Equity & Venture Capital Opportunities Fund filed a final amendment to its tender offer statement, reporting that its offer to repurchase up to 97,377.992 of its outstanding Class I Shares expired on September 25, 2026, with no shares validly tendered or withdrawn. The offer was priced at net asset value per share as of September 30, 2026.

• · The tender offer expired at 11:59 p.m., Eastern Time, on September 25, 2026.
• · No shares were validly tendered or withdrawn prior to expiration.
• · The filing is a final amendment (SC TO-I/A) reporting the results of the offer.

02-10-2026

Healthcare Triangle, Inc. (HCTI) received a delisting notice from Nasdaq on October 1, 2026, because its common stock failed to meet the minimum $1.00 bid price requirement. The company is not eligible for the standard 180-day compliance period due to two reverse stock splits over the prior two years with a cumulative ratio of 1-for-14,940. The company intends to appeal the determination by October 8, 2026, and will present a plan to regain compliance, but there is no assurance of success.

• · The company effected a 1-for-249 reverse stock split on August 1, 2025, and a 1-for-60 reverse stock split on February 10, 2026.
• · Unless an appeal is requested by October 8, 2026, trading will be suspended at the opening of business on October 12, 2026.
• · The company's common stock continues to trade under the symbol 'HCTI' with no immediate effect on listing or trading.
• · The company intends to present a plan to regain compliance, which may include another reverse stock split.

02-10-2026

Hall Chadwick Acquisition Corp (HCAC) announced a proposed $400M all-stock business combination with REEcycle Holdings, a rare earth recycling company, to build a domestic rare earth supply chain. The deal includes $350M payable at closing and a $50M milestone payment upon achieving 50 tonnes per annum of mixed rare earth oxide over 22 days, with a minimum cash condition of $40M. However, the transaction is subject to significant risks including REEcycle's early stage with limited operating history, no definitive offtake agreements, reliance on unproven technology, and potential shareholder redemptions that could impact the minimum cash condition.

• · The BCA was signed on May 31, 2026, and the S-4 registration statement was filed with the SEC on October 1, 2026.
• · The transaction is an all-stock deal with no cash consideration; all stock rolls over with a 6-month lock-up.
• · REEcycle management fills all executive roles post-combination.
• · The PIPE has no minimum ticket size or warrants; it is common equity only at $10.00/share.
• · At ≤75% redemptions, no PIPE is needed; at 100% redemptions, the PIPE is ~$51.8M.
• · The company has no definitive offtake agreements and relies on patents licensed from the University of Houston.
• · The minimum cash condition of $40M is critical to fund the first plant.
• · The SEC review is estimated to take 30-60 more days as of October 2, 2026, with 30 days already elapsed.

02-10-2026

EchoStar's subsidiary DISH DBS emerged from Chapter 11 bankruptcy on October 1, 2026, after the Bankruptcy Court confirmed its prepackaged plan on September 29, 2026. The restructuring reduced aggregate outstanding indebtedness by approximately $4.35 billion through debt restructuring, full repayment of 7.75% Senior Notes due July 1, 2026, and partial early repayment of 5.25% Senior Secured Notes due December 1, 2026. DISH DBS will be reconsolidated into EchoStar's financial statements as of the Effective Date.

• · The DISH DBS Filing Entities were deconsolidated from EchoStar's financial statements effective June 30, 2026 upon filing the Prepackaged Chapter 11 Cases.
• · The DISH DBS Filing Entities will be reconsolidated as of the Effective Date (October 1, 2026).
• · The DISH DBS Plan was bifurcated from the DISH Wireless Filing Entities' plan on August 27, 2026.
• · Financial statements of DISH DBS will be filed by amendment to this 8-K no later than 71 calendar days after the filing date.

02-10-2026

BBR ALO Fund, LLC, a closed-end investment company, has launched a tender offer to purchase up to $75,000,000 of its own Shares from investors to provide liquidity. The offer period runs from October 2, 2026 to December 16, 2026, with the purchase price based on the net asset value (NAV) per Share of $15.21 as of August 31, 2026, though the final valuation date is December 31, 2026. The Fund makes no recommendation on whether investors should tender, and the offer is not conditioned on a minimum number of Shares being tendered.

• · The Fund's net asset value per Share was $15.21 as of August 31, 2026.
• · Repurchases will be made via non-interest bearing, non-transferable promissory notes delivered within five business days after December 16, 2026.
• · The Fund expects BBR Partners to recommend quarterly tender offers to the Board.
• · The offer is an issuer tender offer subject to Rule 13e-4 under the Securities Exchange Act of 1934.
• · Audited financial statements for FY ended March 31, 2025 and March 31, 2026 are incorporated by reference.