US Corporate Distress Financial Stress SEC Filings — March 06, 2026

06-03-2026

Allarity Therapeutics, Inc. entered into a Notes Purchase Agreement dated March 2, 2026, with Streeterville Capital, LLC, agreeing to issue and sell a Promissory Note A-1 with $10.93M principal (including $900k OID and $30k transaction expenses) and a secured Promissory Note B with $10M principal, for a total purchase price of $20M. The B Note is secured by cash collateral in a Deposit Account at Lakeside Bank under a DACA and Pledge Agreement, with obligations guaranteed by subsidiaries ALLR Holdings, LLC, Allarity Acquisition Subsidiary, Inc., and Allarity Therapeutics Europe ApS. The agreement includes restrictive covenants on new debt, liens, equity issuances, and SEC reporting requirements.

• ·Closing Date: March 2, 2026
• ·A-1 Note cash payment: $10M directly to Company
• ·B Note cash payment: $10M to Lakeside Bank under DACA
• ·Transaction relies on Section 4(a)(2) of 1933 Act and Rule 506(b)
• ·Covenants prohibit Restricted Issuances, new liens/encumbrances, equity sales in subsidiaries, and require timely SEC filings and listing maintenance

06-03-2026

Waste Connections, Inc. announced plans to offer senior unsecured notes in a public offering, subject to market and other conditions, with proceeds intended to repay a portion of borrowings under its revolving credit facility. BofA Securities, J.P. Morgan, PNC Capital Markets LLC, and Truist Securities are acting as joint book-running managers. No specific offering size or terms were disclosed, and the offering is pursuant to a shelf registration statement filed on October 24, 2024.

• ·Serves customers across 46 U.S. states and six Canadian provinces
• ·Shelf registration statement filed with SEC on October 24, 2024

06-03-2026

Nortech Systems Incorporated entered into Waiver and Amendment No. 4 to its Credit Agreement with Bank of America, N.A. on February 27, 2026, waiving financial covenant defaults on Consolidated Leverage Ratio, Fixed Charge Coverage Ratio, and Consolidated EBITDA for the quarter ended December 31, 2025. The amendment revises definitions, borrowing base, covenants, commitment levels, borrowing rates, and limits on foreign investments, signaling ongoing financial pressures despite positive operating benefits from prior restructurings. The company is negotiating a new asset-backed lending facility expected to close soon.

• ·Restructuring activities conducted in Q4 2024 and Q1 2025
• ·Waiver and Amendment filed as Exhibit 10.1

06-03-2026

Dave Inc. priced a $175 million (upsized from $150 million) offering of 0% Convertible Senior Notes due 2031, expecting $168 million in net proceeds (or $192.1 million if the $25 million option is exercised fully), to be used for $15.1 million in capped call transactions, $70.5 million to repurchase 334,000 shares, and general corporate purposes including additional repurchases. The notes feature an initial conversion price of $279.13 per share (32.5% premium over $210.67 closing price on March 4, 2026) and a capped call cap price of $421.34 (100% premium). No performance declines noted, but capped calls aim to mitigate dilution risks from potential conversions.

• ·Offering expected to close on March 9, 2026, subject to customary conditions.
• ·Notes mature on April 1, 2031; redeemable after April 6, 2029 under specific conditions.
• ·Initial conversion rate: 3.5825 shares per $1,000 principal amount.

06-03-2026

On March 5, 2026, Spirit Aviation Holdings, Inc. entered into a Consent and Waiver with certain holders of its common stock and warrants, who represent a majority of Registrable Securities, waiving rights under Sections 2.1, 2.2, and 2.3 of the March 12, 2025 Registration Rights Agreement to permit the company to terminate the Form S-1 registration statement (File No. 333-288706). This action occurs during the company's ongoing Chapter 11 bankruptcy cases filed on August 29, 2025, with explicit warnings that trading in common stock is highly speculative and could result in significant or complete loss for holders.

06-03-2026

Adapti, Inc. (ADTI) announced the resignation of Marilu Brassington as CFO, principal accounting officer, and Board member effective March 2, 2026, with no disagreements noted; the separation agreement includes $15,000 in wages, up to $80,000 in contingent consulting fees tied to Reg A Offering fundraising milestones of $500,000 each, $60,000 in common stock, and accelerated vesting of 50,000 stock options. Adam Nicosia, the current CEO, was appointed interim principal financial and accounting officer effective the same date, leveraging his 18+ years of sales and marketing experience across brands generating over $500M in retail sales, with no additional compensation. The company retained an outside consulting firm to assist.

• ·Stock option exercise price: $3.08; originally granted August 14, 2025; exercisable until August 13, 2030
• ·Separation Agreement dated March 5, 2026; includes 7-day revocation period
• ·Transitional services from Ms. Brassington through March 31, 2026
• ·Filing date: March 6, 2026; earliest event: March 2, 2026

06-03-2026

Western Alliance Bancorporation disclosed a material non-cash impairment charge of $126.4 million on March 2, 2026, due to counterparties breaching a commercial loan facility and forbearance agreement by failing to make a required $42.125 million principal payment and discontinuing future payments. The outstanding loan balance is $126.4 million, with the charge to be recognized in Q1 2026. The Bank has asserted claims and will pursue legal remedies for recovery, though outcomes remain uncertain amid forward-looking risks.

• ·Filing date: March 6, 2026
• ·Date of earliest event: March 2, 2026
• ·Securities: Common Stock (WAL), Depositary Shares WAL PrA on NYSE

06-03-2026

United States Antimony Corporation (UAMY) filed an 8-K on March 6, 2026, under Item 3.01 notifying of delisting or failure to satisfy a continued listing rule or standard, a material negative development for shareholders. The filing also furnishes Exhibit 99.1, a press release under Item 7.01 (Regulation FD Disclosure), which includes forward-looking statements on the company's plans and potential benefits from a joint venture. No financial metrics or period comparisons were provided.

• ·Filing items include 3.01 (Notice of Delisting/Failure to Satisfy Rule), 7.01 (Regulation FD Disclosure), and 9.01 (Financial Statements and Exhibits).
• ·Exhibit 99.1 is a Press Release dated March 6, 2026, furnished but not deemed 'filed' under the Exchange Act.

06-03-2026

AgEagle Aerial Systems Inc. (dba EagleNXT, NYSE: UAVS) announced a strategic investment in Israel's Aerodrome Group Ltd., a developer of precision loitering munitions, to boost capabilities in autonomy and precision strike technologies. The investment includes a reserved right for EagleNXT to establish a U.S.-based joint venture, subject to mutual agreement and regulatory approvals. This aligns with EagleNXT's mission in uncrewed systems for defense and other sectors, with CEO Bill Irby highlighting its role in enhancing security and operational effectiveness.

• ·EagleNXT’s platforms achieved FAA approvals for Operations Over People (OOP) and Beyond Visual Line of Sight (BVLOS)
• ·EASA C2 certification in Europe
• ·Inclusion on the U.S. Department of Defense’s Blue UAS list
• ·Forward-looking statements subject to risks including investment success and regulatory approvals for joint venture

06-03-2026

Cheniere Energy, Inc. (NYSE: LNG) announced its intention to offer Senior Notes due 2036 and Senior Notes due 2056, subject to market and other conditions. Proceeds from the offering will be used for general corporate purposes, including repayment or refinancing of existing indebtedness (such as under Cheniere Corpus Christi Holdings, LLC’s term loan facility), funding capital expenditures, working capital, and other business opportunities. The Notes will rank pari passu with Cheniere's existing senior notes due 2028 and due 2034; the offering is not registered under the Securities Act.

• ·Filing date: March 06, 2026
• ·Offer not registered under the Securities Act of 1933; may not be offered or sold in the US absent registration or exemption

06-03-2026

ArteLo Biosciences, Inc. (ARTL) filed an 8-K on March 6, 2026, reporting material modifications to the rights of security holders (Item 3.03), amendments to articles of incorporation or bylaws (Item 5.03), other events (Item 8.01), and financial statements/exhibits (Item 9.01). The filing falls under the subcategory of Charter/Bylaws Amendments, indicating potential changes to corporate governance structure. No financial metrics or period-over-period comparisons were disclosed in the available filing details.

• ·Filing accession number: 0001640334-26-000395
• ·Company CIK: 0001621221
• ·SIC: 2834 (Pharmaceutical Preparations)
• ·Incorporated in NV, located in CA, Fiscal Year End: December 31
• ·Former names: Knight Knox Development Corp. (through 2017-02-06), Reactive Medical Inc. (through 2017-04-17)

06-03-2026

Traeger, Inc. (COOK) received NYSE notice on March 5, 2026, for non-compliance with continued listing standard Section 802.01C, as average closing stock price was below $1.00 over the 30 trading-day period ended March 4, 2026, but no immediate delisting occurs with a 6-month cure period provided. At a special stockholder meeting on March 2, 2026, shareholders overwhelmingly approved a reverse stock split (1-for-10 to 1-for-50 ratio, at board discretion) to help regain compliance. The company plans to evaluate options including the reverse split, with stock remaining listed and traded during the cure period.

• ·Stockholders also approved Proposal Two (adjournment if needed) with 124,726,243 votes for, 2,153,788 against, and 255,031 abstentions.
• ·Cure period compliance requires closing price >= $1.00 and 30-day average >= $1.00 on last trading day of any month within 6 months.
• ·No impact on business operations, SEC reporting, or debt obligations.

06-03-2026

Servier announced a definitive agreement to acquire Day One Biopharmaceuticals, Inc. (Nasdaq: DAWN) for $21.50 per share in cash, representing a total equity value of approximately $2.5B, a 68% premium over the March 5, 2026 closing price and 86% over the one-month VWAP. The transaction, which positions Servier as a leader in pediatric low-grade glioma and expands its oncology pipeline, is expected to close in Q2 2026 subject to customary conditions including majority tender and U.S. antitrust clearance. No financial declines or flat metrics reported, though forward-looking statements highlight risks such as failure to meet closing conditions.

• ·Servier invests nearly 20% of brand-name sales in R&D
• ·Day One Board recommends shareholders tender shares
• ·Advisors: Baker McKenzie (Servier legal), Fenwick & West LLP (Day One legal)

06-03-2026

Honeywell announced that Honeywell Aerospace Inc. has launched a private offering of up to $16B in senior notes and entered into $3B five-year and $1B 364-day revolving credit facilities to finance the planned spin-off of Aerospace, expected in Q3 2026. Proceeds from New Money Notes will fund a cash distribution to Honeywell and related fees, while Exchange Notes settle prior debt obligations. However, the offering size, timing, and terms are subject to market conditions, with significant risks including potential delays, failure to complete the spin-off, or lack of anticipated benefits.

• ·Notes offered only to qualified institutional buyers under Rule 144A and non-U.S. persons under Regulation S
• ·Notes guaranteed by Honeywell until Spin-Off completion, after which guarantees are automatically released
• ·Closing of Notes offering not contingent on Spin-Off completion

06-03-2026

Nuvve Holding Corp. announced a partnership with OMNIA Global to address a 1GW development pipeline over the next 24 months, supported by financing, starting with a 50MW/75MWh battery energy storage system (BESS) in Sweden expected to commence operations in Q2 2026. Nuvve will own and manage the facility, providing market access services, with potential revenues of $260,000–$325,000 per MW-year amid favorable Swedish market conditions. The deal includes exclusive rights to support OMNIA's projects and a right of first refusal for future ownership stakes, expanding Nuvve's European footprint.

• ·Filing date: March 06, 2026
• ·First project operations expected: Q2 2026
• ·Pipeline timeframe: next 24 months
• ·Nuvve headquartered in San Diego, California

06-03-2026

MacKenzie Realty Capital, Inc. (Nasdaq: MKZR) closed an additional $1 million loan agreement with Streeterville Capital, a division of Chicago Venture Partners, to purchase approximately $1,000,000 of CNL Healthcare Properties, Inc. (CHP) shares at $4.55 per share. CHP is expected to close a merger with SNDA this month, with shares receiving approximately $6.90 per share, positioning this as a profitable strategy per CEO Robert Dixon. The move aligns with the company's long-term approach to strengthen its balance sheet and cash flow through non-traded REIT shares.

• ·MacKenzie Realty Capital founded in 2013; intends to invest at least 80% of total assets in real property and up to 20% in illiquid real estate securities.
• ·Intended real property portfolio: approximately 50% multifamily and 50% boutique class A office.
• ·100% ownership of multifamily subsidiary MacKenzie Apartment Communities, Inc.

06-03-2026

5&2 Studios, Inc. entered into a Vendor Advance Agreement with Come and See Foundation, Inc. on March 2, 2026, providing up to $24.7 million to finance cash payments in lieu of fractional shares from a proposed 1-for-173,750 reverse stock split and related transaction fees. The advance bears interest at 7.25% per annum (potentially increasing by 2% if conditions under the prior Asset Purchase Agreement are not met by July 31, 2027) and is secured by the company's rights to certain programming, including 'The Chosen' series, with repayment offset against Season 7 payments. Funding is conditioned on majority approval of the reverse split by non-affiliate common stockholders.

• ·Reverse stock split ratio: 1-for-173,750 affecting Series A and Series B Common Stock
• ·Advance fully provided upon consummation of Reverse Stock Split
• ·Repayment offset mechanism: advance plus interest against Season 7 payments; shortfall repayable on demand by CAS
• ·Agreement filed as Exhibit 99.(B) to Schedule 13E-3 on March 3, 2026

06-03-2026

Presurance Holdings, Inc. received a Nasdaq notice on March 3, 2026, stating non-compliance with the minimum bid price requirement under Rule 5550(a)(2), as its common stock (PRHI) closed below $1.00 per share for 30 consecutive business days. The company has 180 calendar days until August 31, 2026, to regain compliance by closing at or above $1.00 for 10 consecutive business days, potentially via a reverse stock split approved by shareholders in June 2025. Failure to comply risks delisting, with no assurance of success despite available options.

• ·Nasdaq Marketplace Rule 5550(a)(2) violated; Rule 5810(c)(3)(A) provides initial 180-day cure period.
• ·Board has authority to effect reverse stock split until June 3, 2026, if deemed in shareholders' best interests.
• ·Eligibility for second 180-day period requires meeting other Nasdaq Capital Market initial listing standards except bid price.

06-03-2026

Cohen & Company, LLC, a subsidiary of Cohen & Company, Inc., entered into a Second Amended and Restated Limited Liability Company Agreement effective March 6, 2026, restating the prior Amended and Restated Operating Agreement that had been amended multiple times since 2009. The key update permits the Company to issue LTIP Units intended as profits interests for U.S. federal income tax purposes, subject to terms in this Agreement and applicable Grant Agreements. No financial metrics or performance changes are disclosed in the filing.

• ·Prior amendments to the Operating Agreement: June 20, 2011; May 9, 2013; October 13, 2019; September 25, 2020; December 20, 2021.
• ·Original Merger Agreement dated February 20, 2009, amended June 1, 2009; August 20, 2009; September 30, 2009.

06-03-2026

Offerpad Solutions Inc. was notified by the NYSE on March 3, 2026, of non-compliance with Section 802.01C of the NYSE Listed Company Manual, as the average closing price of its Class A common stock (OPAD) was below $1.00 over a consecutive 30 trading-day period, triggering a potential delisting risk. The company stated its intent to cure the deficiency within a six-month period, potentially through a reverse stock split requiring stockholder approval at its next annual meeting, while its stock continues to trade on the NYSE subject to other listing standards. No immediate delisting will occur, but failure to regain compliance could lead to transfer to a lower market tier.

• ·Cure period: six months from March 3, 2026
• ·Compliance cure condition: closing share price of at least $1.00 and average of $1.00 over 30 trading days ending last day of any month during cure period
• ·Press release issued March 6, 2026 (Exhibit 99.1)
• ·Recent 10-K filed February 24, 2026, for year ended December 31, 2025

06-03-2026

Gran Tierra Energy Inc. announced the final results of its exchange offer, with $648.457M (90.52%) of its $716.34M outstanding 9.500% Senior Secured Amortizing Notes due 2029 tendered for new 9.750% Senior Secured Amortizing Notes due 2031. The company accepted $628.701M aggregate principal of existing notes for exchange, issuing $503.57M in new notes, achieving high participation but leaving $87.639M (12.23%) of existing notes outstanding after excluding $19.756M due to minimum denomination requirements. This extends maturities for most debt but at a slightly higher coupon rate.

• ·Early Participation Deadline: February 11, 2026 (5:00 p.m. New York City time)
• ·Expiration Deadline: February 27, 2026 (5:00 p.m. New York City time)
• ·Early Settlement Date: February 18, 2026
• ·Final Settlement Date: March 2, 2026
• ·Minimum denomination for New Notes: $200,000

06-03-2026

Streamex Corp. (NASDAQ: STEX) announced the appointment of Shawn Matthews, former CEO of Cantor Fitzgerald & Co. (2009-April 2018) and Founder/CIO of Hondius Capital Management, as an independent director to its Board of Directors, effective around March 3, 2026. Matthews brings over 30 years of global investment, trading, and executive leadership experience to support the company's strategic growth, capital markets initiatives, and governance in tokenization and digital asset infrastructure. Morgan Lekstrom, Co-Founder & Executive Chairman, praised Matthews' expertise in capital markets and institutional investing.

• ·Shawn Matthews served as CEO of Cantor Fitzgerald & Co. from 2009 through April 2018.
• ·Matthews holds a Bachelor of Science in Finance from Fairfield University and an MBA from Hofstra University.
• ·Press release issued March 03, 2026; SEC 8-K filed March 06, 2026.

06-03-2026

Velo3D, Inc. amended its January 2025 Senior Secured Convertible Note ($5M principal, now held by Arrayed Notes Acquisition Corp., controlled by CEO Arun Jeldi) to allow optional conversion of principal and accrued interest into common stock, following prior amendments extending maturity to February 14, 2027, and reducing interest to 12% per annum. The February 2025 Senior Secured Convertible Note ($10M principal, held by Thieneman Construction, Inc., controlled by director Kenneth Thieneman) was also amended to permit conversion of accrued interest into common stock, with the same prior maturity extension and interest rate reduction. No changes to principal amounts or other core terms were reported.

• ·January 2025 Note prior conversion price: $16.38 per share
• ·February 2025 Note prior conversion price: $10.50 per share
• ·Both notes maturity date extended to February 14, 2027 (prior amendment)
• ·Amendments dated March 4, 2026; filing dated March 6, 2026

06-03-2026

Modular Medical, Inc. (MODD) announced the pricing of a $12.0 million public offering of 68,098,000 shares of common stock (or pre-funded warrants) and accompanying warrants at $0.1762 per share, priced at a premium to market. The warrants are exercisable immediately at $0.1762 and expire in five years, with gross proceeds expected before fees and expenses. Closing is anticipated on or about March 4, 2026, with Maxim Group LLC as sole placement agent.

• ·Warrants exercisable immediately upon issuance and expire five years from issuance date.
• ·Offering pursuant to effective S-1 registration statement (File No. 333-293842) declared effective March 3, 2026.
• ·SEC filing date: March 06, 2026; Press release date: March 3, 2026.

06-03-2026

Borealis Foods Inc. received a Nasdaq letter on March 2, 2026, accepting its compliance plan and granting a one-month extension until May 31, 2026, to hold its overdue annual shareholders' meeting required under Listing Rule 5620(a), following an initial non-compliance notice on January 12, 2026. The delay is attributed to the company's challenging financial condition, which has hindered its ability to convene the meeting. While the company intends to regain compliance, failure to do so risks a delisting notice and potential appeal process.

• ·Previous 8-K disclosure of non-compliance: January 16, 2026
• ·Company fiscal year end: December 31
• ·Securities listed: Common Shares (BRLS), Warrants (BRLSW) on Nasdaq Capital Market
• ·Former name: Oxus Acquisition Corp. (name change: March 23, 2021)

06-03-2026

On March 5, 2026, Jaguar Health, Inc. received a Nasdaq notice of non-compliance with Listing Rule 5550(a)(2) due to its common stock (JAGX) bid price closing below the $1.00 minimum for 30 consecutive business days. The company is ineligible for a compliance period under Rule 5810(c)(3)(A)(iv) because of prior reverse stock splits with a cumulative ratio of 250:1 or more. Jaguar intends to appeal by March 12, 2026, but there is no assurance of success or regaining compliance.

• ·Nasdaq Listing Rule 5550(a)(2): minimum $1.00 bid price requirement.
• ·Nasdaq Listing Rule 5810(c)(3)(A)(iv): ineligibility for compliance period due to reverse stock splits with cumulative ratio of 250 shares or more to one over prior two-year period.
• ·Appeal request due by March 12, 2026; timely appeal stays delisting pending hearing.

06-03-2026

Amphastar Pharmaceuticals, Inc. entered into a 5-year Supply Agreement on March 3, 2026, with related party Nanjing Letop Biotechnology Co., Ltd. for chemical intermediates, with no minimum purchase obligations and payments in Chinese yuan; separately, it amended its Contract Research Agreement with related party Nanjing Hanxin Pharmaceutical Technology Co., Ltd. to shift focus to product candidate AMP-105 from AMP-107, increasing total costs by $0.6M. Both transactions, involving connections to executives Dr. Jack Zhang and Dr. Mary Luo via family member Henry Zhang, were approved by the Audit Committee. The company states neither agreement is material to its financial condition or results of operations.

• ·Supply Agreement effective March 3, 2026, for 5 years
• ·Original Contract Research Agreement dated September 15, 2025
• ·Payments under Supply Agreement in Chinese yuan

06-03-2026

Core Scientific, Inc. (Nasdaq: CORZ) completed the initial closing of a $500M 364-day loan facility from Morgan Stanley, with an accordion feature allowing expansion up to $1B total commitments, subject to conditions. The facility bears interest at SOFR + 2.50% and proceeds will fund data center development, including equipment purchases and energy procurement. CEO Adam Sullivan highlighted that it strengthens liquidity and financial flexibility to accelerate project timelines.

• ·Facility term: 364 days
• ·Expected use of proceeds: general corporate purposes for data center assets, including equipment costs, pre-development, real property acquisition, and energy procurement agreements
• ·Transition strategy: converting facilities from digital asset mining to AI-related workloads and next-generation colocation

06-03-2026

O’Reilly Automotive, Inc. entered into an Underwriting Agreement on March 5, 2026, with BofA Securities, Inc., J.P. Morgan Securities LLC, and Wells Fargo Securities, LLC as representatives of the underwriters for the issuance and sale of $850M aggregate principal amount of 5.100% Senior Notes due 2036. Estimated net proceeds of approximately $841M will be used to repay outstanding 3.550% senior notes due 2026 at maturity, repay a portion of commercial paper borrowings, and for general corporate purposes including working capital, share repurchases, acquisitions, and related fees.

• ·Underwriting Agreement includes customary representations, warranties, covenants, and indemnification of underwriters against certain liabilities.
• ·Common stock ($0.01 par value) trades on NASDAQ Global Select Market under symbol ORLY.

06-03-2026

Duke Energy Corporation entered into an Equity Distribution Agreement dated March 6, 2026, authorizing the issuance and sale of common stock (par value $0.001 per share) with an aggregate sales price of up to $6 billion through multiple Agents and Forward Purchasers for at-the-market offerings and forward transactions. The program is pursuant to an automatic shelf Registration Statement on Form S-3 (File No. 333-290475) effective under Rule 462. No shares have been sold yet; this establishes the sales framework during the Commitment Period until termination.

• ·Registration Statement: Form S-3 (File No. 333-290475)
• ·Agents appointed to sell Issuance Shares and Forward Hedge Shares using commercially reasonable efforts
• ·Forward transactions include Initially Priced Forwards and Collared Forwards
• ·Agreement compliance with aggregate sales price limit is Company's sole responsibility

06-03-2026

Solid Power, Inc. (Nasdaq: SLDP) provides a company overview highlighting its market capitalization of $811.9M, 2025 revenue of $21.7M, and total liquidity of $336.5M as of December 31, 2025, strengthened by ~$91M from 2025 ATM offerings and ~$130M from January 2026 direct offering, with no debt and a DOE grant up to $50M. The company operates pilot facilities SP1 and SP2, current electrolyte capacity of 30MT/year planned to expand to 75MT/year by end-2026, and strong IP with >20 US patents issued. However, as an R&D-stage company with ~230 employees, it notes a history of financial losses and expectation of significant ongoing expenses and losses.

• ·Founded in 2011 with facilities in Louisville and Thornton, Colorado.
• ·Plans Korean partnership for commercial-scale electrolyte production.
• ·Solid Power cell technology licensed to BMW and SK On.

06-03-2026

Absci Corporation (Nasdaq: ABSI) appointed Ransi Somaratne, M.D., FACC, MBA, former Senior Vice President of Clinical Development at Vertex Pharmaceuticals, as Chief Medical Officer to lead clinical development of its AI-designed therapeutics pipeline, including flagship ABS-201 for hair regrowth and endometriosis. Concurrently, Chief Innovation Officer Andreas Busch, Ph.D., will retire from executive duties effective March 31, 2026, but will continue as co-chair of the Scientific Advisory Board. This transition strengthens clinical leadership while retaining key scientific expertise.

• ·Announcement date: March 3, 2026; Filing date: March 6, 2026
• ·Absci headquartered in Vancouver, WA, with AI Research Lab in New York City and Innovation Center in Switzerland
• ·Dr. Somaratne co-authored over 30 peer-reviewed papers, including in NEJM and JAMA

06-03-2026

Solid Biosciences Inc. entered into a securities purchase agreement on March 6, 2026, for a private placement of 14,973,257 shares at $5.61 per share and pre-funded warrants to purchase 27,807,482 shares at $5.609 each, expecting $240M gross proceeds and $226.8M net proceeds, closing around March 9, 2026. Preliminary unaudited cash, cash equivalents, and available-for-sale securities stood at $187.9M as of December 31, 2025. Combined with existing cash, net proceeds extend the cash runway into the first half of 2028 to fund pipeline development, business development, and general corporate purposes.

• ·Private placement closing expected on or about March 9, 2026, with investors restricted from trading until after March 11, 2026.
• ·Registration rights agreement requires resale registration statement filing within 30 days of closing, with effectiveness targets and 1% monthly liquidated damages for delays.
• ·Pre-funded warrants exercisable at $0.001 per share immediately until fully exercised, subject to beneficial ownership caps.

06-03-2026

On February 25, 2026, American Rebel Holdings, Inc. received a $250,000 release from a deposit account control agreement tied to a prior $5.47M secured promissory note with Streeterville Capital, LLC. Simultaneously, the company exchanged 490 shares of Series E Preferred Stock for 2,450,000 shares of common stock via five Exchange Agreements, resulting in significant equity dilution for existing shareholders. These transactions were exempt from registration under Section 4(a)(2) and Regulation D.

• ·Original note purchase agreement dated June 26, 2025.
• ·Series E Preferred Stock originally issued pursuant to August 22, 2025 Note Purchase Agreement.
• ·Five identical Exchange Agreements executed, varying only in conversion amounts and shares.

06-03-2026

Beyond Meat, Inc. received a Nasdaq deficiency notice on March 4, 2026, stating that its common stock (BYND) closing bid price was below the $1.00 minimum for 30 consecutive business days, violating Listing Rule 5450(a)(1). The Company has 180 calendar days until August 31, 2026, to regain compliance by achieving a $1.00 closing price for 10 consecutive business days, with no immediate impact on trading. While stockholders approved reverse stock split options on November 19, 2025, there is no assurance of compliance, potentially leading to transfer to Nasdaq Capital Market or delisting.

• ·Stock continues to trade on The Nasdaq Global Select Market under symbol BYND
• ·Stockholder special meeting on November 19, 2025, approved 30 alternate amendments to Restated Certificate of Incorporation for reverse stock split
• ·Proxy statement filed with SEC on October 17, 2025

06-03-2026

Curanex Pharmaceuticals Inc (CURX) entered into employment agreements effective March 1, 2026, with CEO and President Jun Liu (annual base salary $393,600 plus $3,998 monthly car lease) and COO Dr. Liqin Xie (annual base salary $180,000), formalizing their continuing roles since February 2024 and June 2024, respectively. Both agreements provide eligibility for equity incentives, employee benefits, and 3-month salary continuation plus accelerated vesting upon termination without cause or for good reason. The CEO agreement has an initial 4-year term, renewable annually by mutual consent.

• ·CEO Jun Liu originally appointed to CEO and President roles in February 2024.
• ·COO Dr. Liqin Xie originally appointed on June 17, 2024.
• ·Agreements entered on March 2, 2026; CEO term ends on fourth anniversary unless terminated earlier.
• ·Both agreements include non-compete, non-disclosure, non-solicitation covenants and require Proprietary Information and Invention Assignment Agreement.

06-03-2026

On March 6, 2026, Iveda Solutions, Inc. received a Nasdaq notice stating its common stock (IVDA) failed to maintain a $1 minimum bid price for 30 consecutive business days, violating Listing Rule 5550(a)(2). The company has 180 calendar days until September 2, 2026, to regain compliance by achieving a $1 closing bid for 10 consecutive business days, with no immediate listing impact but potential delisting risk thereafter. Warrants (IVDAW) are also referenced as listed on Nasdaq.

• ·Nasdaq Listing Rule 5810(c)(3)(A) governs the 180-day compliance period.
• ·Company headquartered at 1744 S. Val Vista, Suite 213, Mesa, Arizona 85204.
• ·Appeal to Nasdaq Hearings Panel possible if delisting notice issued.

06-03-2026

Alzamend Neuro, Inc. entered into an At-the-Market Issuance Sales Agreement with Ascendiant Capital Markets, LLC on March 6, 2026, enabling the sale of up to $3.0 million in common stock through an ATM offering pursuant to its effective shelf registration statement on Form S-3 (No. 333-273610). The agreement allows flexible sales based on company instructions, subject to market conditions and regulatory compliance, with either party able to suspend or terminate upon notice. No shares have been sold under the agreement as of the filing date.

• ·Shelf registration statement on Form S-3 (File No. 333-273610) filed August 2, 2023, and declared effective August 10, 2023
• ·Prospectus supplement filed with SEC on March 6, 2026
• ·Sales Agreement filed as Exhibit 10.1
• ·Legal opinion of Olshan Frome Wolosky LLP filed as Exhibit 5.1
• ·Common stock par value: $0.0001; trading symbol: ALZN on Nasdaq Capital Market

06-03-2026

Medalist Diversified REIT, Inc.'s subsidiary, MDR Ashley Plaza, LLC, entered into a Purchase and Sale Agreement on March 5, 2026, to sell the 156,012 square foot Ashley Plaza retail property in Goldsboro, North Carolina, for total consideration of $16.6M, subject to prorations and adjustments. The purchaser, HPX Goldsboro Ashley Center LLC, must provide earnest money deposits totaling $300k. The transaction is expected to close within 90 days, though several conditions remain unsatisfied and there is no assurance of completion.

• ·Property address: 201–221 North Berkeley Boulevard, Goldsboro, North Carolina
• ·Closing expected within 90 days of March 5, 2026, subject to customary conditions, representations, warranties, covenants, and indemnities

06-03-2026

Canadian Pacific Railway Company completed an offering of $600M aggregate principal amount of 4.000% notes due 2029 and $600M aggregate principal amount of 5.500% notes due 2056, for a total of $1.2B, guaranteed by parent Canadian Pacific Kansas City Limited. The notes were issued pursuant to an Eighth Supplemental Indenture dated March 6, 2026, following an Underwriting Agreement dated March 4, 2026, with lead underwriters Goldman Sachs & Co. LLC, Barclays Capital Inc., Citigroup Global Markets Inc., and SMBC Nikko Securities America, Inc. The offering was registered under a Form F-10 (File No. 333-285353).

• ·Underwriting Agreement dated March 4, 2026
• ·Eighth Supplemental Indenture dated March 6, 2026
• ·Prospectus dated March 6, 2025, supplemented March 4, 2026
• ·Original Indenture dated September 11, 2015
• ·Registration statement on Form F-10 (File No. 333-285353) filed February 27, 2025

06-03-2026

OS Therapies Incorporated (OSTX) entered into a Securities Purchase Agreement dated March 4, 2026, to issue and sell securities, including Notes and Warrants, to certain Purchasers in a private placement exempt under Section 4(a)(2) and Regulation D, with Ceros Financial Services, Inc. as placement agent. The transaction is subject to a 19.99% cap on shares issuable upon conversion or exercise without stockholder approval. Proceeds are to be used for working capital and general corporate purposes, excluding debt repayment, redemptions, litigation settlements, or violations of FCPA/OFAC.

• ·Closing Date: Trading Day when all Transaction Documents executed and conditions met, no later than 2nd Trading Day following March 4, 2026
• ·Use of proceeds excludes satisfaction of debt (except trade payables), redemption of Common Stock or equivalents, settlement of litigation, or FCPA/OFAC violations
• ·SEC Filing Date: March 06, 2026 (Items 1.01, 2.03, 3.02, 9.01)

06-03-2026

indie Semiconductor, Inc. (INDI) announced a proposed private offering of $150M aggregate principal amount of Convertible Senior Notes due 2031 to qualified institutional buyers, with an option for initial purchasers to buy up to an additional $22.5M. The company intends to use a portion of net proceeds to repurchase up to $100M of its 4.50% Convertible Senior Notes due 2027 via negotiated transactions, with the remainder for working capital and general corporate purposes including potential acquisitions. Final terms including interest rate and conversion rate are subject to pricing, and the notes carry redemption options after March 20, 2029, with forward-looking risks noted regarding market impacts from hedging activities.

• ·Interest on new notes payable semiannually starting September 15, 2026.
• ·Notes mature March 15, 2031, unless earlier repurchased, redeemed, or converted.
• ·Initial purchasers' option exercisable over 13-day period from issuance.
• ·Hedged holders of 2027 notes may unwind hedges, potentially impacting common stock price and notes conversion price.

06-03-2026

LQR House Inc. completed a conversion from a Nevada corporation to a Delaware corporation via a Certificate of Conversion filed with the Delaware Secretary of State on March 2, 2026, at 4:12 PM, effective immediately. The company, originally formed on January 11, 2021, retains the name LQR House Inc., with the document executed by CEO Sean Dollinger. No financial impacts or operational changes are disclosed in the filing.

• ·Certificate authenticated on March 4, 2026; SR# 20260978975, File Number 10530384
• ·8-K filed on March 6, 2026, covering Items 3.03, 5.03, 5.07, 9.01

06-03-2026

Dyadic International, Inc. entered into an At-The-Market Issuance Sales Agreement with Craig-Hallum Capital Group LLC on March 6, 2026, enabling the sale of up to $4.2M in common stock through at-the-market offerings on Nasdaq. The sales agent will receive up to 3.0% commission on gross sales prices, providing the company flexible access to capital. However, any sales would dilute existing shareholders.

• ·Sales Agreement pursuant to Form S-3 registration statement (File No. 333-273829) effective August 25, 2023.
• ·Either party may suspend or terminate the offering upon notice.
• ·Company to reimburse sales agent for certain expenses and provide indemnification.

06-03-2026

Nerdy Inc. was notified by the NYSE on March 5, 2026, that it is not in compliance with continued listing criteria under Section 802.01C due to its Class A common stock's average closing price being less than $1.00 over a consecutive 30 trading-day period, posing a delisting risk. The company intends to cure the deficiency within a six-month period, potentially via a reverse stock split subject to stockholder approval at its 2027 annual meeting, while its stock continues to trade on the NYSE. As of December 31, 2025, the company reported $47.9M in cash and equivalents, stating ample liquidity to support operations and growth.

• ·Compliance cure possible if closing share price >= $1.00 and 30-day average >= $1.00 on last trading day of any month in six-month period.
• ·Notice does not impact business operations, SEC reporting, or term loan.
• ·Press release issued March 6, 2026, attached as Exhibit 99.1.

06-03-2026

Sadot Group Inc. (SDOT), a retail-eating and drinking places company based in Burleson, TX, filed an 8-K on March 6, 2026, under Items 1.01 (entry into a material definitive agreement), 3.03 (material modifications to rights of security holders), and 9.01 (financial statements and exhibits). The filing, sized at 2 MB, indicates significant corporate developments but lacks specific quantitative details on the agreement or modifications in the provided index. No period-over-period financial metrics are disclosed.

• ·CIK: 0001701756
• ·SIC: 5810 - RETAIL-EATING & DRINKING PLACES
• ·State of Incorporation: NV
• ·Fiscal Year End: December 31
• ·Business Address: 295 E. RENFRO STREET SUITE 300, BURLESON, TX
• ·Formerly: Muscle Maker, Inc. (through 2023-07-24)

06-03-2026

Perfect Moment Ltd. entered into a Further Amended and Restated Promissory Note with Chairman Max Gottschalk on March 6, 2026, extending the maturity date of a $3.39M unsecured loan (originally Note #1, part of $5.09M total loans provided in August 2025) from March 9, 2026, to March 23, 2026, at 12% interest. This follows prior amendments, including one on October 30, 2025. The second $1.7M note remains due August 18, 2030.

• ·Loans are unsecured with monthly interest payments.
• ·Note #1 originally due November 8, 2025; first amended October 30, 2025 to March 9, 2026.
• ·Note #2 due August 18, 2030.

06-03-2026

AMC Entertainment Holdings, Inc. entered a commitment letter with Deutsche Bank AG New York Branch for a new $425M senior secured credit facility for subsidiary Odeon Finco PLC to refinance its 12.750% Senior Secured Notes due 2027, featuring a 10.50% fixed interest rate term loan due 2031 with 2.00% OID, expected to strengthen the balance sheet, extend maturities, and reduce interest costs upon closing by April 6, 2026. The company decided not to proceed with its previously announced senior notes and term loan offering. AMC operates approximately 855 theatres and 9,640 screens globally.

• ·Odeon Credit Facility subject to definitive documentation and customary closing conditions
• ·Company operates as largest movie exhibition company in US, Europe, and worldwide

06-03-2026

AIM ImmunoTech Inc. (AIMI) filed an 8-K on March 06, 2026, reporting under Items 1.01 (entry into a material definitive agreement), 3.03 (material modifications to rights of security holders), 5.03 (amendments to articles of incorporation or bylaws), 8.01 (other events), and 9.01 (financial statements and exhibits). Exhibit 3.1 was attached, likely containing the amended governing documents. No financial metrics or period-over-period comparisons were disclosed.

• ·Filing items: 1.01, 3.03, 5.03, 8.01, 9.01
• ·Subcategory: Material Agreement Entry
• ·Exhibit: EX-3.1 (likely amended articles of incorporation or bylaws)

06-03-2026

On March 6, 2026, Open Lending Corporation entered into a Cooperation Agreement with Palogic Value Management, L.P., Palogic Value Fund, L.P., and Palogic Capital Management, LLC, agreeing to nominate William Dabbs Cavin as a Class III director at the 2026 Annual Meeting and recommend stockholder support for a non-binding proposal to declassify the Board. Charles D. Jehl informed the Board he will not stand for re-election at the 2026 Annual Meeting, with no disagreements noted. Palogic committed to voting in line with the Board's recommendations and standstill provisions during the Cooperation Period, including ownership caps.

• ·Cooperation Period extends from March 6, 2026, until 30 calendar days prior to the opening of the nominating period for the 2027 Annual Meeting.
• ·Standstill restrictions include no proxy solicitations, additional director nominations, or stockholder proposals by Palogic during the Cooperation Period.
• ·Mutual non-disparagement provisions apply during the Cooperation Period.