US Executive Officer Management Changes SEC — September 29, 2026

29-09-2026

Aquestive Therapeutics appointed Rich Daly to its Board of Directors, effective October 14, 2026. Mr. Daly brings over 30 years of life sciences leadership, including commercial launch expertise at AstraZeneca, Takeda, and Catalyst, which the company views as valuable as it prepares for the potential FDA approval and launch of Anaphylm. The board will now consist of eight directors, seven of whom are independent.

• · Rich Daly currently serves as President of Global Rare Disease at Angelini Pharma S.p.A. following Angelini's acquisition of Catalyst Pharmaceuticals, where he was President and CEO.
• · Mr. Daly previously served as Chairman and CEO of Neuralstem, COO of BeyondSpring Pharmaceuticals, COO and board member of Seed Therapeutics, and President of CARsgen Therapeutics Holdings Limited.
• · He has served on the boards of Catalyst Pharmaceuticals, Opiant Pharmaceuticals, Neuralstem, and Synergy Pharmaceuticals, where he chaired the Nominating and Governance Committee.
• · Aquestive is the exclusive manufacturer of four commercialized products marketed by its licensees across six continents.
• · The AdrenaVerse platform contains a library of more than 20 epinephrine prodrugs.

29-09-2026

Korn Ferry held its 2026 Annual Meeting on September 24, 2026, where stockholders approved the Amended and Restated 2022 Stock Incentive Plan, increasing available shares by 1,400,000 and extending the plan term to September 24, 2036. All nine director nominees were elected, and the advisory executive compensation resolution, the Plan, and the ratification of Ernst & Young LLP as independent auditor were approved. The company also disclosed the Plan's adoption by the Board on August 4, 2026, subject to stockholder approval.

• · The Plan extends the term to September 24, 2036.
• · The Plan revises the non-employee director compensation limit to an annual cash limit instead of an annual share limit.
• · The Plan was approved by stockholders with 43,102,365 votes for, 2,155,490 against, and 24,204 abstentions.
• · The advisory executive compensation resolution received 43,800,129 votes for, 1,145,915 against, and 336,015 abstentions.
• · The ratification of Ernst & Young LLP received 46,296,359 votes for, 1,349,716 against, and 30,086 abstentions.
• · Broker non-votes were 2,394,102 for all director elections and the compensation and Plan matters.
• · The 2026 Annual Meeting was held on September 24, 2026.
• · The Board unanimously adopted the Plan on August 4, 2026, subject to stockholder approval.

29-09-2026

Chesapeake Utilities Corporation designated Jeffrey S. Sylvester as principal financial officer and Michael D. Galtman as principal accounting officer on September 28, 2026. Both executives continue in their existing roles (CFO and Chief Transformation Officer, respectively) with no changes to compensation. The designations formalize their responsibilities under SEC regulations.

• · Michael D. Galtman served as Chief Accounting Officer from 2019 to April 2026 before becoming Chief Transformation Officer.
• · Galtman played a key leadership role in the acquisition of Florida City Gas in 2023.
• · Galtman is a Certified Public Accountant and member of the Pennsylvania Institute of CPAs, American Gas Association, and Florida Natural Gas Association.
• · No material compensatory plans or grants were entered into or modified for either officer in connection with these designations.

29-09-2026

Altimmune, Inc. appointed Richard Menziuso as Vice President, Global Controller and Principal Accounting Officer, effective September 29, 2026. Gregory Weaver remains CFO. Mr. Menziuso brings 28 years of finance and accounting experience, including roles at Centessa Pharmaceuticals, Thermo Fisher Scientific, and Axovant Gene Therapies.

• · Appointment effective September 29, 2026.
• · Mr. Menziuso is a Certified Public Accountant and Chartered Global Management Accountant.
• · No family relationship between Mr. Menziuso and any director or executive officer.
• · Company will enter into an indemnification agreement with Mr. Menziuso in substantially the same form as with other executive officers.

29-09-2026

Unicycive Therapeutics resubmitted its NDA for oxylanthanum carbonate (OLC) on September 29, 2026, including CMC data from a new manufacturing vendor with a favorable FDA inspection history. The company expects FDA acceptance within 30 days and a new PDUFA date six months from resubmission. As of June 30, 2026, Unicycive held $61.4 million in cash, providing runway into 2H 2027, but the company has faced two prior CRLs due to third-party manufacturing deficiencies, and the original vendor's reinspection remains uncompleted.

• · The new manufacturing vendor's facility was last inspected by the FDA in March 2024 and received 'No Action Indicated' status.
• · The NDA resubmission includes 12-month OLC drug product stability data from the new vendor and additional in-vitro bridging data.
• · The original third-party manufacturing vendor has received written FDA notification that its facility inspection has been assigned, but the inspection has not yet occurred as of September 29, 2026.
• · If the original vendor is inspected and deemed cGMP-compliant, Unicycive plans to seek FDA alignment on a shorter approval timeline.
• · Unicycive intends to keep both drug product vendors to maintain supply chain redundancy.
• · OLC is protected by a strong global patent portfolio with exclusivity until 2031 and potential patent term extension until 2035.
• · The company's second investigational treatment UNI-494 has received FDA orphan drug designation for prevention of Delayed Graft Function in kidney transplant patients.

29-09-2026

Reynaldo's Mexican Food Company, Inc. (RYNL) filed an 8-K disclosing the forced dismissal of its auditor, BF Borgers, following a May 2024 SEC cease-and-desist order that permanently barred the firm from practicing before the Commission. The company ratified the engagement of Beckles & Co. as its new auditor and simultaneously disclosed the resignation of two former directors and the appointment of 29-year-old Tu Jingyi as CEO, CFO, President, and Treasurer. The filing reveals significant governance and compliance upheaval, including a retroactive resignation effective November 2023 and a period where a single individual held all key officer roles.

• · The SEC's order against BF Borgers was entered on May 3, 2024, but the board ratification of the dismissal occurred on September 18, 2026.
• · Chi Wai (Michael) Woo's resignation was accepted on July 1, 2026, but was made effective retroactively to November 15, 2023.
• · From November 2023 to July 1, 2026, Chi Ching Hung was the sole director and held all officer positions (CEO, CFO, President, Treasurer).
• · The company does not have an audit committee.
• · The new CEO, Tu Jingyi, has no material compensation plans, contracts, or arrangements in connection with his appointment.
• · Tu Jingyi previously founded Guardforce AI Co., Limited (NASDAQ: GFAI) and led its 2021 Nasdaq IPO.

29-09-2026

Lightwave Logic, Inc. appointed Edward H. Kennedy to its Board of Directors effective September 23, 2026, expanding the board to 7 members. Mr. Kennedy brings over 30 years of telecom and networking experience, including prior CEO roles at CENX and Tollgrade Communications, as well as public-company board service at Extreme Networks. The appointment enhances the board's capability to guide the company's commercial strategy and position its electro-optic polymer platform for AI-driven data center demand. No financial or operational metrics were disclosed in this filing.

• · Mr. Kennedy currently serves as Principal of Kenko Partners.
• · He was CEO of CENX when it was acquired by Ericsson in 2018.
• · He led Tollgrade Communications through its take-private transaction with Golden Gate Capital.
• · He has served on the Board of Extreme Networks since 2011.
• · Prior board service includes Visual Networks, Hatteras Networks, Imagine Communications and Avizia.
• · Filing includes a safe harbor statement for forward-looking statements.

29-09-2026

Society Pass Incorporated announced the mass resignation of its entire Board of Directors and its CEO and CFO, leaving the company with no board members. Effective departures occurred between September 8 and September 30, 2026, with all resignations stated as not resulting from any disagreement with the company. This governance vacuum raises significant operational and compliance concerns.

• · Jeremy Rosenthal resigned effective September 8, 2026.
• · Michael Dunn, Travis Washko, Mark Carrington, Michael Freed, and Vincent Puccio resigned effective September 11, 2026.
• · Following these resignations, the company has no remaining board members.
• · CEO Ray Liang resigned effective September 30, 2026.
• · CFO Tan Yee Siong resigned effective September 30, 2026.
• · All resignations were stated to be not the result of any disagreement with the company on operations, policies, or practices.
• · The filing was signed by Raynauld Liang as CEO, indicating a potential overlap or error in reporting.

29-09-2026

On September 25, 2026, Verizon Communications Inc. elected Charles Phillips, Co-Founder & Managing Partner of Recognize Partners LP, as a director, effective immediately. Mr. Phillips will participate in the standard non-employee director compensation program and has not yet been assigned to any Board committee. This is a routine board appointment with no financial impact.

• · Charles Phillips is Co-Founder & Managing Partner of Recognize Partners LP.
• · Mr. Phillips has not yet been named to a Board committee.
• · The appointment was effective September 25, 2026, and the 8-K was filed September 29, 2026.

29-09-2026

Modular Medical, Inc. disclosed that two directors, Jeffrey Goldberg and Carmen Volkart, will not stand for re-election at the fiscal 2027 annual meeting. Both departures are not due to any disagreement with the company on operations, policies, or practices. The changes are routine governance transitions with no immediate financial impact.

29-09-2026

Plains All American Pipeline and Plains GP Holdings announced the appointment of Dean Liollio as Executive Vice President and Chief Operating Officer, effective October 2, 2026, replacing Chris Chandler, who is resigning to pursue other interests. Liollio, 67, has been with Plains since 2008 and most recently served as Senior Vice President, Special Projects. The transition is amicable, with no disagreement related to company operations, policies, or practices.

• · Dean Liollio previously served as President of Plains Midstream Canada (2020-2024), President of PAA Natural Gas Storage (2008-2020), and President of Plains Gas Solutions (2016-2020).
• · Liollio holds a Bachelor of Science in Industrial Engineering from Texas A&M University.
• · Chris Chandler's resignation is not due to any disagreement with the company's operations, policies, or practices.

29-09-2026

Plains All American Pipeline and Plains GP Holdings announced the appointment of Dean Liollio as Executive Vice President and Chief Operating Officer, effective October 2, 2026, replacing Chris Chandler, who is resigning to pursue other interests. The transition is amicable and not related to any operational or policy disagreements. Mr. Liollio, age 67, brings extensive experience within Plains and the broader energy sector, having served in multiple leadership roles since 2008.

• · Dean Liollio previously served as Senior Vice President, Special Projects from June 2024 until his appointment
• · Mr. Liollio was President of Plains Midstream Canada from 2020 to 2024
• · Mr. Liollio was President of PAA Natural Gas Storage from 2008 to 2020
• · Mr. Liollio was President of Plains Gas Solutions from 2016 to 2020
• · Mr. Liollio holds a Bachelor of Science degree in Industrial Engineering from Texas A&M University
• · Chris Chandler's resignation is not due to any disagreement relating to the company's operations, policies, or practices

29-09-2026

On September 24, 2026, Mark Hamm, Chief Operating Officer and Board member of Arrive AI Inc., notified the company of his resignation effective October 2, 2026. The resignation was not due to any disagreement with the company regarding its operations, policies, or practices. No financial impact or other material changes were disclosed.

• · Resignation effective October 2, 2026
• · Resignation not due to any disagreement with the company

29-09-2026

NanoViricides, Inc. extended employment agreements with President Anil Diwan and CFO Meeta Vyas through June 30, 2027. The agreements detail compensation packages and benefits for both executives.

• · President Anil Diwan's extension runs from July 1, 2026 to June 30, 2027.
• · Diwan's base salary is $400,000 per year and he receives 10,204 shares of Series A Preferred Stock vesting quarterly.
• · He is eligible for six months' severance salary and benefits if terminated without cause.
• · CFO Meeta Vyas's extension is for one year from July 1, 2026 to June 30, 2027 on same general terms as her prior agreement.
• · Vyas's prior monthly compensation was $10,800 (increased from $9,000 in 2015) and she received 129 shares of Series A preferred stock monthly.
• · The company will reimburse up to 50% of Vyas's health insurance costs, capped at $2,500 per month.

29-09-2026

On September 26, 2026, Kevin Shannon resigned as a Director of SL Investment Fund II LLC, effective immediately. The resignation was not due to any disagreement with the company. The filing is a routine director departure disclosure under Item 5.02 of Form 8-K.

• · Resignation effective September 26, 2026
• · No disagreement cited as reason for departure
• · Filing date: September 29, 2026

29-09-2026

Kevin Shannon resigned as a Director of T Series BDC LLC on September 26, 2026, with no disagreement with the company. The filing does not disclose any financial impact or replacement plan.

• · Resignation effective September 26, 2026
• · No disagreement cited for resignation
• · No replacement director announced

29-09-2026

Talen Energy announced CEO succession with Terry Nutt becoming CEO effective January 1, 2027, succeeding Mac McFarland who will retire and serve as senior advisor through March 2027. The company also announced a $1.5 billion accelerated share repurchase (ASR) and upsized its share repurchase program to $3.0 billion through 2028. Talen forecasts approximately $4 billion in adjusted free cash flow from the second half of 2026 through year-end 2028, with $2.8 billion after monetizing capacity revenues, and expects to repurchase more than 10% of its outstanding shares under the ASR.

• · Terry Nutt has served as Talen's President since December 2025 and previously as CFO from July 2023 to December 2025; he has over 25 years of experience in the deregulated energy industry.
• · Mac McFarland will remain CEO and Board member through December 31, 2026, then serve as senior advisor until his retirement in March 2027.
• · The ASRs are uncollared and expected to be completed by the end of Q1 2027; at current stock price they would repurchase more than 10% of shares outstanding.
• · Talen expects to fund the ASRs principally through monetization of approximately $1.5 billion of cleared capacity revenues associated with PJM 2027/2028 and 2028/2029 delivery years, executed with Citi at SOFR + 200 basis points.
• · Talen targets a net leverage ratio of 3.5x, expected to be achieved in the second half of 2027 and decline further thereafter.
• · Talen has repurchased 600,000 shares quarter-to-date in Q3 2026.
• · Under the ASR agreements, Talen initially received approximately 4.0 million shares (about 80% of expected) based on the September 28, 2026 closing price.
• · Terry Nutt's new employment agreement has an initial term through February 28, 2028, with automatic one-year renewals unless 90 days' notice is given.
• · Talen owns and operates approximately 15.5 GW of power infrastructure in the U.S., including 2.2 GW of nuclear power.

29-09-2026

On September 26, 2026, Kevin Shannon resigned as a Director of North Haven Private Income Fund A LLC, effective immediately. The resignation was not due to any disagreement with the Company, and no financial impact or operational changes were disclosed.

• · Resignation effective September 26, 2026
• · Resignation not due to any disagreement with the Company
• · Filing date: September 29, 2026

29-09-2026

NextBoat Inc. (NYSE American: NXB), formerly Off The Hook YS Inc., appointed Ross Tannenbaum as CEO, effective immediately, succeeding Brian John who remains on the Board. Tannenbaum, former President of Fanatics and CEO of Dreams, brings public-company leadership and consumer retail scaling experience. The Compensation Committee approved a significant equity inducement grant of options for up to 2,500,000 shares, with vesting tied to time, Adjusted EBITDA targets, and a $5.00 stock price threshold, subject to NYSE American approval. The company is shifting focus from building its public-company foundation to driving profitability and scaling its technology platform in the $57 billion U.S. marine industry.

• · Options granted outside the 2025 Equity Incentive Plan as an inducement under Section 711(a) of the NYSE American Company Guide.
• · Exercise price set at closing price on grant date; awards subject to continued employment and accelerated vesting in specified circumstances.
• · NextBoat founded in 2012, previously known as Off The Hook YS Inc., headquartered in Wilmington, NC.
• · Company operates across brokerage, wholesale acquisition, auctions, financing, and marine services.
• · Tannenbaum served as President of Retail and Collectibles at Fanatics through 2018, then a strategic business development role until 2019.
• · Tannenbaum has been getting to know the team and business over the past several weeks.

29-09-2026

Kevin Shannon resigned as a Director of Morgan Stanley Direct Lending Fund on September 26, 2026, effective immediately. The resignation was not due to any disagreement with the company. No replacement or other board changes were announced.

• · Resignation effective September 26, 2026
• · No replacement director named in the filing
• · Mr. Shannon's departure is not due to any disagreement with the company

29-09-2026

On September 26, 2026, Director Kevin Shannon resigned from North Haven Private Income Fund LLC, effective the same date. The resignation was not due to any disagreement with the company. The filing does not contain financial results or any performance metrics.

• · Resignation effective September 26, 2026.
• · Mr. Shannon's departure is not due to any disagreement with the company.

29-09-2026

Crane Company announced the resignation of Lead Independent Director James L. L. Tullis from the Board, effective at the conclusion of the 2027 Annual Meeting of Stockholders. The resignation was accepted by the Board on September 27, 2026, pursuant to the company's retirement policy for directors, and was not due to any disagreement with the company. The Board will begin a process to identify a successor for the Lead Independent Director role.

• · The resignation was accepted at a regularly scheduled Board meeting on September 27, 2026.
• · Mr. Tullis' resignation is effective at the conclusion of the 2027 Annual Meeting of Stockholders.
• · The resignation was not the result of any disagreement with the company on matters relating to operations, policies, or practices.
• · The Board will begin a process to identify a successor for the Lead Independent Director role.

29-09-2026

BioAtla, Inc. disclosed the resignation of Chief Medical Officer Dr. Eric Sievers, effective September 25, 2026, who will continue as a consultant through June 2027 with a one-time payment of $159,000 contingent on capital raising milestones. Additionally, the Board approved partial reinstatement of retention bonuses for CEO Dr. Jay Short (target $440,892) and CFO Christian Vasquez (target $148,888) after initial milestones were missed, and new performance bonuses for both executives tied to milestones by March 31, 2027. The company is in an ongoing strategic process, and its stock trades on the OTCQB Venture Market, reflecting a challenging period with missed targets and a key officer departure.

• · Dr. Sievers' consulting agreement runs through June 30, 2027, with hourly pay after Jan 1, 2027 proportional to his former base salary.
• · The initial retention milestones (Milestone #1 by May 31, 2026 and Milestone #2 by Aug 31, 2026) were not completed.
• · CEO Dr. Short's reinstated retention bonus requires 100% milestone achievement (no sliding scale) to receive any payout.
• · CFO Vasquez's retention payout is subject to a sliding scale: 80%-120% of target depending on milestone achievement within ±20%.
• · Performance bonuses for both executives are contingent on financial and capital raising milestones by March 31, 2027, payable by April 30, 2027.
• · BioAtla's common stock trades on the OTCQB Venture Market under ticker BCAB, indicating it may no longer meet Nasdaq listing requirements.

29-09-2026

Northern Trust Corporation announced that CFO Dave Fox will retire after a long career, remaining in his role through the end of Q1 2027 to ensure a smooth transition. The company will conduct an internal and external search for a successor. The filing contains no financial results or period-over-period comparisons; therefore, only neutral and forward-looking statements are available.

• · Dave Fox joined Northern Trust in 2012 and has held roles including President of Global Family and Private Investment Offices, and EVP and Head of the Americas for Corporate & Institutional Services.
• · Fox will continue to lead Finance through the retirement date, supporting financial, regulatory, investor, and strategic priorities.
• · Board will conduct a comprehensive internal and external search for the next CFO.
• · Northern Trust is headquartered in Chicago, founded in 1889, with offices in 24 U.S. states and D.C., plus 22 locations internationally.

29-09-2026

Kevin Shannon resigned as a Director of LGAM Private Credit LLC on September 26, 2026, effective immediately. The resignation was not due to any disagreement with the company. No replacement or other officer changes were announced.

• · The resignation was effective immediately on September 26, 2026.
• · The filing was signed by Orit Mizrachi, Co-President and Chief Operating Officer.
• · No reason for departure was given beyond it not being due to any disagreement.

29-09-2026

Celularity Inc. announced that Naveen Jain, founder and CEO of Viome Life Sciences, will join its Board of Directors, bringing a consumer-focused perspective to the company's regenerative medicine and longevity strategy. The appointment follows a broader recapitalization and strategic repositioning that has already strengthened the company's capital structure and operating profile. The company expects to announce a fifth director shortly, with Jain's appointment effective after completion of the Rule 14f-1 information statement process.

• · The newly constituted Board consists of Dr. Hariri, Peter H. Diamandis, M.D., and Philip A. Barach, who recently joined as part of the recapitalization.
• · Celularity expects to announce a fifth director shortly.
• · Jain's appointment is subject to completion of the Rule 14f-1 information statement process.
• · Celularity operates a purpose-built cGMP research and manufacturing facility in Florham Park, New Jersey.

29-09-2026

Aterian, Inc. announced a cash payment of approximately $0.9936 per Contingent Value Right (CVR) to holders, resulting from the completion of asset sales to Trademark Global, LLC and a securities purchase agreement. The payment will be distributed on or about October 2, 2026, with no action required from holders. This update reflects the final monetization of the CVRs, but the per-unit amount is modest and represents a one-time distribution.

• · CVRs were distributed to eligible holders on August 17, 2026, with a record date of July 8, 2026.
• · The CVR Agreement was dated July 17, 2026, and the asset sale to Trademark Global, LLC and the Second SPA Closing constituted Proceeds Events.
• · Payment will be delivered to DTC participants for subsequent distribution to beneficial owners.
• · Holders need to ensure their tax documentation (IRS Form W-9 or W-8) is current with their broker or the Rights Agent.

29-09-2026

TechPrecision Corporation held its 2026 Annual Meeting on September 29, 2026, where stockholders approved an amendment to the 2016 Equity Incentive Plan, increasing authorized shares by 750,000 and extending the plan to 2036. The meeting also ratified the appointment of CBIZ CPAs P.C. as auditor and approved executive compensation on an advisory basis. However, director elections showed notable opposition, with nominees Andrew A. Levy and Walter M. Schenker receiving 35.0% and 44.3% against votes, respectively, among votes cast (excluding broker non-votes).

• · Record date for annual meeting was August 27, 2026.
• · Broker non-votes totaled 2,839,849 for all director elections and for proposals 3 and 4.
• · Proposal 2 (auditor ratification) had no broker non-votes; 6,505,347 for, 192,188 against, 85,574 abstain.
• · The Amended and Restated Plan extends expiration to September 29, 2036.
• · The Board adopted the amendment on September 2, 2026, subject to stockholder approval.

29-09-2026

Federal Home Loan Bank of Indianapolis announced a series of leadership changes effective immediately, promoting several senior executives to new roles with expanded responsibilities. The changes align key functions with the Bank's strategic priorities and member-focused mission, including new Executive Vice President roles for the CFO, Chief Risk and Compliance Officer, and Chief Banking Officer. The announcement emphasizes organizational adaptation to evolving member needs while maintaining the Bank's core mission of providing reliable liquidity and supporting affordable housing in Indiana and Michigan.

• · All leadership changes are effective immediately as of September 28, 2026.
• · Kristina L. Cunningham added information security to her existing risk and compliance responsibilities.
• · Jonathan W. Griffin's new role consolidates Business Development, Member Outreach, Operations, Advances, Mortgage Purchase Program, Member Credit Risk, and technology solutions.
• · Jeffrey D. Mills now oversees legal, governance, government relations, corporate communications, and community investments.
• · Gurdeepak Singh was promoted from Senior Director of Engineering and Architecture to Chief Technology Officer, responsible for IT and data excellence programs.
• · The Bank serves Indiana and Michigan and is owned by its member financial institutions including commercial banks, credit unions, insurance companies, savings institutions, and CDFIs.

29-09-2026

TMC the metals company Inc. announced the appointment of Liam Mallon, former President of ExxonMobil Upstream, to its Board of Directors, effective September 29, 2026. Mallon brings over 40 years of energy and offshore experience, having overseen $20–30 billion in annual capital deployment and major projects including the $60 billion Pioneer Natural Resources acquisition. Brendan May will step down from the Board. The appointment comes as TMC advances its NOAA regulatory pathway for deep seabed mineral exploration and commercial recovery permits.

• · NOAA published TMC USA's consolidated application for exploration license and commercial recovery permit over USA-A area in the Federal Register in August 2026
• · NOAA published a Notice of Intent to develop an Environmental Impact Statement for USA-B area exploration license application
• · Mallon doubled profitability at ExxonMobil's upstream business through restructuring
• · Mallon will lead the Board's Sustainability and Innovation Committee
• · TMC USA is moving closer to commercial production under NOAA review

29-09-2026

First United Corporation elected Steven R. Stuck, Shawn Bender, and Nina Beitzel to its Board of Directors effective September 24, 2026, to serve until the 2027 annual meeting. Each new director will receive a cash retainer of $8,750 and a grant of 583 fully-vested shares of common stock, plus meeting fees. The filing does not include any financial results or period-over-period comparisons, so no positive or negative performance metrics are available.

• · The new directors will also serve on the board of First United Bank & Trust, the company's wholly-owned trust company subsidiary.
• · No transactions requiring disclosure under Item 404(a) of Regulation S-K have occurred since the beginning of fiscal year 2024.
• · Directors may elect to receive some or all of their cash retainer in shares of common stock, with the number determined by the mean between high and low sales price on the trading day before payment.
• · Directors do not receive more than one cash fee when the Company Board and Bank Board meet together.

29-09-2026

TOP Financial Group Ltd amended the appointment letters of its three independent non-executive directors, effective October 1, 2026, replacing their share-based compensation with an additional cash payment. Each director's total annual compensation remains $50,000, but now consists entirely of cash, eliminating the company's obligation to issue Class A ordinary shares. This change simplifies compensation and reduces potential dilution, though it increases cash outflow.

• · The amended letters supersede the original appointment letters dated May 5, 2021, effective May 31, 2022.
• · The share-based compensation component is replaced by an additional cash payment of $20,000 per annum, effective October 1, 2026.
• · The company has no further obligation to issue Class A ordinary shares to the independent directors.
• · The amended letters are filed as Exhibits 10.1, 10.2, and 10.3 to the 8-K.

29-09-2026

Jess Lipsey resigned as CEO, President, and director of Apollo Realty Income Solutions, Inc., effective September 30, 2026, to pursue other opportunities, with no disputes cited. The Board appointed Hubert (Bert) Crouch, a Partner at Apollo and head of its real estate equity franchise, as CEO, President, and director effective the same date. Crouch brings extensive real estate experience from Apollo and prior roles at Invesco Real Estate.

• · Bert Crouch, 47, is a Partner at Apollo and head of Apollo's real estate equity franchise, including Bridge Investment Group acquired in 2025.
• · Crouch previously served as head of North America at Invesco Real Estate since 2020 and CEO of Invesco Commercial Real Estate Finance Trust since its 2023 launch.
• · Crouch holds a BBA in finance from the McCombs School of Business at the University of Texas at Austin.
• · Crouch will enter into an indemnification agreement with the company in standard form.

29-09-2026

CareCloud promoted Bonnie Boyer from Assistant CFO to CFO effective October 1, 2026, succeeding Norman Roth who becomes Advisor to the CEO. The company reaffirmed 2026 revenue guidance of approximately $130 million and highlighted its profitable, AI-powered platform with strong cash flow and a clean balance sheet.

• · Bonnie Boyer joined CareCloud in July 2026 from Guident Corp., where she served as CFO.
• · Norman Roth served as Interim CFO for more than two years and is a twelve-year CareCloud veteran.
• · Bonnie Boyer has more than 15 years of finance leadership experience and is a Florida-licensed CPA.
• · CareCloud serves more than 40,000 providers.

29-09-2026

Tri-State Generation & Transmission Association, Inc. certified the election of Kevin Christy as a director representing Northwest Rural Public Power District (NRPPD) on its Board of Directors, effective September 28, 2026. Mr. Christy is expected to serve on the External Affairs-Member Relations Committee. This is a routine board appointment with no financial impact disclosed.

• · Kevin Christy was elected by member Northwest Rural Public Power District.
• · He will serve on the External Affairs-Member Relations Committee.
• · The filing was signed by Bryan R. Davis, Senior Vice President/Chief Financial Officer.

29-09-2026

BayFirst Financial Corp. (BAFN) entered into revised employment agreements with its COO, Robin L. Oliver, and CFO, Scott J. McKim, effective September 24, 2026. The agreements set minimum annual salaries of $350,000 for Oliver and $325,000 for McKim, with initial terms expiring August 1, 2029, and automatic one-year renewals thereafter. Both executives are eligible for stock grants, cash incentives, and change-in-control severance equal to 200% of base salary plus average bonus.

• · Employment agreements include two-year post-termination customer and employee non-solicitation obligations for both executives.
• · Upon change-in-control termination, each executive receives 200% of then-current base salary plus average cash bonus for the preceding two years.
• · Agreements automatically renew each August 1st unless a party gives notice of non-renewal.

29-09-2026

Jeffrey Shuman notified the Board of Directors of Sidus Space, Inc. on September 28, 2026, that he is retiring from the Board. His departure is not related to any disagreement with the Company on matters of operations, policies, or practices.

29-09-2026

Larimar Therapeutics appointed John B. Harlow, Jr. as President and Chief Operating Officer, effective September 29, 2026. Mr. Harlow brings extensive commercial leadership experience from Esperion Therapeutics, Melinta Therapeutics, and other biopharma companies. His compensation includes a base salary of $560,000, a $35,000 signing bonus, a target annual bonus of 40% of base salary, and equity inducement grants of 800,000 stock options and 50,000 RSUs. The appointment is a positive step for the company's leadership team, with no negative or flat metrics reported.

• · Stock option grant vests 25% on first anniversary, then 75% in 36 equal monthly installments; RSU grant vests in four equal annual installments beginning on first anniversary.
• · Severance: 9 months base salary and COBRA if terminated without Cause or for Good Reason outside a Change in Control; 12 months of base salary plus target bonus and COBRA if within 12 months after a Change in Control.
• · Mr. Harlow is an at-will employee and has no family relationships with officers or directors, and no reportable transactions under Item 404(a).

29-09-2026

Lesaka Technologies announced the resignation of director Dean Sparrow, effective September 25, 2026, with no disagreement with the company, and appointed two new independent directors, Carolina Lacerda and James Oates, effective September 28, 2026. Both new directors are independent under Nasdaq and SEC rules and qualify as audit committee financial experts, strengthening the board's financial oversight. The changes are routine governance updates with no financial impact disclosed.

• · Ms. Lacerda is expected to join the Audit and Risk Committee and the Capital Allocation Committee.
• · Mr. Oates is expected to join the Audit and Risk Committee.
• · Both new directors will participate in the standard non-employee director compensation program.
• · The company expects to enter into standard independent director and indemnification agreements with each new director.
• · Neither new director has any material interest in transactions requiring disclosure under Item 404(a) of Regulation S-K, and no family relationships with existing directors or officers exist.

29-09-2026

La Rosa Holdings Corp. (LRHC) announced the resignation of director Jaime Cosculluela for personal reasons, effective September 24, 2026, with no disagreement with the company. On the same date, the Board appointed Marc Urbach as an independent director, effective immediately, to serve until the next annual meeting. Mr. Urbach will receive a quarterly base fee of $12,000 and a quarterly chair fee of $3,000 if applicable, under a standard Board of Directors Agreement.

• · Marc Urbach, age 53, is owner and CEO of Doorstep Delivery Logistics LLC since August 2020, and has served as a finance lead at Chardan Capital Markets since January 2017.
• · Mr. Urbach previously served as President/CFO and board member of Ideanomics, Inc., and currently serves as director and Audit Committee Chair of Freight Technologies, Inc. (since February 2022) and Aero Velocity Inc. (since January 2025), and as Managing Director of Footprint Logistics (since September 2023).
• · Mr. Urbach has over 30 years of accounting and finance experience and holds a B.S. in Accounting from Babson College.
• · There are no arrangements or understandings with any other person regarding Mr. Urbach's selection, no family relationships with any director or executive officer, and no transactions requiring disclosure under Item 404(a) of Regulation S-K.
• · The Board of Directors Agreement includes customary indemnification, confidentiality, and proprietary information provisions.

29-09-2026

Cadrenal Therapeutics held its 2026 Annual Meeting on September 24, 2026, where stockholders approved all five proposals, including the election of Quang X. Pham as a Class I director, ratification of WithumSmith+Brown as auditor, an amendment to the 2022 Successor Equity Incentive Plan to increase available shares by 323,542 to 1,000,000, and the issuance of up to 960,000 shares upon exercise of Series C-1 warrants. The company also approved an adjournment proposal, though it was not needed. All proposals passed, but the Plan Amendment Proposal received relatively lower support (66.3% of votes cast excluding broker non-votes), indicating some shareholder dissent.

• · Quorum was achieved with 2,155,341 shares (60.4% of outstanding shares) present at the meeting.
• · The Plan Amendment Proposal received 694,746 votes for, 352,409 against, and 6,853 abstentions, with 1,101,333 broker non-votes.
• · The Warrant Exercise Proposal received 1,011,206 votes for, 34,449 against, and 8,353 abstentions.
• · The Adjournment Proposal received 736,364 votes for, 315,865 against, and 1,779 abstentions.
• · The company is an emerging growth company and has not elected to use the extended transition period for new accounting standards.

29-09-2026

Eva Live Inc. filed an 8-K with amended and restated articles of incorporation, increasing authorized capital to 305 million shares (300M common, 5M preferred) with a par value of $0.0001 per share. The filing also adopts Nevada's anti-takeover statutes (control share and business combination) and establishes Washoe County, Nevada as the exclusive forum for corporate disputes. The amendments were approved by shareholders holding 23,245,947 shares (58.12% of voting power).

• · The registered office is 701 S. Carson Street, Suite 200, Carson City, NV 89701.
• · The registered agent is VCorp Services, LLC.
• · Directors can only be removed for cause (felony, unsound mind, gross dereliction of duty, or moral turpitude injurious to the corporation) by a 66.67% supermajority vote.
• · The corporation expressly elects to be governed by Nevada's Control Share Acquisition Statute (NRS 78.378-78.3793) and Business Combination Statute (NRS 78.411-78.444).
• · Exclusive forum for derivative suits, fiduciary duty claims, and internal affairs disputes is Washoe County, Nevada state or federal courts.
• · The board of directors has exclusive power to amend the bylaws.

29-09-2026

Acuity Inc. appointed Nick Tzitzon, Vice Chairman of ServiceNow and head of its AI Institute, as an Independent Director effective September 24, 2026. The Board increased its size from nine to ten directors, and Tzitzon will serve on the Audit and Governance Committees. The appointment aligns with Acuity's strategy to leverage AI and industrial intelligence for growth.

• · Board size increased from nine to ten directors.
• · Tzitzon's initial term expires at the next annual meeting of stockholders.
• · Acuity operates across North America, Europe and Asia.