US Material Events SEC 8-K Filings — April 14, 2026

14-04-2026

Ms. Joyce J. Lee, a Class II Director of Phibro Animal Health Corporation, informed the company on April 13, 2026, of her intention to resign from the Board effective April 15, 2026. The resignation was not due to any disagreement with the company's operations, policies, or practices. No other material details or impacts were disclosed.

14-04-2026

Independence Power Holdings, Inc. announced the appointment of Brian Dutton as Chief Financial Officer effective April 13, 2026, succeeding Scott Stephenson, who resigned from the CFO role but will remain on the Board. Mr. Dutton brings extensive experience from roles at Crimson Energy Partners, Vine Energy Inc., Silver Creek Oil & Gas, Quicksilver Resources, and PricewaterhouseCoopers. The employment agreement provides an initial base salary of $288,750, a three-year term, and standard severance of 180 days' base salary upon termination without cause.

• ·Employment term: initial 3 years from April 13, 2026, with automatic 1-year extensions unless notice given 60 days prior.
• ·Severance: 180 days of base salary continuation for termination without cause or for good reason (excluding change in control).
• ·Restrictive covenants: confidentiality, non-solicitation, non-competition, and non-disparagement for 24 months post-employment.
• ·No family relationships, material interests, or special arrangements for Mr. Dutton's appointment.

14-04-2026

Avanos Medical, Inc. (NYSE: AVNS) has entered a definitive agreement to be acquired by affiliates of American Industrial Partners (AIP) in an all-cash transaction valuing the enterprise at approximately $1.272 billion, with stockholders to receive $25.00 per share, a 72.1% premium to the April 13, 2026 closing price and 82.8% to the 30-day VWAP. The deal, unanimously approved by Avanos' Board, is expected to close in the second half of 2026 subject to approvals, after which Avanos will become private and delist from NYSE. No financial performance declines or flat metrics are reported, though standard acquisition risks such as regulatory hurdles and potential termination fees are noted.

• ·Transaction unanimously approved by Avanos’ Board of Directors; not subject to financing condition.
• ·Expected close in second half of 2026, subject to stockholder approval, Hart-Scott-Rodino waiting period, and other regulatory approvals.
• ·Avanos has postponed its 2026 Annual Meeting of Stockholders, previously scheduled for April 21, 2026.
• ·Advisors: J.P. Morgan (lead financial), UBS (financial), Alston & Bird (legal) for Avanos; Sidley Austin (legal), Baker Botts (regulatory) for AIP.

14-04-2026

DevvStream Corp. (NASDAQ: DEVS), XCF Global, Inc. (Nasdaq: SAFX), and Southern Energy Renewables Inc. have executed a definitive Business Combination Agreement for a three-party merger to create a next-generation energy transition platform integrating sustainable aviation fuel (SAF), green methanol, renewable products, environmental attribute monetization, and advanced infrastructure like small modular nuclear reactors. Post-closing ownership is expected to be 66.7% for existing XCF shareholders, 23.3% for Southern shareholders, and 10.0% for DevvStream shareholders, with targets including annualized fuel-related revenues exceeding $1 billion and minimum annualized EBITDA of $100 million. The transaction is subject to customary closing conditions such as shareholder approvals, SEC registration on Form S-4, Nasdaq listing, financing, operational milestones, and fairness opinions, with no current financial performance declines noted but forward-looking risks emphasized.

• ·XCF is advancing pipeline of expansion opportunities in Nevada, North Carolina, and Florida.
• ·Transaction structure involves DevvStream domestication from Alberta to Delaware, with XCF acquiring 100% of DevvStream and Southern via merger subsidiaries.
• ·Combined platform embeds environmental attribute monetization across the value chain and supports long-term offtake commercialization.

14-04-2026

On April 10, 2026, Patrick McCauley resigned as a director of Chicago Atlantic BDC, Inc., effective immediately, to pursue other opportunities, with no expressed disagreement on any matter relating to the Company’s operations, policies, or practices. Following the resignation, the Board consists of five members, four of whom are independent. The filing was made on April 14, 2026, under Items 5.02 and 9.01.

• ·Company is an emerging growth company.
• ·Common Stock ($0.01 par value per share) trades under symbol LIEN on The Nasdaq Stock Market LLC.
• ·Principal executive offices: 600 Madison Avenue, Suite 1800, New York, NY 10022.

14-04-2026

XCF Global, Inc. (Nasdaq: SAFX), DevvStream Corp. (Nasdaq: DEVS), and Southern Energy Renewables Inc. have signed a definitive Business Combination Agreement for a three-party merger to create a next-generation energy transition platform integrating SAF, green methanol, renewable products, environmental attribute monetization, and advanced infrastructure like SMRs. Post-closing ownership is expected to be approximately 66.7% for existing XCF shareholders, 23.3% for Southern shareholders, and 10.0% for DevvStream shareholders, with the transaction conditioned on milestones including annualized fuel-related revenues exceeding $1 billion and minimum annualized EBITDA of $100 million. The deal remains subject to customary closing conditions such as shareholder approvals, SEC registration, Nasdaq listing, financing, and fairness opinions, with no historical performance declines noted but forward-looking risks emphasized.

• ·Transaction structure: DevvStream to domesticate from Alberta to Delaware; XCF to acquire 100% of DevvStream and Southern via merger subsidiaries.
• ·XCF pipeline of potential expansion in Nevada, North Carolina, and Florida.
• ·Closing conditions include plant conversion, commercial milestones, state-supported bonds by Southern.

14-04-2026

On April 6, 2026, Dan Leboffe resigned from the Board of Directors of Cyber Enviro-Tech, Inc. (CETI) effective immediately, transitioning to the company's Advisory Board. Concurrently, Brianna Stoecklein, CEO of AirPower USA (CETI's exclusive manufacturing and distribution partner), was appointed to the Board effective immediately to strengthen strategic alignment. Ms. Stoecklein brings over 17 years of executive experience in operations, client relations, and advanced energy technologies commercialization.

• ·CETI trades as CETI on OTCQB.
• ·CETI is an emerging growth company.
• ·Exhibit 17.1: Resignation Letter of Dan Leboffe.

14-04-2026

urban-gro, Inc. entered into a Securities Purchase Agreement dated April 7, 2026, with Agile Hudson Partners LLC for an initial $500,000 First Tranche funding under a convertible Note and accompanying Warrants, exempt from registration under Section 4(a)(2) of the 1933 Act and Rule 506(b). A conditional Second Tranche of $500,000 may follow within 10 trading days of satisfying conditions including the filing of the 10-K for the period ended December 31, 2025, at which point the Note's principal would increase by $549,504.95 (including OID) and accrued interest by $65,940.60. As of April 7, 2026, the Company had 875,600 shares of Common Stock issued and outstanding out of 200,000,000 authorized shares.

• ·Buyer is an accredited investor purchasing Securities for investment, not resale.
• ·Second Tranche Funding Conditions include filing the 10-K with audited financials for fiscal years ended December 31, 2024 and 2025.
• ·Securities subject to restrictive legends until registered or exempt sale under Rule 144, Rule 144A, or Regulation S.

14-04-2026

ImmuCell Corporation (Nasdaq: ICCC) appointed Dr. Gilles Guillemette and Dr. Anthony DiMarco to its Board of Directors effective April 15, 2026, to bolster its innovation strategy in animal health biologics, particularly for the First Defense® product line. The company is transitioning to a 7-person Board with six independent directors and the CEO, establishing a new Strategy and Technology Committee chaired by Dr. Guillemette. Retiring board members Bryan Gathagan, Michael Brigham, and Bobbi Brockmann step down effective April 15, 2026, while Timothy Fiori retires after the June 11, 2026 Annual Meeting.

• ·Annual Meeting of Stockholders scheduled for June 11, 2026 at 9:30 AM ET via live audio webcast and telephone.
• ·Ms. Brockmann and Mr. Fiori will continue in their executive roles post-retirement from the Board.
• ·Updated Investor Presentation available at http://www.immucell.com/investors.

14-04-2026

Hydrofarm Holdings Group, Inc. entered into a Forbearance Agreement on April 8, 2026, with lenders and FEAC Agent, LLC following a Specified Event of Default for failing to pay interest due January 31, 2026, on its $125,000,000 senior secured Term Loan. The forbearance period runs until April 30, 2026 (extendable), during which the company must maintain at least $1,000,000 in average daily cash, provide budgets and asset sale term sheets, and adhere to strict covenants amid liquidity concerns. An accompanying Amendment No. 2 replaced JPMorgan with FEAC as administrative and collateral agent and imposed additional reporting requirements.

• ·Event of Default notice issued February 11, 2026
• ·Forbearance termination possible upon new Events of Default, non-compliance with requirements, or breaches of representations
• ·Company must present at least two asset valuation bids and a cash flow projection approved by Financial Advisor

14-04-2026

Dow Inc. held its 2026 Annual Meeting of Stockholders on April 9, 2026, where all 12 director nominees were re-elected for one-year terms and stockholders approved all other proposals, including an advisory resolution on executive compensation, one-year frequency for future say-on-pay votes, amendment to the 2019 Stock Incentive Plan, and ratification of Deloitte & Touche LLP as independent auditor for 2026. Following the meeting, the Board declared a quarterly dividend of 35 cents ($0.35) per share, payable June 12, 2026, to shareholders of record on May 29, 2026, marking the 459th consecutive dividend. The company operates manufacturing sites in 29 countries, employs approximately 34,600 people, and delivered sales of approximately $40 billion in 2025.

• ·Meeting webcast replay available on Dow’s website.
• ·Biographies for directors and committee assignments available on Corporate Governance website.

14-04-2026

On April 8, 2026, Bridget Ross notified LeMaitre Vascular, Inc. of her intent not to stand for re-election as a Class II director at the June 2, 2026 Annual Meeting, continuing to serve until her term expires then; her decision is unrelated to any disagreement with the Company. The Board nominated David B. Roberts to replace her as a Class II director, with Mr. Roberts agreeing to resign his Class I directorship contingent on his election, also unrelated to disagreements. This rebalancing reduces the Board size from eight to seven members effective upon Ms. Ross's departure.

• ·Post-Annual Meeting Board composition: two Class I directors, two Class II directors, three Class III directors.
• ·David B. Roberts notified Board of conditional resignation on April 9, 2026.

14-04-2026

Lucid Group, Inc. (LCID) announces $550 million investment from Ayar Third Investment Company (PIF affiliate) in convertible preferred stock and Uber's additional $200 million commitment, increasing Uber's total investment to $500 million. Uber expands its purchase commitment to at least 35,000 Lucid vehicles, including Gravity and Midsize platforms, for a global robotaxi service in partnership with Nuro. This strengthens Lucid's capital position and builds on prior announcements from July 2025, with autonomous testing underway since December 2025.

• ·Lucid’s future Midsize vehicles expected to have starting price under $50,000.
• ·Autonomous on-road testing with Nuro began in December 2025; Lucid completed delivery of test vehicles in February 2026.
• ·Prior partnership announcement between Lucid, Nuro, and Uber in July 2025.

14-04-2026

CareCloud, Inc. closed a $50 million credit facility with Citizens Bank, N.A. (lead arranger) and Provident Bank on April 13, 2026, providing non-dilutive capital, enhancing liquidity, and lowering the cost of capital amid $30 million annualized adjusted EBITDA. The company will fully redeem its 1,511,372 outstanding shares of 8.75% Series B Preferred Stock (CCLDO) on May 15, 2026, at $27.52 per share ($25.25 redemption price plus $2.27 dividends), eliminating $3.2 million in annual preferred dividend obligations and simplifying its capital structure. No declines or flat metrics were reported, supporting strategic growth in AI-driven healthcare solutions serving over 45,000 providers.

• ·Redemption notice period: 30 days prior to May 15, 2026.
• ·Series B Preferred Stock to be delisted from Nasdaq Global Stock Market post-redemption.
• ·Filing date: April 14, 2026; facility closing: April 13, 2026.

14-04-2026

AgEagle Aerial Systems Inc. (dba EagleNXT) announced a $10.0 million strategic investment acquiring a stake in Israel’s ThirdEye Systems Ltd. and the launch of a U.S. joint venture, ThirdEye USA, LLC, where EagleNXT holds 51% ownership and appoints three of five managers. The JV, based in Allen, Texas, will produce counter-drone systems like Argus Shield and Meduza X for U.S. and Canadian markets, with operations expected by May 2026. This move expands EagleNXT’s defense offerings, complementing prior investments like Aerodrome Group Ltd., with no financial declines reported.

• ·ThirdEye USA to operate from EagleNXT’s headquarters in Allen, Texas
• ·Joint venture anticipated operational by May 2026
• ·EagleNXT entitled to appoint three of five managers in ThirdEye USA

14-04-2026

New Concept Energy, Inc. (GBR) entered into a Subscription Agreement on April 13, 2026, with Realty Advisors, Inc. to issue 2,000,000 shares of common stock at a minimum price of $1.00 per share, potentially raising at least $2,000,000 in cash. The transaction requires stockholder approval by majority vote and NYSE American listing approval, with no assurance of completion, and would result in a change of control as the Investor, already holding 400,000 shares and sharing a common director, becomes an affiliate. The shares would be issued as restricted securities under Section 4(2) exemption.

• ·Investor may be deemed a 'Related Party' and would become an 'Affiliate' upon completion
• ·Proxy materials for stockholder meeting in preparation, targeted before end of Q2 2026
• ·Issuance represents 20% or more of current outstanding shares, triggering NYSE American stockholder approval requirement under Company Guide Section 7.13

14-04-2026

The Compensation Committee of First Business Financial Services, Inc. approved the vesting of Performance Restricted Stock Units (PRSUs) granted in 2023 to Named Executive Officers under the Long-Term Incentive Plan, based on superior Company performance in Total Shareholder Return (TSR) and Return on Average Tangible Common Equity (ROATCE) for the 2023-2025 measurement period. This resulted in payouts of Company common stock to the NEOs, with no negative performance noted. The determination was effective April 9, 2026, following the Proxy Statement filed March 5, 2026.

• ·Performance measurement period: beginning in 2023 and ending in 2025
• ·Vesting determined at 'Superior' level for both TSR and ROATCE goals
• ·Proxy Statement filed with SEC on March 5, 2026

14-04-2026

CERO Therapeutics Holdings, Inc. issued and sold a convertible promissory note to Keystone Capital Partners, LLC for a $350,000 purchase price with a $437,500 principal face value, bearing 10% annual interest and maturing on April 9, 2027. The facility allows additional borrowings up to a $1,000,000 aggregate maximum and is convertible into common stock at the lesser of $0.05 or 80% of the average of the five lowest intraday trading prices over the prior 20 trading days, subject to a 4.99% beneficial ownership limit. The transaction relies on exemptions from registration under the Securities Act and requires the company to file a resale registration statement.

• ·Note issued on April 8, 2026; filing dated April 14, 2026.
• ·Conversion price is the lesser of $0.05 or 80% of the average of the 5 lowest intraday trading prices during the 20 trading days prior to conversion request.
• ·Relies on Section 4(a)(2) and Rule 506(b) exemptions; future conversion shares under Section 3(a)(9) or 4(a)(2).

14-04-2026

Alpha Cognition Inc. entered into a settlement agreement with Galantos Pharma GmbH i.L. on April 10, 2026, agreeing to make a one-time payment of EUR 5,214,220 by April 15, 2026, in full satisfaction of all remaining royalty and milestone obligations under the 2013 Memogain Asset Purchase Agreement. The settlement provides an approximate 40% discount to the estimated market value of the remaining obligations based on management's assessment. Mutual releases extinguish future liabilities for both parties, with no further payments due.

• ·Galantos Pharma GmbH i.L. is in liquidation and winding up process.
• ·Approximately €5M of the settlement payment relates to royalty entitlements accrued during fiscal year 2025 for documentation purposes.
• ·Agreement includes mutual covenants not to sue, no disparagement, and confidentiality provisions.

14-04-2026

On April 8, 2026, Dennis Wolf resigned from the Board of Directors of Codexis, Inc., effective immediately, including his roles on the Audit Committee and Compensation Committee, with no disagreement on any matter relating to operations, policies, or practices. On April 10, 2026, to rebalance director classes, Esther Martinborough, Ph.D., resigned from Class II and was immediately re-elected to Class III, retaining uninterrupted service on the Compensation, Strategy, and Science & Technology Committees as Chair of the latter. Following the rebalance, the Board consists of three directors each in Class I, II, and III.

• ·Filing signed by Georgia Erbez on April 14, 2026.
• ·Securities: Common Stock, par value $0.0001 per share (CDXS, Nasdaq Global Select Market).

14-04-2026

Spok Holdings announced a strategic realignment with a 10% workforce reduction expected to deliver over $6.0 million in annual cost savings and leadership consolidation, as Michael Wallace assumes the CFO role alongside COO. The company will prioritize AI enhancements to its Care Connect Suite products and maintain its dividend yielding in excess of 10%. However, it anticipates incurring $1.6 to $2.0 million in restructuring charges, primarily in Q2 and Q3 2026.

• ·Restructuring charges principally from one-time employee benefits and severance, expected substantially complete by Q3 2026.
• ·Company headquartered in Plano, TX.

14-04-2026

SPS Commerce, Inc.'s Compensation & Talent Committee approved amendments to all outstanding Performance Stock Unit (PSU) awards, standardizing them under a revised PSU Agreement with double trigger vesting provisions upon a change in control, aligning 2024 grants with those from 2025 and 2026. The changes apply to executive officers, including retired executives holding PSUs, effective April 10, 2026, and will govern future grants. No specific financial impacts or performance metrics were disclosed.

• ·PSU vesting upon change in control: greater of target number or earned based on actual performance in truncated period, for both active and retired recipients.
• ·Exhibits: 10.1 (Form of Performance Stock Unit Agreement, amended April 10, 2026)

14-04-2026

On April 9, 2026, Bailey Carson, Chief Operating Officer of Angi Inc., notified the company of her intent to resign effective May 1, 2026, with no disagreement on operations, policies, or practices. Jeff Kip, the Chief Executive Officer, will assume oversight of sales, customer care, and operations functions. The company expressed appreciation for Ms. Carson's service amid a smooth transition.

• ·Resignation notification date: April 9, 2026
• ·Resignation effective date: May 1, 2026
• ·SEC filing date: April 14, 2026

14-04-2026

Invesco Mortgage Capital Inc. announced Kevin Collins, current President, will become Chief Executive Officer effective May 1, 2026, succeeding John Anzalone who is retiring after a nine-year tenure as CEO. David Lyle, current Chief Operating Officer, will assume the role of President on the same date. The leadership transition emphasizes continuity with experienced executives, alongside recent shift to monthly dividend distributions to enhance investor alignment.

• ·John Anzalone to remain in advisory role through October 1, 2026
• ·Kevin Collins involved in company formation in 2009 and President since 2017; Co-Head of Structured Investments for Invesco Fixed Income
• ·David Lyle COO since 2017, involved since 2009; over 20 years in securitized markets; Co-Head of Structured Investments for Invesco Fixed Income

14-04-2026

Saratoga Investment Corp. entered into a Notes Purchase Agreement dated April 10, 2026, authorizing the issuance and sale of $25,000,000 aggregate principal amount of 7.25% Notes due 2029 in a private offering, with closing on the same date at 98.00% of principal amount. The agreement allows for additional Notes up to a maximum aggregate of $50,000,000 by July 10, 2026. No declines or flat metrics reported in this financing event.

• ·Transaction governed by base indenture dated May 10, 2013, and seventeenth supplemental indenture dated on or about Closing Date.
• ·Audited financial statements as of February 28, 2025, referenced as fairly presenting financial condition.

14-04-2026

New Era Energy & Digital, Inc. closed the full exercise of the $115 million underwriters’ option in its public equity offering, received $20 million initial funding from a $290 million senior secured term loan credit facility with Macquarie, and secured an additional $5 million equity investment from Macquarie at approximately $5 per share. These funds will support development of the Texas Critical Data Centers LLC (TCDC) project, including procurement of long-lead equipment and site development, and repay the outstanding SharonAI Holdings Inc. note to simplify the capital structure. No declines or flat metrics reported, marking a strengthened financial position.

• ·TCDC located in Ector County, outside Odessa, Texas; master planned as multi-phase development.
• ·Non-binding letter of intent with Stream Data Centers.
• ·Northland Capital Markets as lead book-running manager for Equity Offering and capital markets advisor for Term Loan; Texas Capital Securities as book-running manager.

14-04-2026

Oklo Inc. appointed four new directors—Dr. Mark Peters, David Christian, Derek Kan, and David Park—effective April 10, 2026, and named Michael Thompson as Lead Independent Director to bolster technical and execution expertise for its powerhouses, fuel, recycling, and isotopes businesses. The company also plans to transition Pat Schweiger from Chief Technology Officer to a senior technical advisor role amid management restructuring for growth. These changes are positioned to accelerate deployment of advanced nuclear technologies without reported setbacks.

• ·New directors bring experience from nuclear (Peters, Christian, Park), energy infrastructure, technology (Kan), and federal policy.
• ·Oklo received first site use permit from DOE for commercial advanced fission plant, fuel from Idaho National Laboratory, and submitted first custom combined license application to NRC.

14-04-2026

Andrew Archambault, President, US of The Hershey Company, will depart the company effective May 1, 2026, with the company initiating a search for his replacement. This executive change was disclosed in an 8-K filing dated April 14, 2026, under Items 5.02 and 9.01. No financial impacts or performance metrics were reported.

• ·Securities registered: Common Stock, one dollar par value (HSY) on New York Stock Exchange
• ·Filing includes Exhibit 104: Cover Page Interactive Data File (embedded within the Inline XBRL document)

14-04-2026

Quaker Houghton announced an amended credit agreement featuring a $550 million USD senior secured term loan, a $250 million euro-equivalent senior secured term loan, and an $800 million senior secured revolving credit facility, all with five-year maturities extending the nearest debt maturity to 2031. The agreement allows for an additional approximately $331 million in revolver capacity and used proceeds to repay existing loans, enhancing liquidity for strategic growth and M&A. CEO Joseph Berquist highlighted strengthened balance sheet and financial flexibility, with no quantitative declines reported.

• ·Operations in over 25 countries
• ·Customers include steels, aluminum, automotive, aerospace, offshore, can, mining, and metalworking companies
• ·Headquartered in Conshohocken, Pennsylvania

14-04-2026

New Fortress Energy Inc.'s indirect subsidiary, NFE Brazil Holdings Limited, entered into the Brazil Bridge Credit Agreement providing a $50,000,000 senior secured multiple draw term loan facility maturing on the earliest of certain restructuring events or September 15, 2026 (potentially extended to December 2026). The facility bears 10% paid-in-kind interest per annum and is secured by substantially all assets of NFE Brazil, including equity interests in Hygo Energy Transition Ltd., with proceeds for general corporate purposes and operational expenditures, including repaying LNG payables at CoreCo. Amendments to the Restructuring Support Agreement and Letter of Credit Facility Forbearance Agreement obtained necessary consents for the transaction.

• ·Loan matures on earliest of: closing of refinancing of NFE Brazil Financing Limited’s 15% senior secured notes due 2029, RSA termination re PW/PWP AHG members, Restructuring Effective Date, or September 15, 2026 (extendable to December 14 or 31, 2026 per RSA)
• ·Obligations secured by pledge of equity interests held by NFE Brazil in Hygo Energy Transition Ltd.
• ·Standard covenants include limitations on indebtedness, liens, restricted payments, asset sales, affiliates transactions, and prepayments of other debt

14-04-2026

Horizon Technology Finance Corporation (HRZN) closed its merger with Monroe Capital Corporation (MRCC) on April 14, 2026, issuing 20,370,693 shares of common stock (0.9402 per MRCC share), resulting in pro forma net assets of $471.7 million including $141.1 million in cash and ownership split of 70.14% legacy Horizon and 29.86% former MRCC stockholders. The combined company, backed by Monroe Capital's $24 billion AUM, plans to use cash for debt repayment and investments, supplemental distributions from $27.6 million undistributed earnings, up to $4 million fee waivers over four quarters, and a $10 million stock repurchase program. Board changes include resignations of James Bottiglieri, Edward Mahoney, Robert Pomeroy, Elaine Sarsynski, and Joseph Savage, with Thomas Allison joining as an independent director.

• ·MRCC final cash distribution record date: April 10, 2026; payable on or around April 17, 2026.
• ·Horizon special meeting of stockholders: March 13, 2026.
• ·Horizon Supplemental Distributions to commence with July 2026 monthly distribution.
• ·Fee Waiver at up to $1 million per quarter starting quarter ending September 30, 2026.
• ·Stock repurchase program expires June 30, 2026; limited to 2% of shares outstanding when trading below 90% of NAV.
• ·Transaction advisors: Oppenheimer & Co. Inc. and Blank Rome LLP (Horizon Special Committee); Houlihan Lokey Capital, Inc. and Nelson Mullins Riley & Scarborough LLP (MRCC Special Committee); Dechert LLP (Monroe Capital BDC Advisors, LLC and HTFM).

14-04-2026

Shoulder Innovations, Inc. entered into a 10-year lease agreement with Ventura Office Park Lot #8, LLC for a new 15,200 square foot commercial building in Byron Center, Michigan, to serve as its corporate headquarters, with two five-year extension options and expansion rights. Aggregate estimated rent payments over the initial term total approximately $4.4 million, including a $33.0 thousand security deposit and a $0.5 million down payment for construction costs. Possession is expected in the fourth quarter of 2027 upon issuance of the certificate of occupancy.

• ·Lease includes certain expansion rights.
• ·Full Lease Agreement to be filed as exhibit to Q2 2026 10-Q.

14-04-2026

Advanced Biomed Inc. entered into a Loan Agreement with Jie Wang on April 13, 2026, under which the lender provided an unsecured loan of $600,000 at 10% annual interest for a 6-month term, with proceeds intended for operations. The loan is repayable in full on the maturity date, allows prepayment without penalty, and may be extended by mutual agreement for an additional 6 months. No comparative financial metrics or performance data are reported in the filing.

• ·Loan is unsecured.
• ·Governed by the laws of the State of New York.
• ·Filing date: April 14, 2026; event date: April 13, 2026.

14-04-2026

Hepion Pharmaceuticals, Inc. entered into a separation agreement with former CEO Dr. Kaouthar Lbiati on April 13, 2026, following her resignation for personal reasons previously disclosed on March 16, 2026. Pursuant to the agreement, Dr. Lbiati will receive $225,000 severance payment, $30,625 pro-rata cash bonus, and reimbursement of COBRA payments for 6 months, in exchange for a general release and confidentiality. She also resigned as a director on April 13, 2026, with Gary Stetz serving as Interim Chief Executive Officer.

• ·Separation agreement includes reimbursement of COBRA payments for 6 months
• ·Company's principal executive offices: 34 Shrewsbury Ave., Suite 1D, Red Bank, NJ 07701
• ·Former address: 55 Madison Ave., Suite 400-PMB# 4362, Morristown, NJ 07960
• ·Trading symbol: HEPA on OTC QB

14-04-2026

Arrive AI Inc. (NASDAQ:ARAI) announced the appointment of Michael Fitz, Vice President of Solution Sales and Indirect Channels at T-Mobile for Business, to its Board of Directors, bringing over three decades of telecommunications and enterprise technology experience. CEO Dan O’Toole highlighted Fitz's expertise in 5G, IoT, and partner ecosystems as invaluable for scaling the company's autonomous delivery platform. The filing also references Item 4.02 regarding non-reliance on previous financials, though no specific details on restatements are provided.

• ·Arrive AI’s foundational patent for a universal access point was filed four days before Amazon’s.
• ·Fitz previously served as General Manager of T-Mobile’s Global Wireline business, described as a multi-billion-dollar division.
• ·Fitz holds an MBA from the University of Maryland and a bachelor’s degree in Computer Engineering from Bucknell University.

14-04-2026

Silicon Valley Acquisition Corp., a Cayman Islands-incorporated blank check company listed on Nasdaq (SVAQ, SVAQU, SVAQW), announced the resignation of Madan Menon as Chief Operating Officer on April 8, 2026, effective immediately, with no disagreements on operations, policies, or practices. The event was reported in an 8-K filing dated April 14, 2026, signed by CEO Dan Nash. No successor appointment or compensatory details were disclosed.

• ·Company is an emerging growth company.
• ·Principal executive offices: 228 Hamilton Avenue, 3rd Floor, Palo Alto, CA 94301.
• ·Central Index Key: 0002085659; Commission File Number: 001-43030.

14-04-2026

Maywood Acquisition Corp. 2 priced its initial public offering of 10,000,000 units at $10.00 per unit, raising $100,000,000, with units to begin trading on Nasdaq under 'MYXXU' on April 14, 2026. Each unit consists of one Class A ordinary share, one right for one-fourth of a share upon business combination, and one warrant exercisable at $11.50 per share. D. Boral Capital LLC serves as sole book-running manager and has a 45-day option to purchase up to 1,500,000 additional units.

• ·Registration statement declared effective by SEC on April 13, 2026
• ·Separate trading symbols expected: MYX (shares), MYXXR (rights), MYXXW (warrants)
• ·Company is a Cayman exempt blank check company targeting a business combination

14-04-2026

Assertio Holdings, Inc. completed the sale of assets related to INDOCIN, SPRIX, SYMPAZAN, CAMBIA, ZIPSOR, and OTREXUP to Cosette Pharmaceuticals, Inc. for $35.0 million upfront cash plus potential contingent payments up to approximately $35 million, including sales milestones and SPRIX-specific royalties and payments. Pro forma balance sheet as of December 31, 2025 reflects increased cash to $45.2 million and shareholders' equity to $109.5 million, driven by the $35 million inflow net of $1.9 million transaction costs. However, pro forma continuing operations show revenues of $68.2 million for 2025 (up 9.7% YoY from $62.2 million in 2024) but a widened net loss of $31.3 million (14.2% larger YoY loss from $27.5 million).

• ·Discontinued operations generated $50.5 million in revenues and $11.4 million net income for year ended Dec 31, 2025 prior to divestiture.
• ·Pro forma basic and diluted net loss per share for continuing operations: $(4.90) for 2025 (vs historical $(4.74)) and $(4.32) for 2024.
• ·Prior divestiture of Assertio Therapeutics on May 9, 2025 to ATIH Industries, LLC, resulting in $8.2 million loss (not classified as discontinued ops).

14-04-2026

Concentra Group Holdings Parent, Inc. announced that Dr. John Anderson, Executive Vice President and Chief Medical Officer, will retire at the end of 2026 after 33 years with the company and transition to a consulting role, with a formal search underway for his successor. CEO Keith Newton commended Anderson's pivotal role in developing the company's data-driven occupational health services approach. No disruptions or negative impacts were mentioned regarding operations.

• ·Dr. Anderson joined Concentra in 1993 and has served as CMO since 2014.
• ·Dr. Anderson is a Fellow of the American College of Occupational and Environmental Medicine, board-certified in occupational medicine and healthcare quality management, and holds memberships in multiple professional organizations including the American Osteopathic College of Occupational and Preventive Medicine.

14-04-2026

Monroe Capital Corporation (MRCC) filed an 8-K on April 14, 2026, including an Amended and Restated Charter that authorizes 100 shares of common stock at $0.001 par value per share (aggregate par value $0.10) and designates a single director, Michael Balkin. The filing covers items such as termination of a material definitive agreement (1.02), completion of an acquisition (2.01), changes in control (5.01), director election (5.02), and charter amendment (5.03), indicating a significant corporate restructuring event.

• ·Principal office and resident agent address: c/o The Corporation Trust Incorporated, 2405 York Road, Suite 201, Timonium, Maryland 21093
• ·Board may amend charter to increase/decrease shares without stockholder action
• ·Provisions limit director/officer liability and provide indemnification, subject to Investment Company Act

14-04-2026

Emmaus Life Sciences, Inc. announced on April 13, 2026, the resignation of Jon Kuwahara as a director, effective April 15, 2026. No additional details regarding the reasons for the resignation, successor appointment, or any compensatory arrangements were disclosed in the filing.

• ·Filing submitted on April 14, 2026, under Items 5.02 (Departure of Directors or Certain Officers) and 9.01 (Financial Statements and Exhibits).
• ·No securities registered pursuant to Section 12(b) of the Act.
• ·Principal executive offices: 21250 Hawthorne Boulevard, Suite 800, Torrance, CA 90503.

14-04-2026

SunPower filed its 2025 10-K reporting GAAP revenue of $300 million, down $8.8 million from prior unaudited quarterly reports due to audit corrections for double bookings, with GAAP gross margin declining to 43% from 49% and GAAP operating loss widening to $26.9 million. Non-GAAP operating income was $7.3 million, lower than the prior reports' $10.9 million amid balance sheet cleanup via 40 audit adjustments purging $20.7 million. The company completed three acquisitions expanding sales coverage from 22 to 46 states, turning previously unprofitable entities profitable, and targets over $400 million revenue in 2026.

• ·Will restate Q1'25-Q3'25 10-Q reports to align with 10-K.
• ·Q1 10K-based non-GAAP OpInc ($5.948M) vs prior $2.938M (decline).
• ·Q4 10K GAAP OpInc ($6.767M loss) reflects one-time M&A charges of $5.428M.

14-04-2026

Infinity Natural Resources, Inc. (NYSE: INR) announced the appointment of Scott McNeill to its Board of Directors, effective April 13, 2026. Mr. McNeill brings more than two decades of experience in energy investment banking, capital markets, and operating leadership, including leading RSP Permian's $449 million IPO and $9.5 billion merger with Concho Resources. Infinity's President and CEO Zack Arnold highlighted McNeill's track record in building and scaling energy businesses as key to executing the company's strategy in the Appalachian Basin.

• ·Scott McNeill spent 15 years at Raymond James as Managing Director in Energy Investment Banking.
• ·McNeill currently serves as CEO of Peak Rentals, LLC and Managing Member of Headwall Capital.
• ·Infinity focuses on hydrocarbons in the Utica Shale (eastern Ohio) and Marcellus/Utica Shales (southwestern Pennsylvania).

14-04-2026

FinTrade Sherpa, Inc. entered into an Interim Promissory Note dated April 8, 2026, with Lode Star Gold, Inc., acknowledging indebtedness of $74,811.50 plus additional amounts, accruing interest at 15.0015% per annum retroactive to April 1, 2026, with minimum monthly payments of $8,000 commencing June 1, 2026, and full repayment by May 31, 2028. The note is secured by a pledge of the company's intellectual property from the February 12, 2025 Asset Purchase Agreement with Tarka L'Herpiniere, with a UCC-1 filing already made in Texas on April 1, 2026. This follows a termination of financial support letter dated April 1, 2026, amid lack of funding from Alpha-Optimus project affiliates.

• ·Interest applies retroactively from April 1, 2026; all payments applied first to accrued interest.
• ·Prepayment allowed without penalty, applied first to interest then principal.
• ·Default triggers if payments >45 days late, insolvency, bankruptcy, or breach; accelerates full balance.
• ·Lender option to convert debt to shares at discount to market price if unpaid.
• ·Governing law: State of Nevada.

14-04-2026

Luigi Brambilla informed Virgin Galactic Holdings, Inc. on April 13, 2026, that he will not stand for re-election to the Board at the 2026 Annual Meeting for personal reasons, with no disagreements with the Company. Pursuant to the October 25, 2019 Stockholders’ Agreement, Virgin Investments Limited (VIL) designated Allison Belzberg, Director of Investment and Commercial at Virgin Management USA, Inc., for nomination to the Board on April 14, 2026. Additional details on Ms. Belzberg will be in the upcoming proxy statement.

• ·VIL currently has the right to designate two people for nomination to the Board at the 2026 Annual Meeting
• ·Definitive proxy statement with additional information on Ms. Belzberg to be filed prior to the 2026 Annual Meeting

14-04-2026

Suncrete Inc., formed on September 30, 2025, to facilitate a business combination with Haymaker Acquisition Corp. 4, reported zero total assets and cash, $31,519 in accounts payable and accrued expenses, and a net loss of $31,519 for the period from inception to December 31, 2025, raising substantial going concern doubts due to liquidity issues and a July 28, 2026, combination deadline. The financial statements highlight a stockholder's deficit of $31,519 with no operations beyond merger preparations. However, the Business Combination was consummated on April 8, 2026.

• ·Common stock: $0.0001 par value, 1,000 shares authorized, issued, and outstanding.
• ·Weighted average shares outstanding: 1,000; basic and diluted net loss per share: $(31.52).
• ·Business Combination Agreement dated October 9, 2025.
• ·Combination Period deadline: July 28, 2026.

14-04-2026

Suncrete Inc., incorporated on September 30, 2025, to facilitate a business combination, reported $0 in total assets and cash, $31,519 in accounts payable and total liabilities, and a net loss of $31,519 for the period from inception to December 31, 2025, resulting in a working capital deficit of $31,519 and substantial going concern doubts if the merger is not completed by July 28, 2026. The financial statements, audited by WithumSmith+Brown, PC, show no revenues and operating expenses fully funded by payables. However, the Business Combination with Haymaker Acquisition Corp. 4 (SPAC) and Concrete Partners Holding, LLC was successfully consummated on April 8, 2026.

• ·Net loss per share: $(31.52)
• ·Business Combination Agreement dated October 9, 2025
• ·Combination Period deadline: July 28, 2026
• ·Auditor: WithumSmith+Brown, PC (PCAOB registered)
• ·Related party: Stockholder funded formation costs via payables

14-04-2026

WaterBridge Infrastructure LLC (NYSE: WBI) appointed Valerie Chase as an independent director on April 13, 2026, with her term expiring at the 2026 annual meeting of shareholders; she replaces Kara Goodloe Harling as Chair of the Audit Committee while Harling remains on the Board. Ms. Chase brings over 20 years of experience in finance, accounting, and corporate governance, including roles at Apache Corporation (now APA Corporation) and as Vice President, Chief Accounting Officer, and Controller at Magnolia Oil & Gas Corporation. Compensation includes a grant of 2,830 RSUs vesting on September 18, 2026, a $100,000 annual Board retainer, plus $10,000 each for Audit Committee service and Chair role.

• ·Ms. Chase holds a Bachelor of Economics and Master of Accounting from the University of Michigan and is a Certified Public Accountant in Texas.
• ·No arrangements or understandings pursuant to which Ms. Chase was selected as director, and no disclosable relationships or transactions under Item 404(a) of Regulation S-K.
• ·Company entered into an indemnification agreement with Ms. Chase dated April 13, 2026.

14-04-2026

On April 8, 2026, Hock E. Tan and Tracey T. Travis notified Meta Platforms, Inc. of their decision not to stand for re-election to the Board of Directors at the 2026 Annual Meeting of Shareholders. Both directors will continue to serve until the Annual Meeting. The filing was made on April 14, 2026.

• ·Filing Type: 8-K, Item 5.02