US Material Events SEC 8-K Filings — September 04, 2026

04-09-2026

Niki BioSolutions, Inc. (formerly Aptorum Group Ltd) formalized the appointment of Ian Huen as CEO and Chairman, and Alidad Mireskandari as President and COO, following a previously announced merger. Mr. Huen receives a monthly base salary of HKD 210,000 (~USD 26,800) under a six-month initial term, while Mr. Mireskandari receives an annual base salary of $320,000 with a deferred portion and eligibility for a 50% bonus, plus 20,000 RSUs and options for 800,000 shares. The appointments reflect a leadership transition post-merger, but the short initial term for the CEO and the conditional deferral for the COO's salary introduce uncertainty.

• · The appointments are effective August 1, 2026, with agreements signed on September 1, 2026.
• · CEO Ian Huen's initial term is only six months, subject to renewal by mutual agreement.
• · COO Alidad Mireskandari's salary includes a $35,000 deferral until the company receives $3M in capital investments, and increases to $350,000 if $5M in aggregate investments are received.
• · Mireskandari is eligible for an annual performance bonus of up to 50% of his base salary.
• · The company's name changed from Aptorum Group Ltd to Niki BioSolutions, Inc. on March 9, 2018.

04-09-2026

Alternus Clean Energy, Inc. (now Aedis Energy Inc.) issued 4,000 shares of restricted common stock to its Board of Directors as compensation for past service, relying on Section 4(a)(2) and Rule 506(b) exemptions. Additionally, Chief Legal Officer Taliesin Durant resigned effective September 11, 2026, with no disagreement cited, and will provide transitional assistance. The stock issuance and officer departure represent routine governance and compensation actions with no material financial impact disclosed.

• · Shares issued on September 1, 2026, to seven recipients: VestCo I Corp (1,000), John Thomas (1,000), Rolf Wikborg (500), Tone Bjornov (500), Mighty Sky LLC (500), Nicholas Parker (500).
• · Exemption claimed under Section 4(a)(2) and Rule 506(b) of Regulation D; all recipients represented as accredited investors.
• · Taliesin Durant served as Chief Legal Officer since December 22, 2023; resignation effective September 11, 2026.
• · Company's common stock trades on OTC Market under symbol ALCED.
• · Company is an emerging growth company and has not elected extended transition period for new accounting standards.

04-09-2026

LivePerson Inc. has filed an 8-K with the SEC indicating the completion of a merger or acquisition, as evidenced by the adoption of a Fifth Amended and Restated Certificate of Incorporation that reduces authorized shares to just 1,000 common shares. This drastic reduction in authorized capital is a hallmark of a going-private transaction or a reverse merger, where the company is being acquired and its stock will no longer trade publicly. The filing also includes standard provisions for director exculpation and indemnification, typical for a post-merger entity.

• · The company's authorized capital was reduced from a much larger number to just 1,000 shares of common stock, par value $0.01 per share.
• · The filing includes items 2.01 (Completion of Acquisition or Disposition of Assets), 3.01 (Notice of Delisting or Failure to Satisfy a Continued Listing Rule), 3.03 (Material Modification to Rights of Security Holders), 5.01 (Changes in Control of Registrant), 5.02 (Departure of Directors or Certain Officers), 5.03 (Amendments to Articles of Incorporation or Bylaws), and 8.01 (Other Events).
• · The new certificate of incorporation eliminates personal liability of directors for monetary damages for breach of fiduciary duty, subject to standard exceptions.
• · The corporation is required to indemnify and advance expenses to directors and officers to the maximum extent permitted by Delaware law.

04-09-2026

Rent the Runway, Inc. has entered into a Stipulation and Agreement of Settlement to resolve a putative class action lawsuit related to its IPO, agreeing to pay a total settlement consideration of $9,000,000. The settlement consists of $6,000,000 in cash (with $3,100,000 from the company and $2,900,000 from insurers) and $3,000,000 in Class A common stock (or cash at the company's discretion). The settlement is subject to court approval and involves no admission of liability, but represents a material financial obligation for the company.

• · Lawsuit filed on November 14, 2022 in Eastern District of New York (Case No. 22-cv-6935)
• · Allegations under Sections 11 and 15 of the Securities Act of 1933 regarding misleading statements and omissions about company growth at IPO
• · Settlement is without admission of liability, wrongdoing, damages, negligence, or fault
• · Settlement requires both preliminary and final approval by the District Court
• · Company may, in its sole discretion, pay all or a portion of the $3,000,000 stock component in cash instead

04-09-2026

Flex (NASDAQ: FLEX) announced a definitive agreement to acquire EPC Power for $4.4 billion, adding leading power conversion capabilities for AI data centers and grid applications. EPC Power is expected to generate approximately $800 million of revenue in calendar 2026 with organic revenue growth of ~40% expected in 2027, and EBITDA margin expected to expand to ~30% in 2027. Flex also plans to separate its Cloud and Power Infrastructure (CPI) segment into an independent publicly traded company in the first calendar quarter of 2027.

• · EPC Power was founded in 2010 and is headquartered in California.
• · EPC Power has more than 15 GW deployed across 62 countries.
• · Annual U.S. manufacturing capacity will surpass 30 GW in 2027.
• · The transaction is expected to close in Q4 of calendar 2026.
• · Flex plans to separate CPI into an independent publicly traded company in Q1 2027.
• · Committed financing is being provided by Citi and Bank of America.
• · Evercore acted as lead financial advisor to Flex; Goldman Sachs & Co. LLC and J.P. Morgan Securities LLC served as financial advisors to EPC Power.

04-09-2026

Nixxy, Inc. received a Nasdaq deficiency notice on September 1, 2026, for failing to maintain a minimum bid price of $1.00 per share for 30 consecutive business days, triggering a 180-day grace period to regain compliance. Concurrently, the company announced the resignation of director Ashissh Raichura and the appointment of Joe Conlon as a new director and Audit Committee Chairman, while Elsa Sung was appointed CFO with an annual base salary of $169,800 and equity awards. The delisting risk and leadership changes create significant uncertainty, though the company intends to monitor its bid price and explore options to cure the deficiency.

• · Nasdaq notice does not result in immediate delisting; company has 180-day grace period ending around February 28, 2027.
• · If not compliant by then, company may qualify for a second 180-day period if it meets other listing standards and intends to effect a reverse stock split.
• · Ashissh Raichura's resignation was not due to any disagreement with the company.
• · Elsa Sung has over 20 years of financial experience, is a licensed CPA (inactive), and previously served as CFO of a Nasdaq-listed company.
• · Joe Conlon received 50,000 shares upfront and 50,000 shares annually vesting quarterly, plus $3,000 monthly.
• · CFO employment agreement includes one month severance if terminated without cause after 90 days, and four months severance upon change of control termination.

04-09-2026

Senti Biosciences, Inc. (SNTI) disclosed a Senior Secured Convertible Note issued by its subsidiary Senti Holdings, Inc. The note has a maturity date of November 23, 2026, and requires the company to pay 200% of outstanding principal plus accrued interest at maturity. Interest only accrues at a 12% default rate upon an event of default, and the note is exchangeable into shares of Issuer Common Stock at the holder's option.

• · Maturity date is November 23, 2026, extendable by the holder upon an event of default or change of control.
• · Interest accrues only after an event of default at 12% per annum (Default Rate).
• · The note is exchangeable into shares of Issuer Common Stock at any time before maturity.
• · The company must use a transfer agent that participates in DTC's Fast Automated Securities Transfer Program while notes are outstanding.
• · No specific principal amount was disclosed in this exhibit; the filing is a form of note with placeholder values.

04-09-2026

Dorian LPG Ltd. announced three new VLGC newbuild contracts with Hanwha Ocean for ~$345M, a new $368.4M credit facility to refinance existing debt, and provided forward chartering estimates for the quarter ending September 30, 2026. The company has fixed 99% of its calendar days at a rate exceeding $88,000 per day, reflecting strong market conditions. However, the filing also notes forward-looking risks and does not disclose prior-period comparisons for charter rates or fleet utilization, limiting the ability to assess performance trends.

• · New VLGCs will be dual-fuel (LPG and low-sulphur fuels) with Shaft Generator system
• · Vessel hull and engine optimized for larger propellers and energy-saving devices
• · Vessels designed to transit 'the old' Panama Canal locks
• · New credit facility consolidates four existing facilities (2023 A&R Facility, Cougar and Cresques Japanese Financings, Commander tranche of BALCAP Facility)
• · Facility syndicate includes multiple international banks; Crédit Agricole acts as Sustainability Coordinator
• · No prior-period charter rate or fleet utilization data provided for comparison

04-09-2026

ACRES Commercial Realty Corp. entered into two new at-the-market (ATM) equity distribution agreements on September 3, 2026: one with Raymond James & Associates for up to $50 million of common stock, and another with Seaport Global Securities LLC for up to 2,980,000 shares of Series C Preferred Stock and up to 2,192,143 shares of Series D Preferred Stock. The company also terminated its prior preferred equity distribution agreement with Jones Trading Institutional Services LLC, effective September 1, 2026, under which only 7,857 shares of Series D Preferred Stock had been sold out of a possible 2,200,000 shares. Both new agreements provide the company with additional capital-raising flexibility, but the prior program's very low utilization suggests limited near-term demand for preferred equity.

• · The new Common ATM program replaces no prior agreement; it is a new facility for common stock.
• · The new Preferred Distribution Agreement replaces the prior agreement with Jones Trading dated October 4, 2021.
• · The prior preferred program had very low utilization: only 7,857 Series D shares sold out of 2,200,000 authorized (0.36%).
• · Both new agreements carry a maximum 2.0% commission to the sales agent.
• · Shares under both programs will be issued under the existing S-3 shelf registration (No. 333-278433) effective April 1, 2024.

04-09-2026

RCI Hospitality Holdings, Inc. entered into a one-year employment agreement with Interim President and CEO Travis Reese, effective September 1, 2026. The agreement provides an annual salary of $650,000, bonus eligibility, benefits, and perquisites including company car and aircraft access. This formalizes Mr. Reese's leadership role but does not include any financial results or operational updates.

• · Employment agreement is for a one-year term effective September 1, 2026.
• · Mr. Reese is bound by a confidentiality provision and a non-compete clause post-termination.
• · The agreement includes two weeks' paid vacation annually.
• · The filing was signed by Travis Reese on September 2, 2026.

04-09-2026

USA Rare Earth (Nasdaq: USAR) completed its combination with Serra Verde Group on September 3, 2026, creating a fully integrated rare earth and permanent magnet platform outside Asia. The deal combines Serra Verde's heavy-rare earth mining operation in Brazil with USA Rare Earth's processing, metallization, and magnet-making capabilities in the U.S., U.K., and France. While the merger positions the company as a Western-aligned supply chain leader, the combined entity faces significant execution risks including integration challenges, ramp-up delays at Serra Verde's Pela Ema facility, and substantial indebtedness under Serra Verde's Retained Finance Agreement.

• · Serra Verde's Pela Ema operation began production in January 2024 and is completing an advanced-stage optimization and commissioning program with ramp-up expected in Q3 2026.
• · Longer term, Serra Verde has potential to double run-of-mine production through a Phase 2 expansion.
• · Barbara Humpton will retire as CEO on October 1, 2026, and Thras Moraitis will succeed her.
• · Sir Mick Davis, former CEO of Xstrata plc, is joining the USA Rare Earth Board.
• · Advisors: Moelis & Company LLC (financial advisor to USAR), Latham & Watkins LLP (legal counsel to USAR), Goldman Sachs & Co. LLC (financial advisor to Serra Verde), White & Case LLP (legal counsel to Serra Verde), Allen Overy Shearman Sterling US LLP (legal counsel to Serra Verde shareholders).
• · Risks include: potential delays in optimization/commissioning and Phase II expansion at Pela Ema; political/economic/regulatory risks in Brazil and Switzerland; substantial indebtedness under Serra Verde's Retained Finance Agreement with restrictive covenants; risk that Offtake Agreement counterparty may be insufficiently capitalized; risk that proposed transaction with Carester SAS may not be consummated; limited operating history; volatility of stock price; and designation on Chinese export control list impacting raw material sourcing.

04-09-2026

Global Asset Management Group, Inc. (KENS) entered into a Stock Purchase Agreement (Exhibit 2.1) on September 4, 2026, to acquire a target entity. The filing covers material agreement entry, completion of acquisition, and related disclosure items. No financial terms or performance metrics were disclosed in the filing.

• · Filing includes items 1.01 (Material Agreement), 2.01 (Completion of Acquisition), 2.03 (Direct Financial Obligation), 3.02 (Unregistered Sales of Equity), 3.03 (Material Modification to Rights of Security Holders), 5.02 (Departure of Directors or Principal Officers), 8.01 (Other Events), and 9.01 (Financial Statements and Exhibits).
• · The specific target entity and purchase price are not disclosed in the provided excerpt.

04-09-2026

SmartKem, Inc. announced the resignation of Jonathan Warkins as Chief Operating Officer, effective August 31, 2026. The resignation is not due to any dispute or disagreement with the company regarding financial statements, internal controls, operations, policies, or practices.

• · The resignation was voluntary and accepted on August 30, 2026.
• · No replacement or interim COO has been announced.

04-09-2026

Zoned Properties, Inc. (ZDPY) closed the sale of its Chino Valley, Arizona property on September 2, 2026, through its wholly owned subsidiary Chino Valley Properties, LLC. The sale was completed under an amended purchase agreement that allows the buyer, 2148 Chino LLC, to obtain third-party financing, removing the seller-financing originally contemplated. No financial terms of the sale were disclosed in the filing.

• · The original purchase agreement was dated April 20, 2026, with a first amendment on August 12, 2026.
• · The property is located at 2144-2148 N. Road 1 East, Chino Valley, Arizona 86323 (APNs 306-14-008M, 306-14-008K, 306-14-008N, 306-14-008F).
• · The buyer (2148 Chino LLC) obtained the rights via an assignment from Broken Arrow Herbal Center, Inc. dated April 22, 2026.
• · Green Valley Group, LLC and Kingman Property Group, LLC were released from the agreement as their interests were satisfied.

04-09-2026

Monster Beverage Corporation announced the election of Matthew S. Burroughs as Chief Accounting Officer and Deputy Chief Financial Officer, effective September 3, 2026. Mr. Burroughs, a 20-year company veteran, has held progressively senior finance roles and will continue to oversee global accounting, SEC reporting, tax, treasury, and investor relations. No related-party transactions or family relationships were disclosed, and no compensatory arrangements were detailed.

• · Mr. Burroughs joined the company in October 2006.
• · He previously served as Deputy CFO, Senior Vice President of Corporate Finance, Senior Vice President Corporate Controller, Vice President Senior Corporate Controller, Vice President Corporate Controller, Corporate Controller, and Financial Controller.
• · He holds a Bachelor of Arts degree in Economics and Accounting from Claremont McKenna College.
• · No arrangement or understanding exists with any other person regarding his selection.
• · No reportable related-party transactions under Item 404(a) of Regulation S-K.
• · No family relationship with any director or executive officer.

04-09-2026

DarioHealth Corp. announced the retirement of board member Lawrence Leisure, effective September 2, 2026, for personal reasons. The departure was not due to any disagreement with the company regarding operations, policies, or practices. No financial impact or successor appointment was disclosed.

• · Lawrence Leisure retired from the Board on September 2, 2026.
• · The retirement was for personal reasons and not due to any disagreement with the company.
• · No successor or replacement board member was announced in this filing.

04-09-2026

Salesforce, Inc. approved a new Executive Deferred Compensation Plan on September 2, 2026, allowing executive officers and eligible employees to defer up to 75% of base salary and 90% of annual performance bonus. The plan is unfunded and unsecured, with no employer match, though discretionary contributions may be made. This is a routine compensatory arrangement with no immediate financial impact or performance data to report.

• · The plan is administered by the Compensation Committee of the Board.
• · Participants may choose lump sum or installment distributions upon separation from service or specified dates.
• · The Company may establish a rabbi trust to assist in paying benefits, but trust assets remain subject to general creditors' claims in insolvency.
• · The Company may terminate or amend the plan at any time, but amendments cannot reduce accrued benefits.
• · The plan will be filed as an exhibit to the next Quarterly Report on Form 10-Q.

04-09-2026

CDT Equity Inc. amended its Share Purchase Agreement with Sarborg Limited on August 31, 2026, reducing the cash consideration from $8,000,000 to $5,500,000 by allowing $1,750,000 to be satisfied through issuance of common stock (subject to a 4.99% beneficial ownership cap) and crediting audit costs against the cash consideration. The remaining $5,500,000 will be paid from the Company's ATM Sales facility with a minimum monthly payment of $150,000 and a final payment deadline of May 31, 2027. The amendment also requires CDT to bear the costs of additional audit procedures for Sarborg's FY2024, FY2025, and pro-forma 2026 review.

• · The stock issuance to Sarborg is capped at 4.99% of CDT's outstanding common stock.
• · Audit costs for Sarborg's FY2024, FY2025, and pro-forma 2026 review will be credited against the cash consideration.
• · The remaining cash consideration of $5,500,000 is to be paid from proceeds of the Company's ATM Sales facility.
• · Final payment deadline is May 31, 2027, unless mutually extended.

04-09-2026

AIM ImmunoTech Inc. entered into an Exchange Agreement with Streeterville Capital, LLC to partition a new promissory note from an existing $3,301,250 note (dated February 16, 2024) and exchange it for shares of common stock. The exchange is structured under Section 3(a)(9) of the Securities Act, with the shares to be issued free of restrictive legends via Rule 144, tacking the holding period back to the original note's issuance. No new cash consideration is involved; the transaction reduces the outstanding balance of the original note by the partitioned amount.

• · The Exchange Agreement is dated as of September 4, 2026, but the specific partition amount and number of exchange shares are left blank in the filing.
• · The exchange shares will be delivered via DWAC to Lender's brokerage account on or before a date in September 2026 (specific day blank).
• · The transaction is intended to comply with Section 3(a)(9) of the Securities Act, meaning no additional consideration is paid by the lender.
• · The holding period for Rule 144 purposes will tack back to February 16, 2024, the original note issuance date.
• · Borrower represents it is in full compliance with Rule 144(i)(2) as of the agreement date.
• · The agreement includes mandatory binding arbitration for disputes, governed by Utah law.
• · No new cash is raised; the exchange is purely a debt-to-equity conversion reducing the original note's outstanding balance.

04-09-2026

TEN Holdings, Inc. (XHLD) disclosed that board member Gan Yong Sheng will not stand for re-election at the 2026 Annual Meeting, ending his term. The departure is not due to any disagreement with the company. No financial impact or replacement has been announced.

• · Mr. Gan Yong Sheng notified the Board on September 2, 2026, of his intent not to stand for re-election.
• · His term ends on the date of the Company's 2026 Annual Meeting of Stockholders.
• · The departure is not the result of any disagreement with the Company.

04-09-2026

Katapult Holdings, Inc. dismissed Grant Thornton LLP as its independent auditor on September 2, 2026, and appointed Elliott Davis, PLLC as its new auditor. The change follows the company's August 11, 2026 business combination with CCF Holdings LLC and Aaron's Intermediate Holdco, Inc., where Elliott Davis already served as auditor. Grant Thornton's reports for fiscal years 2024 and 2025 included a going concern qualification, and the company had previously disclosed material weaknesses in internal controls that were remediated by December 31, 2024.

• · The auditor change was approved by the Audit Committee of the Board of Directors on September 2, 2026.
• · Grant Thornton's reports for fiscal years ended December 31, 2024 and 2025 included an explanatory paragraph expressing substantial doubt about the company's ability to continue as a going concern.
• · There were no disagreements with Grant Thornton on accounting principles or practices during the relevant periods.
• · Material weaknesses in internal controls over financial reporting were previously disclosed for FY 2023 and were remediated as of December 31, 2024.
• · Elliott Davis had served as auditor for CCFI since 2020 and for Aaron's since 2024, prior to the business combination.

04-09-2026

Sysco Corporation entered into a First Amendment to its Credit Agreement dated September 4, 2026, adding CoBank, ACB as a Term Loan Lender and an FCS Term Loan Facility, and introducing a new Schedule 2.01(b). The amendment modifies the existing credit agreement with updated exhibits and schedules, and includes customary conditions precedent, representations, and warranties. No specific financial amounts or performance metrics were disclosed in this filing.

• · The amendment adds CoBank, ACB as a Term Loan Lender and FCS Term Loan Arranger.
• · A new Schedule 2.01(b) was added to the credit agreement.
• · Exhibits A, B, and C to the existing credit agreement were amended in their entirety.
• · The amendment became effective upon satisfaction of conditions precedent, including receipt of legal opinions and know-your-customer documentation.
• · New Lenders were added to the credit agreement as of the First Amendment Effective Date.

04-09-2026

On September 2, 2026, Tim Ruan resigned from the Board of Directors of Indaptus Therapeutics, Inc., effective immediately. The resignation was not due to any disagreement with the company regarding its operations, policies, or practices. No financial figures or performance metrics were disclosed in this filing.

• · Tim Ruan's resignation was effective immediately on September 2, 2026.
• · The resignation was not related to any disagreement with the company's operations, policies, or practices.
• · The filing was made on September 4, 2026, under Item 5.02 (Departure of Directors or Certain Officers) and Item 9.01 (Financial Statements and Exhibits).

04-09-2026

Rambus Inc. announced the retirement of John Allen, Vice President, Accounting and Chief Accounting Officer, effective September 8, 2026, with no disagreement with the company. William Taulbee was appointed as his successor, effective the same date, with annual compensation including a base salary of $355,000, target bonus of $142,000, sign-on bonus of $175,000, and a restricted stock unit grant of $700,000 vesting over four years.

• · John Allen's retirement is effective September 8, 2026, and he will remain employed through September 30, 2026 for transition support.
• · William Taulbee, age 50, previously served as Vice President, Accounting at Rambus since August 2026, and prior roles include Executive Partner at Gartner and various finance roles at Western Digital.
• · No family relationships or material interests in transactions exist between Taulbee and any director or executive officer.
• · Taulbee will enter into a standard indemnification agreement with the company.

04-09-2026

flyExclusive, Inc. (FLYX) entered into a Sixth Amendment to its Aircraft Management Services Agreement with Volato Group, Inc., extending the term to December 31, 2026. The Merger Option previously granted to flyExclusive has expired, but the remaining Asset Options (flyExclusive Option and Volato Option) remain in effect through the extended term. This amendment continues the existing exclusive aircraft management services arrangement without any new financial terms disclosed.

• · The original Volato Agreement was entered into on September 2, 2024, with a twelve-month term.
• · The term was previously extended to September 1, 2026, via an amendment on October 1, 2025.
• · The Merger Option has expired, but the Asset Options (flyExclusive Option and Volato Option) remain in effect.
• · A portion of the flyExclusive Option was previously exercised by the Company.
• · The Sixth Amendment is effective as of August 31, 2026.

04-09-2026

Credit Acceptance Corporation entered into a separation agreement with former CFO Jay D. Martin on September 3, 2026. Mr. Martin will serve as an unsalaried employee advisor through February 1, 2027, providing about 15 hours of advisory services per month. The company will pay a lump sum of $4,000 for benefit premiums and provide three months of medical, dental, and vision benefits at no cost to Mr. Martin, while he continues to vest in outstanding equity awards. No financial performance metrics are included in this filing.

• · Mr. Martin's tenure as CFO ended on July 27, 2026.
• · The advisory term runs from September 3, 2026, through February 1, 2027.
• · The separation agreement includes a general release of claims by Mr. Martin in favor of the company.

04-09-2026

Douglas Elliman Inc. announced the retirement of Richard J. Lampen as a Class I director, effective September 4, 2026. The retirement was not due to any disagreement with the company regarding its operations, policies, or practices.

04-09-2026

Generation Income Properties, Inc. (GIPR) announced an agreement to extend the mandatory redemption date of Loci Capital's preferred equity interest in GIP VB SPE, LLC to September 30, 2026, with a redemption amount of approximately $4.2 million. The outstanding preferred equity balance has been reduced substantially from approximately $20 million in 2025 to approximately $4.2 million, reflecting progress in simplifying the capital structure. However, the company cautioned there is no assurance it will be able to fully redeem the balance by the deadline, highlighting ongoing uncertainty.

• · The agreement is pursuant to a payoff letter dated August 31, 2026.
• · Upon full redemption, Loci Capital will have no further interests, rights, liabilities, or obligations with respect to GIPR Portfolio Co. and its affiliates.
• · Management believes the reduction and planned elimination represent meaningful progress, but there is no assurance of full redemption by September 30, 2026.
• · Additional public announcements regarding balance sheet initiatives will be made as information becomes available.

04-09-2026

CONX Corp. completed its merger with HC2 Broadcasting Holdings LLC on September 1, 2026, following the execution of a Merger Agreement dated May 29, 2026. The transaction involved the conversion of the surviving entity into a Delaware limited liability company and the adoption of a new LLC Agreement. The filing details the governance structure, including board composition, tag-along and drag-along rights, and capital call provisions.

• · The Merger Agreement was entered into on May 29, 2026.
• · The Closing occurred on September 1, 2026.
• · CONX contributed all its interests in Merger Sub to CONX Broadcast Group, LLC on June 25, 2026.
• · The LLC Conversion was effected by filing a Certificate of Conversion and Certificate of Formation with the Delaware Secretary of State.
• · The LLC Agreement includes provisions for tag-along rights (Article 12), drag-along rights (Article 13), preemptive rights (Article 14), and capital calls (Section 3.5).
• · The Board of Directors includes a CONX Director designated by the CONX Investor (Section 5.2(a)(i)).
• · Certain confidential information has been redacted as indicated by '[****]'.

04-09-2026

The Bancorp, Inc. (TBBK) announced a restructuring that eliminates 64 filled positions (9% of workforce) and discontinues retail and wholesale new originations in its Small Business Lending business by end of 2026. The company expects $5.6 million in restructuring charges ($4.5 million in Q3) and approximately $14 million in annualized run-rate savings from the 80 total positions affected, contributing to over $20 million in combined annualized savings with prior reorganization. While the restructuring aims to align with the Apex 2030 strategic plan and improve efficiency, it reflects a significant workforce reduction and exit from a business line.

• · The restructuring eliminates 64 currently filled positions (9% of enterprise-wide workforce).
• · 16 additional positions have been or are expected to be vacated and not backfilled.
• · Total of 80 positions discontinued expected to generate ~$14M in annualized run-rate savings.
• · Combined with prior reorganization of Institutional Banking (Q4 2025), total annualized savings expected to exceed $20M.
• · Small Business Lending retail and wholesale new originations to be discontinued by end of 2026; existing customers and loan portfolio will continue to be managed.
• · Restructuring charges primarily consist of cash expenditures for severance, benefits, outplacement, retention, and related costs.
• · $4.5M of the $5.6M total charges expected to be recognized in Q3 2026.

04-09-2026

SM Energy Company redeemed all $416.791 million of its 6.625% Senior Notes due 2027 on September 4, 2026, including accrued interest, and satisfied all remaining obligations under the related indentures. The redemption eliminates a significant debt obligation and reduces future interest expense, but also represents a large cash outflow.

• · The redemption was completed on September 4, 2026.
• · The notes were governed by a Base Indenture dated May 21, 2015, a Fourth Supplemental Indenture dated August 20, 2018, and a Sixth Supplemental Indenture dated January 30, 2026.
• · The redeemed notes and related guarantees were cancelled upon settlement.

04-09-2026

Game Your Game Inc. entered into a one-year Support Services Agreement with Grafiti LLC for advisory, management, and administrative support, effective September 1, 2026, with automatic renewal terms. The company also approved a director compensation program effective September 1, 2026, providing annual cash retainers and stock option grants to non-employee directors. The agreement involves unregistered sales of equity securities under Section 4(a)(2) and Rule 506(b) of Regulation D.

• · The Services Agreement has a one-year term, automatically renewing unless terminated with 30 days' notice, and can be terminated by Game Your Game for Cause without prior notice.
• · The Director Compensation Program includes non-statutory stock option grants with an aggregate fair market value equal to the annual cash compensation, fully vested on grant, with a 10-year term, issued under the 2026 Equity Incentive Plan.
• · The shares issued under the Services Agreement are subject to transfer restrictions and will bear a restrictive legend.
• · The Services Agreement includes a confidentiality clause and independent contractor relationship.
• · The Services Agreement can be terminated by Game Your Game after September 1, 2027, with 30 days' notice.

04-09-2026

American Exceptionalism Acquisition Corp. A appointed Michael Teng to its board of directors and audit committee, effective September 1, 2026. The sponsor transferred 150,000 Class B shares to Mr. Teng in connection with his appointment. No other compensatory arrangements or transactions requiring disclosure under Item 404(a) were noted.

• · Mr. Teng was determined to be an independent director under SEC and NYSE rules.
• · He entered into joinder agreements for the Letter Agreement and Registration Rights Agreement, and a standard director indemnification agreement.
• · The company will reimburse Mr. Teng for reasonable out-of-pocket expenses incurred as a director.

04-09-2026

Ategrity Specialty Insurance Company Holdings (ASIC) amended its employment agreement with President and Chief Underwriting Officer Chris Schenk, extending his term through December 31, 2028. The amendment increases his annual base salary from $550,000 to $750,000, sets a target annual bonus of $1,250,000 for fiscal 2026, provides a monthly housing allowance of $4,500, and grants non-qualified stock options for 125,658 shares at $27.40 per share. The agreement also includes severance benefits if the company elects not to renew.

• · Stock options vest 50% over five years starting on first anniversary of grant, and remaining 50% over five years starting on second anniversary.
• · Severance benefits equivalent to termination without 'cause' if company elects not to renew the agreement.
• · Employment agreement originally dated August 11, 2021, now third amended and restated.
• · Company is an emerging growth company.

04-09-2026

Arrow Electronics, Inc. (ARW) entered into Amendment No. 36 to its Transfer and Administration Agreement (TAA) dated September 2, 2026, with Bank of America, PNC Bank, Truist Bank, Wells Fargo Bank, Mizuho Bank, and Sumitomo Mitsui Banking Corporation. The amendment modifies the TAA to incorporate changes reflected in Exhibit A, including reallocation of Net Investment among Purchaser Groups. No specific financial figures or performance metrics were disclosed in the filing.

• · The amendment is the 36th modification to the original TAA dated March 21, 2001.
• · The amendment reallocates Net Investment among Purchaser Groups to match each group's Pro Rata Share.
• · Conditions precedent include receipt of executed counterparts, funding agent payments, secretary's certificates, legal opinions, and fee payments.
• · The amendment is governed by New York law and includes a jury trial waiver.

04-09-2026

Helix Energy Solutions Group Inc (HLX) disclosed in an 8-K filing that Hornbeck Offshore Services, Inc., the company it is merging with, granted Todd M. Hornbeck a performance-based equity award of up to 1,500,000 shares as a material inducement for his employment with the combined company. The award vests in two tranches based on synergy and share price targets by year-end 2029. This filing relates to the pending merger and key executive retention, but does not include any negative or flat performance metrics.

• · The inducement grant was approved by Hornbeck's Board of Directors and is subject to the terms of the plan and award agreement and Mr. Hornbeck's continued service.
• · The award must vest by year-end 2029.
• · The filing is made under Items 5.02 (Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers) and 7.01 (Regulation FD Disclosure).

04-09-2026

Fusemachines Inc. appointed David R. Wells as Consulting Chief Financial Officer, Principal Financial Officer, and Principal Accounting Officer effective August 30, 2026, through a Services Agreement with his firm Atlas Bookkeeping, LLC. The company will pay Atlas a monthly advisory fee of $14,500, a one-time retainer of $10,000, and monthly grants of 10,000 RSUs. No financial results or period-over-period comparisons are included in this filing.

• · Mr. Wells has over 30 years of finance experience, previously serving as CFO of Envoy Medical (Nasdaq: COCH) and on the board of HeartSciences (Nasdaq: HSCS).
• · The Services Agreement can be terminated by either party with 30 days' notice (15 days for uncured material breach).
• · Confidentiality provisions survive for two years after termination; non-solicitation provisions apply during the term and for one year after termination.
• · Atlas and Mr. Wells are independent contractors, not employees of the company.

04-09-2026

Stewards, Inc. (SWRD) entered into a secured, short-term bridge promissory note with Accretiv Investment Holdings Inc. for $1,500,000 on September 2, 2026. The note carries a fixed $75,000 Lender Return (5% of principal) and matures on September 21, 2026, with no extension rights. The financing is junior to existing convertible notes totaling up to $5,000,000, and the company expects future funding support of at least $24,000,000 from an affiliate, Stewards International Funds PCC, which has not yet been received.

• · The note is secured by a junior security interest, subordinate to Senior Liens including existing convertible notes.
• · Maturity date is September 21, 2026, with no extension rights; Lender Return is due by November 30, 2026.
• · Upon payment default, liquidated damages of $200,000 apply plus default interest at 18% per annum.
• · Maker must apply any proceeds from Stewards International Funds PCC first to this note until paid in full.
• · The company acknowledges it is entering this bridge financing because expected $24M funding has not yet been received.
• · Maker waives many defenses and rights, including jury trial, and consents to exclusive Nevada jurisdiction.

04-09-2026

Weatherford International plc announced that Desmond Mills will resign as Senior Vice President and Chief Accounting Officer, effective October 16, 2026, to pursue another opportunity. Maximiliano Kricorian, currently Senior Vice President and Treasurer, will succeed him as Chief Accounting Officer. The transition is orderly, with no disclosed negative financial impact.

• · Mr. Kricorian has served at Weatherford for over 13 years in finance, treasury, and controller roles.
• · Mr. Kricorian most recently served as Senior Vice President and Treasurer since January 2026.
• · Mr. Kricorian is a Certified Public Accountant and began his career as an auditor at PricewaterhouseCoopers.
• · No family relationships or reportable transactions under Item 404(a) were disclosed for Mr. Kricorian.

04-09-2026

Air T Inc. and its subsidiaries entered into Amendment No. 7 to their credit agreement with Alerus Financial, effective September 1, 2026. The amendment consolidates existing term loans and overline loans into a new $11.46 million Consolidated Term Loan, terminates the Overline Commitment, and introduces a new $3.5 million Accordion Option for revolving loans. The amendment also adjusts the borrowing base and introduces a leverage-based pricing grid with an initial Applicable Margin of 2.50%.

• · The Consolidated Term Loan matures on August 27, 2031.
• · The Revolving Credit Termination Date is August 27, 2029.
• · The Accordion Option can be exercised once per fiscal year for a single 120-day period, with a maximum of $3.5 million.
• · The Accordion Option origination fee is 0.50% of the requested principal amount.
• · The Accordion Option is subject to conditions including no existing Default or Event of Default and pro forma compliance with financial covenants.
• · The Leverage Ratio is defined as Senior Debt to Combined EBITDA for the trailing four fiscal quarters.
• · The Applicable Margin will be determined based on the Leverage Ratio as of each Measurement Date, starting with December 31, 2026.
• · The amendment introduces a new definition of Eligible Investment Grade Accounts, allowing higher advance rates for accounts with investment-grade ratings.
• · The Overline Commitment and related definitions were deleted from the credit agreement.

04-09-2026

Silgan Holdings Inc. announced the mutual departure of Philippe Chevrier, Executive Vice President and Chief Operating Officer, effective September 30, 2026. The separation was agreed upon on September 2, 2026, and no financial terms or replacement details were disclosed.

• · The departure is effective September 30, 2026.
• · The agreement was reached on September 2, 2026.
• · No successor or interim COO has been announced.

04-09-2026

Aperture AC (APUR) entered into an employment agreement with CEO Calvin Kung (base salary $7,000/month + $14,000 signing bonus) and a consulting agreement with CFO Daniel Zhao ($3,000/month + $6,000 signing bonus), effective September 3, 2026. Both executives waived any claims against the company's trust account for public shareholders. The company remains an early-stage SPAC with no business combination consummated.

• · Employment and consulting agreements executed on September 3, 2026.
• · CEO is entitled to a base salary of $7,000 per month and a one-time signing bonus of $14,000.
• · CFO receives a consulting fee of $3,000 per month and a one-time signing bonus of $6,000.
• · Both executives waived any and all rights to claim monies from the company's trust account for public shareholders.
• · Aperture AC is a blank check company (SPAC) with a fiscal year end of December 31.
• · The company's securities are listed on The Nasdaq Capital Market (APUR and APURR).

04-09-2026

Co-Diagnostics, Inc. announced the departure of CFO Brian Brown effective September 2, 2026, and appointed Daniel Bohrer, previously Executive Vice President of Finance and Accounting, as the new principal financial and accounting officer. Bohrer's annual salary was increased from $225,000 to $255,000. The filing contains no financial performance data, so no period-over-period comparisons are possible.

• · Brian Brown's last day was September 2, 2026, and he served as principal financial and accounting officer through that date.
• · Daniel Bohrer, age 49, has been with the company since September 2021, previously as Vice President of Finance and Accounting.
• · Bohrer holds an MBA and BS in Accounting from Utah State University and is a licensed CPA in Utah.
• · Bohrer previously served as Assurance Senior Manager at EY from January 2014 to October 2016.

04-09-2026

Cineverse Corp. subsidiary Cineverse Pans LLC entered into a $3.125M term loan agreement with BondIt LLC to fund the 3D conversion and re-release of the film 'Pan's Labyrinth', with a maturity date of October 26, 2027. The loan carries a minimum interest commitment of $179,000 for the first seven months and a monthly interest rate of 1.39% thereafter, plus an 11.25% royalty on distribution receipts until the lender receives up to 1.75 times principal and interest. The company also provided a capped guarantee of $2.34375M, subordinated to its existing East West Bank credit facility.

• · The loan agreement was entered into on August 31, 2026, and dated as of August 28, 2026.
• · The loan is secured by a first priority interest in all of Pans Borrower's rights and interest in the Film and distribution agreements.
• · The guarantee is subordinated to the company's credit facility with East West Bank under an intercreditor agreement.

04-09-2026

On September 1, 2026, Michele A. Chow-Tai resigned from the Board of Directors of 1847 Holdings LLC (LBRA). The resignation was not due to any disagreement with the company and no reason was provided.

04-09-2026

iSpecimen Inc. entered into a definitive Asset Purchase Agreement to acquire certain AI software, models, and intellectual property from Foldlab AI Ltd. for a total purchase price of $4.5 million, consisting of $2 million in cash and $2.5 million in common stock. The cash consideration includes $750,000 payable at closing and two milestone payments of $625,000 each contingent on successful delivery and acceptance of two AI products. The stock consideration will be placed in a five-year escrow with no leak-out and is subject to stockholder approval under Nasdaq rules, introducing execution risk.

• · The stock consideration will be issued under a private-placement exemption and is not registered under the Securities Act; the company has no obligation to register or facilitate resale.
• · The stock consideration is subject to a five-year escrow and lock-up with no leak-out, and all dividends and distributions on escrowed shares are also restricted.
• · Holders of stock consideration grant an irrevocable proxy to the company to vote on matters including issuance, listing, transfer restrictions, recapitalization, change of control, or implementation of the transaction.
• · Closing conditions include stockholder approval, Nasdaq listing confirmation, and absence of any material adverse effect on the transferred assets.
• · The agreement may be terminated if closing conditions are not satisfied within 120 days (extendable by 60 days) from execution.
• · General representation indemnification claims are subject to a $25,000 deductible basket and a $100,000 aggregate cap; certain claims (e.g., fraud, privacy) are not subject to these limits.

04-09-2026

Regenerex Pharma, Inc. (RGPX) disclosed that its independent registered public accounting firm, dbbmckennon, resigned effective August 31, 2026, after serving since 2017. The resignation was an internal decision by the auditor, and the company is now seeking a successor firm. The auditor's reports for fiscal years ended December 31, 2025 and March 31, 2025 included an explanatory paragraph about substantial doubt regarding the company's ability to continue as a going concern, and the transition period report noted a revision to disclose certain related party transactions.

• · dbbmckennon had served as the company's independent registered public accounting firm since 2017.
• · The auditor's reports for fiscal years ended December 31, 2025 and March 31, 2025 did not contain an adverse opinion or disclaimer of opinion, but included an explanatory paragraph about substantial doubt as a going concern.
• · The report for the transition period from April 1, 2025 to December 31, 2025 also noted a revision to disclose certain related party transactions.
• · There were no disagreements or reportable events during the two most recent fiscal years.
• · The company is in the process of engaging a successor independent registered public accounting firm and intends to complete the engagement as promptly as practicable.

04-09-2026

Harrow, Inc. announced the departure of Randall E. Pollard as Chief Accounting Officer and principal accounting officer, effective September 4, 2026. Concurrently, the Board designated Andrew R. Boll, the company's President and CFO, to also serve as principal accounting officer without additional compensation. This is a routine officer change with no financial impact disclosed.

• · Mr. Boll will not receive additional compensation for the additional role.
• · Mr. Boll's background is incorporated by reference to the company's Definitive Proxy Statement filed on April 24, 2026.

04-09-2026

Franklin BSP Real Estate Debt, Inc. closed a $725.2 million commercial real estate mortgage securitization on August 18, 2026, selling $644.5 million of notes in a private placement. The transaction, executed through subsidiary BSPDF 2026-FL5 Issuer, LLC, will primarily repay existing credit facility borrowings and fund future investments. The notes are secured by a $674.4 million portfolio of commercial and multifamily mortgage loans.

• · The notes mature in February 2044, with expected weighted average lives ranging from 3.84 years (Class A) to 5.33 years (Class E).
• · Interest payments are monthly, commencing September 2026.
• · The notes are limited recourse obligations, payable solely from the portfolio's cash flow.
• · The Issuer may redeem the notes in whole from February 2029 at the direction of the majority of Class J noteholders.
• · The Indenture will be filed as an exhibit to the Form 10-Q for the quarter ended September 30, 2026.

04-09-2026

SoundHound AI completed its acquisition of LivePerson, creating a combined omnichannel conversational AI company with a customer base including 25 of the Fortune 100 and an IP portfolio of over 750 patents. The company also appointed John Collins as CFO, who previously served as CFO and interim CEO at LivePerson. The combined balance sheet is debt-free, and the company targets over $500M in future revenue from the existing customer base alone, while Gartner forecasts enterprise spend on agentic AI to reach $985 billion by 2030.

• · LivePerson common stock will cease trading on Nasdaq following the close.
• · Functional integration is underway, with combined product offerings rolling out in coming quarters.
• · John Collins holds both a JD and an MBA.
• · The combined company is debt-free, with LivePerson's outstanding debt retired at close.