US Material Events SEC 8-K Filings — September 15, 2026

15-09-2026

Hub Group announced preliminary, unaudited Q1 and Q2 2026 results, projecting consolidated operating revenue of $1.70B–$1.80B for the first half, but expects an operating loss before one-time charges due to higher fuel, rail, and drayage costs, excess capacity in Consolidation and Fulfillment, and incremental restatement costs. The company also disclosed that it expects a Nasdaq Staff Delisting Determination due to delayed filings, though it will appeal and seek a stay. Management initiated a new efficiency program and amended its credit agreement to extend financial statement delivery deadlines to November 30, 2026.

• · The company expects to receive a Staff Delisting Determination from Nasdaq due to delayed filings, but trading will not be suspended immediately; it will appeal and seek a stay.
• · The credit agreement amendment extends the deadline for delivering audited annual and quarterly financial statements to November 30, 2026, and allows restatement-related costs to be added back to EBITDA for covenant calculations.
• · The company expects to complete restatement filings in Q4 2026, including Form 10-K for 2025 and Forms 10-Q for Q1 and Q2 2026.
• · ITS revenue benefited from stable volumes and tightening capacity, but operating results were hurt by higher costs before rate increases in Q3 2026.
• · Logistics revenue benefited from new Final Mile business, but Managed Transportation saw modest revenue declines and Brokerage revenue/volume declined due to profitability focus.
• · Consolidation and Fulfillment revenue was negatively impacted by customer attrition.
• · The company expects an operating loss for H1 2026 before one-time charges.
• · Full year 2026 revenue estimate is $3.6B–$3.8B, with capex of $40M–$50M.

15-09-2026

Flex announced Amy B. Schwetz as CFO of its RMS and ITS segments, effective October 5, 2026, and expected to become Flex CFO after the planned spin-off of its Cloud and Power Infrastructure segment into Axiom. The company also disclosed post-separation board compositions for Flex and Axiom, including four new directors. The spin-off is expected to complete in Q1 calendar 2027, subject to regulatory and shareholder approvals, with risks including potential delays and failure to achieve expected benefits.

• · Spin-off expected to be completed in Q1 calendar 2027, subject to conditions including Flex Board approval, Form 10 effectiveness, shareholder and Singapore High Court approval.
• · Spin-off intended to be tax-free for U.S. federal income tax purposes, but risks include failure to qualify for tax-free treatment.
• · George R. Oliver and Mark Eubanks will join Flex Board effective September 24, 2026; Brian Yoor and David Johnson expected to join post-separation.
• · Flex plans to appoint a Lead Independent Director of the Flex Board prior to separation.
• · Axiom has filed a Form 10 with the SEC regarding its common stock.
• · Risks include potential adverse effects on customer, supplier, and employee relationships, and uncertainty about financial performance of both companies post-spin-off.

15-09-2026

Axon Enterprise announced a proposed public offering of $1.0 billion aggregate principal amount of 0% convertible senior notes due 2031, with an underwriter option for an additional $150 million to cover over-allotments. The notes are senior, unsecured, and bear no regular interest. Proceeds will partially fund capped call transactions to reduce dilution, with the remainder used for general corporate purposes including potential acquisitions. The offering is led by Goldman Sachs, Morgan Stanley, J.P. Morgan, RBC Capital Markets, and Citigroup.

• · The notes mature on September 15, 2031, unless earlier converted, redeemed, or repurchased.
• · Noteholders may require repurchase upon a fundamental change at 100% of principal plus accrued special interest.
• · Axon may redeem notes on or after September 20, 2029 if stock price is at least 130% of conversion price for 20 trading days in a 30-day period.
• · A cleanup redemption is allowed if less than 10% of the initial principal amount remains outstanding.
• · Capped call transactions are expected to reduce dilution upon conversion and offset potential cash payments in excess of principal.
• · Option counterparties may engage in derivative transactions that could affect the market price of Axon's common stock or the notes.

15-09-2026

Lindblad Expeditions Holdings, Inc. (LIND) acquired a 60% majority stake in White Desert and Echo Charlie for an aggregate cash purchase price of approximately $61 million, plus approximately $6 million for cash on the balance sheet. The company also raised its full-year 2026 guidance, projecting tour revenues of $850-$880 million and Adjusted EBITDA of $140-$148 million, reflecting both the acquisitions and continued strong underlying business momentum. Patrick Woodhead, founder of White Desert, will serve as Chairman of White Desert and CEO of Echo Charlie, while also joining Lindblad as Strategic Innovation Advisor.

• · The transaction is the largest in Lindblad's history.
• · White Desert was founded in 2005 by record-breaking polar explorer Patrick Woodhead.
• · Echo Charlie operates a fully restored DC-3 aircraft carrying 12 guests per journey.
• · White Desert employs over 150 staff from 18 nationalities.
• · Baird served as exclusive financial advisor to White Desert and Echo Charlie.
• · White Desert and Echo Charlie will continue to operate as stand-alone offerings, preserving founder-led vision.
• · Full-year 2026 income before income taxes guidance is $4M to $27M, with depreciation and amortization of $76M to $71M, interest expense net of $43M to $41M, stock-based compensation of $11M to $8M, and other adjustments of $6M to $1M.

15-09-2026

Blue Owl Technology Finance Corp. (OTF), as equityholder and services provider, entered into Amendment No. 1 to its Loan Financing and Servicing Agreement with Athena Funding III LLC, Deutsche Bank AG New York Branch, and First-Citizens Bank & Trust Company, dated September 11, 2026. The amendment modifies the original May 21, 2026 agreement, with specific changes detailed in appendices, and was executed under standard conditions including legal opinions and fee payments. No financial terms or quantitative changes were disclosed in the filing.

• · The amendment was executed on September 11, 2026, and filed on September 15, 2026.
• · The original Loan Financing and Servicing Agreement was dated May 21, 2026.
• · The amendment was conditioned on receipt of a legal opinion from Latham & Watkins LLP and payment of all fees due to lenders.
• · The amendment ratifies the existing liens and security interests under the Loan Agreement as valid, subsisting, and first priority.
• · The filing does not disclose any new financial commitments, changes to facility size, or material financial terms.

15-09-2026

AEye, Inc. entered into a new At Market Issuance Sales Agreement with A.G.P./Alliance Global Partners on September 15, 2026, allowing the company to sell up to $50,000,000 of its common stock in at-the-market offerings. Concurrently, the company terminated its prior sales agreement with A.G.P. dated September 12, 2024, without incurring any early termination penalties. The proceeds will be used for working capital and general corporate purposes, including R&D and expansion into aerospace, defense, and infrastructure markets.

• · The new Sales Agreement has a 36-month term, expiring on the anniversary of the prospectus supplement filing, upon sale of all Placement Shares, or upon termination with 30 days' notice.
• · The company is not obligated to sell any shares under the new agreement and may suspend sales at any time.
• · Craig-Hallum is acting as financial advisor and will receive advisory fees of up to 1.0% of gross proceeds from each sale.
• · The prior sales agreement was terminated effective September 15, 2026, with no early termination penalties.

15-09-2026

iPower Inc. completed an additional optional closing under its existing securities purchase agreement with an institutional investor on September 15, 2026, issuing $3,000,000 in aggregate principal amount of Series A senior secured convertible notes. The company received net proceeds of approximately $2,820,000 before fees and expenses, with the notes having a fixed conversion price of $3.156 per share. To date, iPower has sold a total of $15,184,024 in Series A notes under the facility, with $15,000,000 remaining available for issuance, though $9,084,580 of the notes have already been converted into common stock.

• · The notes were issued under an exemption from registration in accordance with Regulation D of the Securities Act.
• · The fixed conversion price is $3.156 per share, which is 120% of the Nasdaq closing price on September 15, 2026.
• · The consideration was paid at $940 for each $1,000 of principal amount, reflecting a 6% original issue discount.
• · Digital Offering acted as placement agent and received a 6% cash fee.
• · The company is an emerging growth company and has elected not to use the extended transition period for complying with new financial accounting standards.

15-09-2026

Sadot Group Inc. filed an 8-K on September 15, 2026, reporting multiple material events including entry into a material definitive agreement (Item 1.01), departure/appointment of officers (Item 5.02), amendments to articles/bylaws (Item 5.03), submission of matters to a vote of security holders (Item 5.07), and financial exhibits (Item 9.01). The filing is multi-item and mandatory, but specific financial details, transaction values, and officer names are NOT_DISCLOSED in the provided summary. The filing indicates significant corporate governance and strategic changes, but without quantitative data, the materiality and market impact cannot be fully assessed.

• · Filing date: 2026-09-15
• · Accession number: 0001731122-26-001243
• · Filing size: 9 MB
• · Multiple items reported: 1.01, 5.02, 5.03, 5.07, 9.01
• · Sector: not specified

15-09-2026

FatPipe, Inc. (NASDAQ: FATN) announced the appointment of Kanishka Ragula as Chief Financial Officer, effective September 11, 2026. Ragula, who previously served as Director of Finance at FatPipe and worked in J.P. Morgan's Technology Investment Banking group, brings M&A, capital markets, and technology experience. Eric Sherb will continue to advise the company in a consulting capacity to support the transition.

• · Kanishka Ragula graduated Summa Cum Laude from the University of Pennsylvania's Jerome Fisher Program in Management & Technology (M&T), earning a BS in Economics from Wharton and a BS in Engineering in Computer and Information Science from Penn Engineering.
• · Ragula held FINRA Series 79 and Series 63 registrations and completed the Securities Industry Essentials examination.
• · Ragula's capital markets experience included StubHub's IPO preparations (J.P. Morgan as Lead Left Bookrunner) and PagerDuty's $350 million convertible senior notes placement.
• · Ragula previously served as Director of Finance at FatPipe, involved in financial operations, strategic planning, investor activities, and growth initiatives.
• · Eric Sherb will continue to advise FatPipe in a consulting capacity to support an orderly transition.

15-09-2026

On September 9, 2026, Anantha Ramamurti resigned from the board of directors of GSR IV Acquisition Corp., effective immediately, but will remain as President and Chief Financial Officer. The departure is a routine board change for a blank-check company, with no financial impact disclosed.

• · Mr. Ramamurti's resignation was effective September 9, 2026, and he remains President and CFO.
• · The company is an emerging growth company and a shell company (blank check).
• · Securities traded on NASDAQ: Units (GSRFU), Class A ordinary shares (GSRF), Rights (GSRFR).

15-09-2026

Iridium Communications Inc. entered into a Fourth Amendment to its Credit Agreement to facilitate its pending acquisition by Rocket Lab Corporation. The amendment ensures the transaction does not trigger a change of control under the credit facility, allows existing term loans to remain outstanding post-closing, and introduces higher interest rates and fees effective after the merger closes. The definitive proxy statement/prospectus was filed on August 26, 2026, and Iridium stockholders are being solicited for approval.

• · The Fourth Amendment was entered into on September 15, 2026.
• · The amendment provides for a downstream guarantee of credit obligations by Rocket Lab USA, Inc. at closing.
• · The interest rate increase and new fees (prepayment premium and exit fee) take effect only after the transaction closes.
• · The definitive proxy statement/prospectus was declared effective by the SEC on August 26, 2026.
• · Stockholder solicitation began on or about August 26, 2026.

15-09-2026

Hyperliquid Strategies Inc entered into Amendment No. 3 to its ChEF Purchase Agreement with Chardan Capital Markets LLC on September 14, 2026. The amendment revises the VWAP Purchase Price definitions after the first 160,000,000 shares of common stock are sold, setting the purchase price at 98.5% of VWAP for VWAP/Intraday VWAP Purchases and 97.0% for Off-Hour VWAP Purchases. This supersedes Amendment No. 2, which was also dated September 14, 2026.

• · The amendment supersedes Amendment No. 2, which was also dated September 14, 2026.
• · The original Purchase Agreement was dated October 22, 2025, and previously amended on September 1, 2026 and September 14, 2026.

15-09-2026

The Trade Desk granted CEO Jeff Green a performance-based stock option to purchase up to 7,000,000 shares at $14.97 per share, with vesting tied to stock price targets ranging from $18.00 to $105.00 per share over a ten-year term. The option is designed to align CEO incentives with long-term stockholder value, with vesting contingent on 20-consecutive-trading-day average closing prices. No financial results or period-over-period comparisons are included in this filing.

• · The Performance Option has a ten-year term and vests in seven tranches based on stock price achievements.
• · Vesting requires Mr. Green's continued service as CEO or other service deemed sufficient by the Board.
• · In a Change in Control, unvested shares may vest based on per-share consideration with linear interpolation; remaining unvested shares are forfeited.
• · In a Qualifying Termination, vesting continues for nine months post-termination; unvested shares are then forfeited.
• · The Board retains discretion to make additional equity grants to Mr. Green during the option's pendency.
• · A clawback provision applies in case of a material financial restatement due to Mr. Green's gross misconduct.

15-09-2026

CaliberCos Inc. (CWD) announced a $3.4M refinancing of corporate notes and secured the right to retire an additional $9.1M at an 80% discount, addressing ~54% of the $21.1M in notes maturing within twelve months. The refinancing includes exchanging ~$2.9M into new 5-year amortizing notes at 6% interest (down from ~11.5% weighted average) and converting ~$0.6M into perpetual convertible preferred stock, reducing annual interest expense by ~$0.2M. However, the company has not yet raised all the cash required to exercise the discounted payoff option, and the $38M in capital invested alongside investors is illiquid, creating execution risk.

• · The new 5-year amortizing notes carry a 6% interest rate vs. the prior weighted average of ~11.5%.
• · The Series AAA Convertible Preferred Stock carries a 12% non-cumulative dividend, payable quarterly in cash or shares at the company's option.
• · Conversion of $0.6M into preferred stock reduces debt by $0.6M and increases equity by the same amount.
• · The discounted payoff option requires 80% of unreturned capital (~$7.3M cash) to retire $9.1M in notes.
• · Caliber has not yet raised all the cash required to exercise the discounted payoff option.
• · The $38M of capital invested alongside investors is illiquid and cannot be withdrawn on demand.
• · Estimated carried interest of $95.7M is not a receivable and may never be realized.
• · If the discounted payoff is exercised in full, the expected gain on extinguishment of debt would be ~$1.8M.
• · The company's Managed Assets total $2.6B.

15-09-2026

Boxabl Inc. (BXBL) announced the departure of CFO Martin Costas effective September 11, 2026, and the appointment of Larry King as CFO (effective September 14, 2026) and Heather Clayton as CAO (effective September 28, 2026). King, a CPA with over 35 years of experience, will receive an annual salary of $300,000, while Clayton, formerly CFO of the Vegas Golden Knights, will receive $250,000. The changes are part of a routine executive reshuffle with no reported disagreements or material conflicts.

• · Larry King, 65, is a CPA with over 35 years of experience and over 30 years of SEC reporting experience.
• · Heather Clayton will begin as CAO on September 28, 2026.
• · Both new officers will participate in the 2026 Omnibus Plan.
• · No family relationships or material transactions involving the new officers were disclosed.

15-09-2026

Calumet, Inc. entered into an Eleventh Amendment to its Third Amended and Restated Credit Agreement, increasing its Revolver Commitments by $100,000,000 to a total of $600,000,000, effective September 11, 2026. The amendment also maintains the Swingline Sublimit at $42,500,000 and includes standard conditions precedent, representations, and warranties. No defaults or events of default are stated to exist before or after the amendment.

• · The amendment is dated September 11, 2026, and filed on September 15, 2026.
• · The Revolver Commitments increase is effective upon the Eleventh Amendment Effective Date, with conditions including receipt of executed counterparts, resolutions, KYC documentation, and payment of fees.
• · The Swingline Sublimit remains at $42,500,000 unless otherwise agreed or if aggregate Commitments are increased after the effective date.
• · The amendment includes a provision that the Revolver Commitments will automatically reduce to $525,000,000 upon the Money Center Bank Inventory Structuring Commencement Date.

15-09-2026

On September 9, 2026, three directors—Mark Grober, Sarfraz Hajee, and Matthew L. Schissler—resigned from the Board of IIOT-OXYS, Inc., effective immediately. The resignations were not due to any disagreement with the company's operations, policies, or practices. The filing does not disclose any replacements or the resulting board size, leaving the company with only Clifford L. Emmons as CEO and likely sole remaining director.

• · The resignations were effective immediately on September 9, 2026.
• · No replacements were announced or appointed in the filing.
• · The company's board is now likely reduced to one member (Clifford L. Emmons).
• · The company is listed on the OTC markets (no exchange trading symbol provided).

15-09-2026

Hubilu Venture Corporation, through its subsidiary Elata Investments LLC, acquired a vacant real property at 5717 4th Ave in Los Angeles for $600,000, closing on September 11, 2026. The acquisition was financed with a $550,000 first-position loan from Orchard Funding at 9.990% interest, requiring monthly interest-only payments of $4,578.75 until November 26, 2027, when the full principal and interest become due. The property was vacant at purchase, presenting both an opportunity for redevelopment or leasing and the risk of no immediate income to service the debt.

• · The property at 5717 4th Ave in Los Angeles was vacant at the time of purchase.
• · The loan from Orchard Funding is interest-only until November 26, 2027, at which point the full principal and accrued interest are due.
• · The acquisition closed on September 11, 2026, but the purchase agreement was entered on September 3, 2026.

15-09-2026

FibroBiologics, Inc. entered into a securities purchase agreement with its Chief Scientific Officer, Hamid Khoja, Ph.D., for a private placement of 298,508 shares of common stock and accompanying warrants at $1.675 per unit, raising approximately $0.5 million in gross proceeds. The warrants have a five-year term and an exercise price of $1.55 per share. The offering closed on the same day, with net proceeds intended for general corporate purposes and working capital.

• · The offering price of $1.675 per unit was based on the September 14, 2026 closing bid price of $1.55 plus $0.125 per warrant.
• · The warrants are exercisable immediately upon issuance and expire five years from the date of issuance.
• · The warrants include cashless exercise provisions and standard anti-dilution adjustments.
• · The securities were offered and sold under the exemption provided in Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D.

15-09-2026

LB Pharmaceuticals appointed Susan G. Kozauer, M.D. as Chief Medical Officer, effective September 15, 2026. Dr. Kozauer brings over two decades of neuropsychiatric drug development experience, including leadership roles at Intra-Cellular Therapies and Centessa Pharmaceuticals, and will oversee clinical development of lead candidate LB-102. The company is advancing toward topline results from its Phase 3 NOVA-2 trial in schizophrenia in the first half of 2027, but faces significant risks including limited operating history, reliance on LB-102, and potential delays in clinical trials.

• · Dr. Kozauer previously served as Senior Vice President, Head of Clinical Development at Centessa Pharmaceuticals, a wholly owned subsidiary of Eli Lilly and Company.
• · At Intra-Cellular Therapies, she oversaw U.S. and global late-stage development of CAPLYTA in adult and pediatric indications, leading to multiple FDA approvals.
• · LB-102 is positioned as a potential first benzamide antipsychotic drug approved for neuropsychiatric disorders in the United States.
• · The company's forward-looking statements highlight risks including limited operating history, historical losses, dependence on LB-102, and potential delays in clinical trials.

15-09-2026

Cheetah Net Supply Chain Service Inc. (Nasdaq CM: CTNT) announced on September 15, 2026 that it has entered into a Membership Interest Purchase Agreement to acquire 100% of JoyPak Supply LLC, a Nevada company selling consumer, beauty, personal care and everyday-use products, for $788,000 in cash. The acquisition is expected to close within four weeks, subject to due diligence and closing conditions, and will make JoyPak a wholly owned subsidiary. The deal is intended to diversify Cheetah's product mix and support its long-term growth strategy, following its May 2026 acquisition of Super International Trading Limited.

• · Acquisition price of $788,000 is to be paid entirely in cash.
• · Closing expected within four weeks of the agreement execution, subject to due diligence and other closing conditions.
• · JoyPak is a Nevada limited liability company; sellers are a Delaware LLC and a Texas LLC.
• · Cheetah's existing business areas include logistics and warehousing and international trading; it began international trading of large-scale industrial equipment after acquiring Super International Trading Limited in May 2026.
• · The acquisition is expected to enable Cheetah to enter the consumer, beauty, personal care and everyday-use product categories.

15-09-2026

Cushman & Wakefield announced the resignation of Laurida Sayed, SVP, Chief Accounting Officer and Global Corporate Controller, effective September 25, 2026, to pursue a new opportunity. Her resignation is not due to any disagreement with the company. Neil Johnston, the current CFO, will assume the role of principal accounting officer in addition to his existing duties, without additional compensation.

• · Laurida Sayed's resignation is effective September 25, 2026.
• · Neil Johnston will serve as principal accounting officer in addition to his roles as principal financial officer and CFO.
• · Mr. Johnston will not receive additional compensation for the added role.

15-09-2026

Aethlon Medical, Inc. entered into amendments to the executive employment agreements of CEO/CFO James B. Frakes and CMO Steven P. LaRosa, M.D., effective September 11, 2026. The amendments provide for lump-sum severance payments upon a Change in Control if the executive's employment is terminated or resignation is required, with payments made on the first regular payroll date following the release effective date. The amendments do not alter the amount or calculation of severance payments or the eligibility conditions.

• · Amendment No. 2 to Executive Employment Agreement with James B. Frakes, dated September 11, 2026
• · Amendment No. 1 to Executive Employment Agreement with Steven P. LaRosa, M.D., dated September 11, 2026
• · Amendments provide for lump-sum severance payments upon Change in Control, paid on first regular payroll date following release effective date
• · Lump sum payment is fixed and not subject to reduction, termination, forfeiture, recoupment, or repayment
• · Amendments do not change the amount or calculation of severance payments or health care continuation payments
• · Change in Control defined as merger/consolidation/reorganization where prior stockholders own less than 50% of voting power, or sale of all or substantially all assets
• · Amendments governed by California law

15-09-2026

Otis Worldwide announced that CEO Judy Marks will retire in the first half of 2027, with a successor search underway led by Spencer Stuart and a committee of independent directors. Under her leadership, Otis returned $8.4 billion to shareholders and grew its service portfolio by about 25% to 2.5 million units, but the transition introduces leadership uncertainty and forward-looking risks.

• · Marks will continue as CEO through July 31, 2027, or until successor appointed, then serve as senior advisor until July 31, 2027.
• · Successor search will consider both internal and external candidates.
• · Under Marks, Otis acquired non-controlling interests in subsidiaries in Spain, Japan, China, and India, plus multiple local service providers.
• · Otis operates in more than 200 countries and territories.
• · 45,000 of Otis's 72,000 employees are field professionals.
• · Forward-looking risks include economic conditions, indebtedness, product development challenges, personnel retention, and geopolitical conflicts.

15-09-2026

On September 14, 2026, Intrusion Inc. and its President and CEO, Anthony Scott, entered into a Mutual Non-Renewal and Negotiation Agreement, agreeing not to automatically renew his employment agreement upon its expiration on November 15, 2026. Mr. Scott will continue serving as President and CEO under his existing terms during a structured negotiation period for a new agreement. This introduces leadership continuity uncertainty, though no immediate operational disruption is indicated.

• · Employment Agreement dated November 11, 2021 will sunset on November 15, 2026.
• · Negotiation period for a new employment agreement begins after the sunset date.
• · Mr. Scott's base salary, benefits, and customary duties remain unchanged during the negotiation period.
• · Agreement executed on September 14, 2026; filing dated September 15, 2026.

15-09-2026

USA TODAY Co., Inc. (NYSE: TDAY) announced the appointment of Tim Allen, CEO of Babbel, as an independent director to its Board of Directors, effective September 15, 2026. Allen brings extensive experience in digital media, subscription businesses, and AI-driven consumer platforms, which the company expects to support its digital growth strategy. The filing contains no financial metrics or operational performance data.

• · Tim Allen previously served as CEO of Care.com and Ask.com, and held roles at Vimeo including General Manager of Product Management.
• · Allen's appointment is part of the company's focus on expanding digital opportunities and integrating AI to enhance customer engagement.
• · The company's portfolio includes the USA TODAY NETWORK, Newsquest in the UK, and LocaliQ digital marketing solutions.

15-09-2026

Scotts Miracle-Gro announced completion of several capital allocation actions, including the redemption of all $250M of its 5.250% senior notes due 2026 and renewal of its $750M accounts receivable facility through August 2027, while initiating a $500M share repurchase program with $25M executed in August. The company reaffirmed its Fiscal 2026 guidance, which includes U.S. Consumer net sales low single-digit growth, non-GAAP adjusted net income per share of $4.30-$4.45, and free cash flow of $275M, driving leverage to the high 3s.

• · Senior notes redemption completed on September 11, 2026, funded through revolver debt and planned excess free cash flow.
• · Accounts receivable facility maturity extended to August 31, 2027.
• · Fiscal year ends September 30, 2026; full-year results to be announced November 4, 2026.
• · Fiscal 2026 non-GAAP adjusted net income per share from continuing operations expected $4.30 to $4.45.
• · Company deleveraging goal to bring leverage ratio to high 3s with $275M free cash flow.

15-09-2026

Innodata Inc. appointed Admiral Michael S. Rogers, former NSA Director and Commander of U.S. Cyber Command, to its Board of Directors effective immediately. The appointment is intended to guide the company's Federal and AI safety initiatives as it accelerates its Federal practice and develops capabilities for AI system security. This follows recent board appointments of General (Retired) Richard D. Clarke and Daniel H. Callahan, signaling a strategic focus on government and defense-related AI missions.

• · Admiral Rogers served as NSA Director and U.S. Cyber Command Commander from 2014 to 2018.
• · He is the first Information Warfare Community officer to achieve the rank of admiral.
• · He holds a bachelor's degree from Auburn University and a master's degree from the National Defense University.
• · The board also includes General (Retired) Richard D. Clarke, former Commander of U.S. Special Operations Command, and Daniel H. Callahan, a veteran executive from Citigroup, Morgan Stanley, and IBM.
• · Innodata's Federal Practice was announced last Fall.

15-09-2026

Invech Holdings, Inc. (IVHI) filed an 8-K reporting a change in control effective August 10, 2026. Controlling shareholder Stephen Ken Adair sold 88,000,000 common shares and 300,000 Series A Preferred shares to Angel Javier Perez Jimenez for a total of $291,390, making Perez Jimenez the new controlling shareholder. Concurrently, Adair resigned from all officer and director positions, and Perez Jimenez was appointed as President, CEO, CFO, Treasurer, Secretary, and sole Director.

• · No employment agreement or compensatory arrangement was entered into with Mr. Perez Jimenez.
• · Mr. Perez Jimenez is an industrial engineer with experience at Ingeniería Virwatt, C.A. in Caracas, Venezuela since 2021.
• · Mr. Adair's resignation was not due to any disagreement with the company.
• · The purchase price for the common shares was $0.0033 per share, totaling $290,400.
• · The purchase price for the preferred shares was $0.0033 per share, totaling $990.
• · No portion of the purchase price was payable to the company.

15-09-2026

Tri-State Generation & Transmission Association, Inc. disclosed the unexpected passing of Board Director Lucas Bear (representing NRPPD) on September 11, 2026, and the departure of Director Robert Brockman (representing Wheatland) effective September 14, 2026, due to his resignation from Wheatland's board. Both vacancies have not yet been filled, leaving two board seats open. The filing does not contain any financial data or period-over-period comparisons.

• · The passing of Lucas Bear occurred on September 11, 2026.
• · Robert Brockman's departure was triggered by his resignation from Wheatland's board on September 14, 2026, per Tri-State's Bylaws.
• · Neither NRPPD nor Wheatland have identified a replacement director as of the filing date.

15-09-2026

Arcadia Biosciences held its 2026 Annual Meeting on September 10, 2026, with 52.3% of outstanding shares represented. Stockholders approved all seven proposals, including the election of director Gregory D. Waller, the issuance of shares upon exercise of Series A-1 Preferred Investment Options, the new 2026 Omnibus Equity Incentive Plan, a reverse stock split (ratio 1-for-2 to 1-for-10, at Board discretion before June 30, 2027), advisory executive compensation, ratification of Ramirez Jimenez International CPAs as auditor, and a meeting adjournment proposal. Notably, the 2026 Plan and advisory compensation votes received significant opposition (31.4% and 31.1% against, respectively), while the reverse stock split and auditor ratification passed with overwhelming support (88.9% and 96.2% of votes cast).

• · The 2026 Omnibus Equity Incentive Plan replaces the 2015 Plan, which expired in 2025.
• · The reverse stock split ratio ranges from 1-for-2 to 1-for-10, at the Board's discretion, with authorization until June 30, 2027.
• · Proposal II (issuance of shares upon exercise of Series A-1 Preferred Investment Options) passed with 410,749 for, 70,314 against, and 2,127 abstentions.
• · Proposal VII (adjournment) passed with 1,127,238 for, 129,363 against, and 2,712 abstentions.
• · The 2026 Plan and related option agreements are filed as Exhibits 10.1, 10.2, and 10.3.

15-09-2026

Applied Optoelectronics, Inc. (AAOI) subsidiary GLOBAL Technology Inc. entered a 10-year factory premises lease in Ningbo, China, starting September 16, 2026, with an initial annual rent of RMB 6,896,124 (RMB 15/sq m/month on 38,311.8 sq m) and a 3% rent increase every three years. The lease includes a 3-month rent-free renovation period and a RMB 570,000 security deposit. The agreement supports long-term production expansion, but rent escalations and renovation obligations add future cost commitments.

• · Lease term: September 16, 2026 to September 15, 2036
• · Party B must replace two existing transformers (800 kVA and 500 kVA) with a single 1,250 kVA transformer at its own expense
• · Party B bears all water, electricity, and gas charges; electricity account to be transferred to Party B
• · Liquidated damages for late rent: 0.03% of overdue amount per day, capped at 5% of overdue amount
• · Party A must notify Party B at least 60 days in advance if transferring the premises; Party B has right of first refusal
• · Fixed renovations become non-removable upon lease expiration; Party B must dismantle removable improvements carefully

15-09-2026

Redwood Trust priced an upsized $185.0 million offering of 7.00% convertible senior notes due 2030, increased from the originally announced $150.0 million. The company intends to use approximately $129.29 million of the net proceeds to repurchase $123.79 million of its existing 7.75% notes due 2027 and $20.0 million to repurchase 5,509,641 shares of its common stock, with the remainder for general corporate purposes. The offering reflects a refinancing and capital management move, but the high coupon (7.00%) and the use of proceeds for debt buybacks and share repurchases indicate a focus on deleveraging and shareholder returns rather than growth.

• · The conversion price is approximately $4.90 per share, representing a 35% premium over the September 10, 2026 closing price.
• · Holders may convert notes only upon certain events before June 17, 2030; after that date, they may convert at any time until maturity.
• · Redwood has the right to redeem the notes prior to maturity to preserve its REIT status.
• · The offering is expected to close on September 15, 2026.
• · Interest on the notes is payable semi-annually on March 15 and September 15, beginning March 15, 2027.
• · The notes mature on September 15, 2030.

15-09-2026

Tempest Therapeutics entered into a private placement on September 11, 2026, issuing pre-funded warrants and common warrants to an institutional investor, raising approximately $2.5 million in gross proceeds (excluding up to ~$5 million from future warrant exercises). The company also entered into a registration rights agreement and agreed to seek stockholder approval within 90 days for shares issuable upon warrant exercise. Proceeds will be used for working capital and general corporate purposes.

• · Company agreed not to issue or announce issuance of Common Stock or equivalents for 30 days following Effective Date, subject to customary exceptions.
• · Company agreed not to effect a variable rate transaction for 60 days following Effective Date, subject to customary exceptions.
• · Pre-Funded Warrants exercisable immediately after closing; Common Warrants exercisable upon Stockholder Approval Date.
• · Series C Warrants have a term of six years from the later of Stockholder Approval Date and Effectiveness Date.
• · Series D Warrants have a term of three years from the later of Stockholder Approval Date and Effectiveness Date.
• · Registration statement must be filed within 15 calendar days of Registration Rights Agreement, effective within 45 calendar days (or 75 days in case of SEC full review).
• · Private Placement closed on September 15, 2026.
• · Securities sold in reliance on Section 4(a)(2) of the Securities Act and Regulation D.

15-09-2026

Sanmina Corporation announced the appointment of Shanker Trivedi to its board of directors, effective September 14, 2026. Mr. Trivedi brings over 30 years of leadership experience, including a 17-year tenure at NVIDIA where he served as Senior Vice President, Enterprise Business, and led data center and enterprise growth. The appointment is expected to strengthen Sanmina's expertise in AI and data center markets, though no financial metrics or performance changes were disclosed.

• · Mr. Trivedi served as Senior Vice President, Enterprise Business at NVIDIA from April 2016 to April 2026.
• · He led worldwide sales for data center and professional visualization products at NVIDIA.
• · He currently serves on the board of Enphase Energy, Inc.
• · He holds an MBA from the Indian Institute of Management Calcutta and an MS in Mathematics from the Indian Institute of Technology Delhi.

15-09-2026

Ares Capital Corporation issued $750 million of 6.250% senior notes due 2033 under a purchase agreement dated September 8, 2026, with underwriters led by BofA Securities, J.P. Morgan, RBC, SMBC Nikko, and Wells Fargo. Concurrently, the company entered into an interest rate swap with JPMorgan Chase to convert the fixed-rate notes to floating-rate exposure based on three-month SOFR plus 1.85250%, maturing September 15, 2033. The transaction increases the company's debt obligations and introduces floating-rate interest rate risk, though the swap mitigates that risk.

• · The purchase agreement was entered into on September 8, 2026, and the notes were issued under a Seventh Supplemental Indenture dated September 15, 2026.
• · The interest rate swap matures on September 15, 2033, matching the notes' maturity.
• · The notes are governed by an Indenture dated May 13, 2024, with U.S. Bank Trust Company as trustee.
• · Legal opinions were provided by Venable LLP and Kirkland & Ellis LLP.
• · The filing was signed by Scott C. Lem, Chief Financial Officer and Treasurer.

15-09-2026

IR-Med, Inc. appointed Yaniv Cohen as interim Chief Executive Officer effective September 14, 2026. Mr. Cohen, a co-founder and former R&D manager, brings extensive experience in IR spectroscopy and medical devices. No new compensatory arrangements were entered into with Mr. Cohen in connection with this appointment.

• · Yaniv Cohen co-founded IR. Med Ltd in September 2013 and served as R&D manager.
• · He holds a Ph.D. in Informatics and Computer Engineering from National Research University Higher School of Economics (2022).
• · He holds an M.Sc. in Electrical Engineering from Holon Institute of Technology (2007).
• · No transactions requiring disclosure under Item 404(a) of Regulation S-K were identified.

15-09-2026

Walker & Dunlop, Inc. and its subsidiary Walker & Dunlop, LLC entered into Amendment No. 9 to their Master Repurchase Agreement with JPMorgan Chase Bank, N.A., dated September 9, 2026. The amendment modifies certain provisions of the existing repurchase agreement, with specific changes redacted as confidential. The parties reaffirmed their representations and warranties, and the seller and parent waived claims against the buyer, except for gross negligence or willful misconduct. No financial terms were disclosed, and the amendment does not constitute a novation.

• · The amendment is the ninth in a series, with prior amendments dated from August 26, 2019 through September 11, 2025.
• · The amendment includes a waiver and release by the seller and parent of claims against the buyer, excluding gross negligence or willful misconduct.
• · The amendment is governed by New York law and includes consent to jurisdiction in New York courts.
• · Specific amended terms are redacted as confidential under Regulation S-K Item 601(b)(10)(iv).

15-09-2026

Repligen Corporation announced the retirement of Karen A. Dawes from its Board of Directors, effective September 30, 2026, after over twenty years of service. Ms. Dawes stated that her retirement is not due to any disagreement with the company's operations, policies, or procedures, and that she leaves with confidence in the leadership team and Board.

• · Ms. Dawes' retirement is effective September 30, 2026.
• · The departure is not related to any disagreement with Repligen's operations, policies, or procedures.
• · Ms. Dawes noted the completion of a successful CEO transition as a factor in her retirement timing.

15-09-2026

Aligos Therapeutics entered into a First Amendment to its headquarters lease in South San Francisco, extending the term from March 31, 2027 to March 31, 2034, with escalating base rents ranging from $4.650 to $5.716 per rentable square foot per month. The amendment also provides a ten-month rent abatement (April 2027–January 2028), a one-time termination option in 2031 for $2,476,429.22, and a penalty-free termination right if the company leases at least 60,000 rentable square feet elsewhere from the landlord. The lease extension adds long-term occupancy obligations but includes flexibility through termination options.

• · Lease term extended from March 31, 2027 to March 31, 2034 (approximately 7 additional years).
• · Extension option revised from one 8-year option to one 7-year option, exercisable upon written notice.
• · Rent abatement for ten months (April 1, 2027 to January 31, 2028) contingent on no material default.
• · One-time termination option as of March 31, 2031 requires written notice on or before March 31, 2030 and payment of $2,476,429.22.
• · Penalty-free termination right available if the Company and Landlord execute a new lease for at least 60,000 rentable square feet with a term extending beyond the current Lease's latest expiration date.
• · First Amendment will be filed as an exhibit to the Company's Form 10-Q for the quarter ending September 30, 2026.

15-09-2026

Gap Inc. appointed Kirsten Green, Founder and Managing Partner of Forerunner, to its Board of Directors effective September 15, 2026. Green brings over 20 years of venture capital experience and a track record of identifying consumer behavior shifts. The appointment is part of Gap Inc.'s ongoing transformation, including expansion into beauty and accessories, but no financial metrics or performance data were disclosed in the filing.

• · Green founded Forerunner in 2012 and has raised nearly $3 billion from institutional investors.
• · Green has been recognized on the Forbes Midas List for 10 consecutive years, TIME's 100 Most Influential People, Forbes' World's 100 Most Powerful Women, Barron's Most Influential Women in Finance, and The New York Times' Top 20 Venture Capitalists.
• · Gap Inc. is described as the largest specialty apparel company in America with brands Old Navy, Gap, Banana Republic, and Athleta.
• · The company is pursuing expansion into beauty and accessories as part of its transformation.

15-09-2026

Blue Owl Technology Income Corp. entered into a Fourth Amendment to its Senior Secured Credit Agreement dated September 10, 2026, with Sumitomo Mitsui Banking Corporation as Administrative Agent and other lenders. The amendment reduces the initial term loan commitments of certain 'Reducing Lenders' by a total of $25 million, from $1,000,000,000 to $975,000,000, and restates certain schedules. The amendment became effective on September 10, 2026, with no defaults or events of default continuing.

• · The Fourth Amendment is dated September 10, 2026, and the filing was made on September 15, 2026.
• · The amendment includes a reaffirmation of guarantees by subsidiary guarantors and confirms no novation or termination of existing credit obligations.
• · The amendment was executed with electronic signatures permitted and includes customary representations and warranties.
• · The reduction in commitments applies to specific 'Reducing Lenders' listed on Schedule I of the amendment.

15-09-2026

Bar Harbor Bankshares (BHB) announced that John M. Mercier, Executive Vice President and Chief Lending Officer, will retire effective December 31, 2026. He will continue in his role until the retirement date. The filing does not include any financial data or performance metrics.

• · John M. Mercier's retirement is effective December 31, 2026.
• · He will continue serving as Executive Vice President and Chief Lending Officer until the retirement date.

15-09-2026

Ventas, Inc. appointed Laurida Sayed as Senior Vice President, Chief Accounting Officer and Controller, effective October 5, 2026. She will receive an annual base salary of $500,000, a target annual bonus of 60% of base salary, a one-time cash sign-on bonus of $150,000, and a one-time restricted stock unit grant of $350,000 vesting over three years. Robert F. Probst will step down from the interim Chief Accounting Officer role but remain CFO.

• · Laurida Sayed previously served as Chief Accounting Officer of Cushman & Wakefield Ltd. since May 2024, and prior roles included Senior Vice President, Global Corporate Controller and Vice President, Assistant Global Controller & Global Finance Transformation.
• · She holds a Bachelor of Business Administration in Accounting from Grand Valley State University and is a registered CPA.
• · The appointment is effective on or around October 5, 2026.
• · No family relationships with directors or executive officers, and no material interest in any transaction requiring disclosure under Item 404(a).

15-09-2026

Indivior UK Ltd has entered into a Deed of Variation and Termination with Reckitt Benckiser Healthcare (UK) Ltd to terminate their copacker supply agreement (originally dated Dec 2014, amended Mar 2019) earlier than the previously noticed termination date of Dec 31, 2027. The new termination date is Jan 15, 2027, and Indivior will pay Reckitt Benckiser various costs including under-absorption impact, residual depreciation, equipment removal, redundancy, and incentive costs (most amounts redacted). This reflects Indivior's strategic decision to end the manufacturing and supply relationship earlier than planned.

• · The Original Agreement was for manufacture and supply of pharmaceutical products.
• · Notice to terminate the Original Agreement was previously served with effect from Dec 31, 2027.
• · The new Termination Date is Jan 15, 2027.
• · Indivior will pay Reckitt Benckiser for: Under Absorption Impact Cost, Recovery of Asset Investment Cost, Asset Disposal Cost, Redundancy Cost, Incentive Cost, Additional Incentive Cost, and Other Third Party Costs (most amounts redacted).
• · Additional Volume of up to [***] consumer units is requested by Indivior to be manufactured by Dec 18, 2026.
• · Minimum Volume is [***] consumer units.
• · The agreement is governed by English law with exclusive jurisdiction in England and Wales.

15-09-2026

Tenable Holdings, Inc. announced a proposed private placement of $650 million in Convertible Senior Notes due 2031, with an additional option for $65 million. The company plans to use the net proceeds to fund capped call transactions, repurchase up to $200 million of its common stock, repay term loans under its credit facility, and for general corporate purposes. While the offering supports balance sheet management and a share buyback, it introduces potential dilution and market price volatility tied to the notes and hedging activities.

• · The notes will be general senior unsecured obligations with semiannual interest payments.
• · Upon conversion, Tenable will pay cash up to the principal amount and may settle excess in cash, shares, or a combination at its election.
• · Capped call transactions are expected to reduce potential dilution upon conversion, but are subject to a cap.
• · Option counterparties may engage in hedging activities that could affect the market price of Tenable's common stock or the notes.
• · Tenable intends to enter into a new senior secured revolving credit facility after the offering, though terms are not yet assured.
• · The share repurchase of up to $200 million is expected to be at the last reported sale price on the pricing date.

15-09-2026

Dell Technologies' subsidiaries issued $5.0 billion in senior notes across four tranches with maturities from 2029 to 2037, with interest rates ranging from 5.100% to 5.900%. The notes are senior unsecured obligations guaranteed by Dell and its subsidiaries, and proceeds will be used for general corporate purposes. The offering increases Dell's debt obligations, with interest payments commencing in 2027.

• · The notes are senior unsecured obligations, ranking equal with existing and future senior indebtedness and senior to subordinated indebtedness.
• · The notes are guaranteed on a joint and several basis by Dell Technologies Inc., Denali Intermediate Inc., and Dell Inc.
• · The notes are structurally subordinated to all existing and future indebtedness of subsidiaries of the Issuers that do not guarantee the notes.
• · The Indenture contains covenants limiting liens, consolidations, mergers, asset sales, and sale-leaseback transactions.
• · A change of control triggering event allows holders to require repurchase at 101% of principal amount plus accrued interest.
• · The notes were issued under a shelf registration statement on Form S-3ASR (File No. 333-296691).
• · The 2029 Notes mature on September 15, 2029; the 2031 Notes on September 15, 2031; the 2033 Notes on September 15, 2033; and the 2037 Notes on April 1, 2037.

15-09-2026

On September 15, 2026, Kirk Konert resigned from the Board of Directors of BigBear.ai Holdings, Inc., effective immediately. Mr. Konert's resignation was not due to any disagreement with the company regarding its operations, policies, or practices. The company expressed gratitude for his service.

• · Resignation effective immediately on September 15, 2026.
• · No disagreement with company operations, policies, or practices cited.

15-09-2026

GCT Semiconductor Holding, Inc. approved an executive incentive bonus plan for H2 2026, with target bonuses of 25% of base salary for four executives, and increased CFO Edmond Cheng's annual base salary from $304,500 to $330,383 effective October 1, 2026. The plan ties bonuses to revenue and individual KPI goals, but no financial targets were disclosed.

• · The Plan covers the second half of 2026 and applies to all executive officers.
• · Bonus amounts are based on a weighting between Company revenue targets and individual KPI goals.
• · The Plan will be filed as an exhibit to the Q3 2026 Form 10-Q.
• · CFO salary increase is effective October 1, 2026.

15-09-2026

Blue Owl Credit Income Corp. entered into a Registration Rights Agreement with representatives of the initial purchasers, including Goldman Sachs, in connection with the issuance of $700 million aggregate principal amount of 6.250% Notes due 2029. The agreement requires the company to use commercially reasonable efforts to consummate a registered exchange offer within 365 days, or file a shelf registration statement for resales, subject to certain conditions. This filing reflects a standard material agreement for debt securities registration rights.