US Material Events SEC 8-K Filings — September 18, 2026

18-09-2026

Elme Communities (ELME) completed the sale of Riverside Apartments for $250.0 million on September 14, 2026, and used a portion of the proceeds to repay in full and terminate a $520.0 million Term Loan from Goldman Sachs Bank USA. The company is in the process of liquidating its remaining portfolio, having previously sold 19 multifamily assets for $1.606 billion in November 2025, and expects to close the sale of its two remaining properties (3801 Connecticut Avenue and The Kenmore) in late September or early October 2026. While the company is executing its planned liquidation, the forward-looking statements highlight significant risks and uncertainties regarding the timeline, final distributions, and ability to complete the dissolution.

• · The Term Loan was scheduled to mature on November 9, 2026, with a one-year extension option subject to conditions including an extension fee of 0.25% of the outstanding principal and a requirement that no more than $312 million be outstanding on the first day of the extended term.
• · The Term Loan bore interest at a per annum rate equal to the one-month term SOFR (subject to a floor of 3.00%) plus a spread.
• · The sale of Riverside Apartments was to FPA Multifamily, LLC, which had also entered into separate agreements to purchase four other Company properties (Elme Sandy Springs and Elme Marietta sold in February 2026, and two remaining Washington, D.C. properties).
• · The pro forma financial statements reflect the Riverside disposition, the Term Loan repayment, the previously reported Elme Bethesda disposition (August 11, 2026), and the probable dispositions of 3801 Connecticut Avenue and The Kenmore.
• · The company's forward-looking statements caution about risks including the ability to remain listed on the NYSE, conversion to a liquidating trust, voluntary dissolution, and the outcome of potential legal proceedings.

18-09-2026

Credit Acceptance Corporation announced a resolution with the New York Attorney General and 40 other state attorneys general, ending a 2023 litigation and a 2020 multistate investigation without admitting fault. The company will pay $60 million to a consumer relief fund and $15.5 million for investigation costs, plus provide debt relief to certain customers, but stated no additional charges are needed beyond previously accrued amounts. The settlement clarifies regulatory expectations without requiring material changes to operations, allowing management to focus on its long-term strategy.

• · The resolution was reached without any admission of fault or wrongdoing by the Company.
• · The monetary components will not require additional charges beyond amounts previously accrued and disclosed in financial statements.
• · The consent judgments require enhanced consumer-facing disclosures on vehicle pricing and ancillary products, affordability protections, and dealer oversight requirements.
• · The Company believes these requirements are broadly consistent with its existing customer focus and do not fundamentally alter its business model.
• · The settlement covers 41 attorneys general including New York, but excludes several states (e.g., Texas, Pennsylvania are not listed).

18-09-2026

Daktronics held its 2026 Annual Meeting on September 16, 2026, with 93.2% of outstanding shares represented, and all three proposals passed, including the election of two directors and ratification of Deloitte & Touche LLP as auditor. Concurrently, the Board approved a base salary increase to $1,200,000 for Acting CFO Howard Atkins, effective September 27, 2026, along with a one-time RSU grant of $170,000. The RSUs vest pro-rata over three years but accelerate to full vesting upon appointment of a permanent CFO, reflecting the company's interim leadership arrangement.

• · Director election results: Dr. Lance D. Bultena received 37,807,443 for, 746,452 against, 120,869 abstain, 6,321,679 broker non-votes; Dr. José-Marie Griffiths received 36,672,583 for, 1,826,527 against, 175,651 abstain, 6,321,679 broker non-votes.
• · Advisory say-on-pay proposal passed with 35,223,706 for, 3,209,139 against, 241,919 abstain, 6,321,679 broker non-votes.
• · Ratification of Deloitte & Touche LLP as independent auditor for FY2027 passed with 44,023,266 for, 916,770 against, 56,407 abstain.
• · The RSU grant to Howard Atkins will fully vest upon the Board's appointment of a permanent CFO, regardless of the three-year pro-rata schedule.

18-09-2026

BCB Bancorp, Inc. closed an underwritten public offering of 12,650,000 shares at $7.75 per share, including full exercise of the underwriter's over-allotment option, generating aggregate gross proceeds of approximately $98 million. The company intends to use net proceeds for general corporate purposes, including maintaining liquidity, funding working capital, supporting Bank capital in connection with the expected disposition of identified potential problem loans, reducing debt, and maintaining capital and liquidity ratios. The offering was conducted under an effective SEC registration statement, with Piper Sandler & Co. as sole book-running manager.

• · The offering was made under a Form S-3 registration statement (File No. 333-298337) declared effective on August 25, 2026.
• · Net proceeds will support Bank capital in connection with the expected disposition of identified potential problem loans.
• · The company also disclosed a pending sale of its cannabis business and a proposed reincorporation from New Jersey to Delaware as forward-looking items.
• · Risk factors include global tariffs, higher inflation, U.S. military conflict with Iran, and ongoing Middle East conflicts.

18-09-2026

VisionWave Holdings, Inc. entered into an At The Market Issuance Sales Agreement with Aegis Capital Corp. on September 18, 2026, allowing the company to sell up to $30 million of its common stock through an 'at the market' offering. The company will pay a 2.0% commission on gross proceeds and intends to use net proceeds for general corporate and working capital purposes. However, the company is not obligated to sell any shares, and no assurance can be given that any sales will occur, making the impact uncertain.

• · The ATM Agreement was filed as Exhibit 10.1 to the 8-K.
• · The shelf registration statement (File No. 333-297939) was declared effective on September 1, 2026.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.
• · The Agent may sell shares directly on the Nasdaq Global Market, to or through a market maker, or as principal in negotiated transactions.
• · The ATM Agreement may be terminated upon the earlier of sale of all shares or termination as permitted in the agreement.

18-09-2026

RTB Digital, Inc. (RVYL) entered into a ten-year Strategic Platform Agreement with Paradium.AI, Inc. to replace and monetize Paradium's non-content functions, which RTB believes could generate approximately $100 million in annual gross revenue and reach 100 million monthly users. Concurrently, RTB agreed to acquire a ~49.5% minority interest in Paradium for $89,555,638, funded by a $10 million existing deposit, $6 million in RTB common stock, and $73,555,638 in cash at closing. The transactions are subject to conditions including RTB raising the required capital, with closing anticipated in Q4 2026.

• · The Platform Agreement includes a non-compete clause preventing Paradium from providing third-party hosting or competitive services during the term.
• · RTB will have perpetual, irrevocable control over the licensed Paradium Technology and may create modifications, which will be exclusively owned by the creating party.
• · The RTB shares issued to Simplify will include a Seller put option exercisable beginning 120 days after closing, collateralized by RTB's revenue share under the Platform Agreement.
• · RTB expects ROI payback on the minority interest premium within two years from margin on incremental revenue.
• · The parties agreed to share duplicative G&A costs, including senior executive management duties such as accounting, legal, and compliance.

18-09-2026

Welsbach Technology Metals Acquisition Corp. (WTMAU) entered into a Securities Purchase Agreement on September 17, 2026, to issue convertible debentures in an aggregate principal amount of $30,927,835 to accredited investors. The offering is structured in three closings: $22,000,000 at first closing, $2,000,000 upon filing of a resale registration statement, and $6,927,835 upon effectiveness of that registration statement. The debentures are convertible into common stock, subject to Nasdaq's Exchange Cap unless stockholder approval is obtained.

• · The purchase price is 97% of the principal amount (i.e., investors pay $30,000,000 for $30,927,835 principal).
• · The offering is exempt from registration under Section 4(a)(2) and/or Rule 506 of Regulation D.
• · A Registration Rights Agreement and a Global Guaranty from subsidiaries are being executed concurrently.
• · The Company's transfer agent will receive Irrevocable Transfer Agent Instructions.
• · Conversion Shares will be issued without restrictive legends once a registration statement is effective, shares are sold under Rule 144, or legend is not required.
• · The Exchange Cap limits share issuance to comply with Nasdaq rules unless stockholder approval is obtained.

18-09-2026

Adient announced that board member Peter Carlin will step down from the board effective Oct. 1, 2026, and join the company as CFO on Nov. 16, 2026, replacing Mark Oswald who departs the same day. The board will be reduced from eight to seven directors. This is a leadership transition with no financial results or regulatory action.

• · Peter Carlin has served on the board since 2018.
• · Carlin will initially serve as VP, Finance from Oct. 1, 2026, before becoming EVP & CFO on Nov. 16, 2026.
• · Mark Oswald's departure as EVP & CFO is also effective Nov. 16, 2026.
• · The board reduction from eight to seven directors is effective Oct. 1, 2026.

18-09-2026

Pentair plc appointed Louis V. Pinkham as a director and member of the Audit and Finance Committee, effective September 17, 2026. Mr. Pinkham is deemed independent under NYSE standards and will receive standard non-employee director compensation. No financial metrics or period-over-period comparisons are included in this filing.

• · Mr. Pinkham will enter into a Deed of Indemnification with the Company and an Indemnification Agreement with Pentair Management Company, forms filed as Exhibits 10.15 and 10.16 to the June 3, 2014 Form 8-K.
• · The appointment fills a board vacancy and adds a member to the Audit and Finance Committee.

18-09-2026

AUDIOEYE INC. entered into a Fourth Loan Modification Agreement with Western Alliance Bank on September 18, 2026, amending its existing Loan and Security Agreement. The amendment redefines key financial covenants (Adjusted EBIDA and Adjusted EBITDA) with caps on litigation expense add-backs that decrease over time, and permits stock buybacks up to $7M for fiscal years 2025-2027 and $2M annually thereafter. The company paid a $5,000 amendment fee and granted a broad release of claims against the bank.

• · The amendment redefines Adjusted EBIDA and Adjusted EBITDA, adding back litigation expenses not part of ongoing operations (subject to caps) and subtracting capital expenditures, capitalized software expenses, and cash settlements of equity awards.
• · The litigation expense add-back is capped at $5M through Dec 31, 2026, $3M for calendar 2027, and $0 thereafter.
• · Stock buybacks are permitted up to $7M aggregate for fiscal 2025-2027 and $2M per year from fiscal 2028 onward.
• · The amendment includes a release by Borrower of all claims against Western Alliance Bank, including a waiver of California Civil Code Section 1542.
• · The amendment fee is $5,000, and Borrower must also pay Bank's legal fees and expenses.

18-09-2026

Hecla Mining Company entered into a $500 million credit agreement on September 16, 2026, with Bank of America as administrative agent and several other lenders. The agreement establishes revolving credit commitments and includes provisions for letters of credit, swingline loans, and incremental facility loans, with a maturity date subject to extension. The filing details the terms and conditions of the credit facility, including financial covenants, representations, and events of default.

• · The credit agreement includes a $500 million aggregate revolving commitment.
• · The agreement was entered into on September 16, 2026, and filed on September 18, 2026.
• · The facility allows for letters of credit in alternative currencies, including Canadian Dollars.
• · The agreement includes provisions for incremental facility loans and extension of maturity date.
• · Financial covenants are included in Article VII of the agreement.

18-09-2026

Zoomcar Holdings, Inc. completed the sixth closing of its private placement on September 11, 2026, issuing 156 Series A Units at $1,000 per Unit for aggregate gross proceeds of approximately $155,000. The offering, which has a total cap of $5,000,000 (plus an additional $5,000,000 overallotment option), was extended to October 9, 2026. The Units consist of Series A Convertible Preferred Stock (convertible at $0.05 per share) and Series A Warrants (exercise price $0.0625 per share, expiring in five years). ThinkEquity LLC acted as placement agent, receiving a 10% cash fee, a 1% non-accountable expense allowance, and warrants for 312,000 shares of common stock.

• · The offering is being conducted under Section 4(a)(2) of the Securities Act and Rule 506(c) of Regulation D.
• · The Preferred Shares are convertible at an initial conversion price of $0.05 per share, subject to adjustment and price-reset provisions.
• · The Warrants have an exercise price of $0.0625 per share, are exercisable immediately, and expire five years from issuance.
• · The Company agreed to file a registration statement for the resale of underlying shares within 15 calendar days of the Sixth Closing.
• · The Placement Agent received warrants to purchase 312,000 shares of Common Stock (10% of the shares underlying the Warrants sold).
• · The scheduled termination date of the Offering was extended from September 20, 2026 to October 9, 2026.

18-09-2026

Inhibitor Therapeutics held its 2026 Annual Meeting on September 15, 2026, where all six director nominees were elected, the appointment of Cherry Bekaert LLP as auditor was ratified, the 2025 Share Incentive Plan was approved, and executive compensation (say-on-pay) was approved on a non-binding advisory basis. However, the advisory vote on the frequency of future say-on-pay votes showed a strong preference for a 3-year cycle (76,086,572 votes) over a 1-year cycle (22,443,829 votes), indicating shareholder desire for less frequent compensation votes.

• · All six director nominees received over 96.6 million votes for, with Michelle Yanez and Michael Jerman receiving the highest support (98,342,951 votes for each).
• · Broker non-votes totaled 12,986,028 on director election, incentive plan, and say-on-pay proposals.
• · Auditor ratification had no broker non-votes, indicating it was a routine matter.
• · The 2025 Share Incentive Plan passed with 96,249,721 votes for and 3,208,603 against.
• · Say-on-pay was approved with 96,854,767 votes for and 2,605,058 against.
• · The frequency vote showed a strong preference for a 3-year cycle (76,086,572 votes) over 1-year (22,443,829 votes) or 2-year (10,501 votes).

18-09-2026

Pro-Dex, Inc. (PDEX) entered into a Third Amendment to its existing lease for its Irvine, California headquarters and manufacturing facility, extending the lease term to September 30, 2030. The amendment introduces 3.5% annual base rent increases beginning October 1, 2027, with base rent rising from $49,281.75 per month (Oct 2027-Sep 2028) to $50,006.61 in Oct 2028 and $51,791.84 in Oct 2029. The transaction is a routine lease modification with no new financing or material operational changes.

• · Lease term extended to September 30, 2030, with effective date of amendment August 18, 2026.
• · Third Amendment amends the original lease dated August 17, 2007, as previously amended in 2013 and 2017.
• · Base rent for October 1, 2028 through September 30, 2029 is $50,006.61 per month (calculated as $49,281.75 + $1,724.86).
• · Base rent for October 1, 2029 through September 30, 2030 is $51,791.84 per month (calculated as $50,006.61 + $1,785.23).
• · Lease covers approximately 28,180 square feet of office and industrial space.

18-09-2026

Lion Copper Corp. disclosed in an 8-K filing that its Board approved a 50% increase in CEO John Banning's annual base salary from $250,000 to $375,000, retroactive to September 1, 2026. The change, recommended by the Compensation Committee, does not alter other terms of his employment agreement. No other officer changes or financial results were reported.

• · The salary increase was approved on September 14, 2026, and is retroactive to September 1, 2026.
• · The change was recommended by the Compensation Committee and approved by the Board of Directors.
• · No other material terms of Mr. Banning's employment agreement were altered.

18-09-2026

ChampionsGate Acquisition Corp (CHPGR) has entered into a definitive business combination agreement with Futuremain Co., Ltd., a Korean engineering and IT company specializing in machinery safety diagnostics. The transaction involves a series of mergers through newly formed entities (Pubco, Holdco, Merger Sub I, Merger Sub II) that will result in Futuremain becoming a wholly-owned subsidiary of the combined public company. The total closing consideration is $80,000,000, to be paid in Pubco shares valued at $10.00 per share.

• · The transaction is structured as a two-step merger: first, Merger Sub I merges into Holdco, then Merger Sub II merges into Purchaser (ChampionsGate).
• · The agreement is intended to qualify as a tax-deferred exchange under Section 351 of the U.S. Internal Revenue Code and as a reorganization under Section 368(a)(1).
• · For Korean tax purposes, the transaction is intended to qualify for tax deferral under Article 38, Paragraph 1 of the Act on Restriction on Special Cases Concerning Taxation.
• · Futuremain is headquartered in Suwon-si, Republic of Korea, and its main offerings include machinery diagnostics, vibration analysis, noise assessment, and structural analysis.
• · The agreement was signed on September 11, 2026, and filed on September 18, 2026.

18-09-2026

Constellation Brands, Inc. entered into a $300 million delayed draw term loan credit agreement on September 18, 2026, with Manufacturers and Traders Trust Company as administrative agent. The proceeds are intended for general corporate purposes, including repayment of indebtedness. The credit agreement includes customary covenants and financial maintenance ratios consistent with the company's existing revolving credit facility.

• · The Credit Agreement is a delayed draw term loan available in up to two draws.
• · Commitments under the Credit Agreement terminate on the earliest of: full draw/termination, the second funding date, or June 18, 2027.
• · Term Loans mature two years after the initial borrowing date.
• · The Credit Agreement requires a minimum Consolidated Interest Coverage Ratio of 2.50:1.00 and a maximum Consolidated Net Leverage Ratio of 4.00:1.00 (stepping up to 4.50:1.00 for four quarters following a Material Acquisition).
• · Certain lenders and their affiliates have relationships with Sands family investment vehicles, which are affiliates of the Company.

18-09-2026

Universal Corporation (UVV) terminated J. Patrick O'Keefe, Vice President of Ingredients, without cause effective September 15, 2026, following his earlier notification of intent to retire on July 29, 2026. The company is continuing its search for a successor with the assistance of an executive search firm.

• · Termination was without cause, effective September 15, 2026.
• · Mr. O'Keefe had previously notified the company of his intention to retire on July 29, 2026.
• · The company is using an executive search firm to identify a successor.

18-09-2026

Sixth Street Lending Partners entered into a purchase agreement on September 14, 2026, to issue and sell $750.0 million aggregate principal amount of 6.500% Notes due 2031 in a private offering. The notes will be issued at 98.987% of par, mature on December 15, 2031, and pay semi-annual interest starting December 15, 2026. Proceeds will be used to pay down revolving credit facility and/or subscription facility debt and for general corporate purposes.

• · The offering is expected to close on September 21, 2026, subject to customary closing conditions.
• · Interest on the Notes will be payable semi-annually on June 15 and December 15, commencing December 15, 2026.
• · The Purchase Agreement includes customary representations, warranties, indemnification rights, and termination provisions.
• · The Company will enter into a registration rights agreement with BofA Securities, Inc. on or prior to closing.
• · Certain Initial Purchasers and affiliates have engaged or may engage in investment banking and advisory roles with the Company.

18-09-2026

BioStem Technologies (BSEM) announced a $40 million Committed Equity Facility (CEF) with Roth Principal Investments, LLC, providing the company with discretionary access to capital through the issuance of common stock. The facility is subject to a 19.99% exchange cap under Nasdaq rules unless shareholder approval is obtained or a minimum price threshold is met. Proceeds are intended for working capital and general corporate purposes, but the company is under no obligation to draw the full amount, and the facility's availability depends on the effectiveness of a related registration statement.

• · The CEF is a private placement subject to the filing and effectiveness of a resale registration statement with the SEC.
• · BioStem may not issue shares exceeding 19.99% of outstanding shares without shareholder approval or meeting a minimum price under Nasdaq rules.
• · The company is under no obligation to utilize the full $40 million available under the CEF.
• · BioStem's quality management system is accredited by the American Association of Tissue Banks (AATB).

18-09-2026

Liberty Energy Inc. filed an 8-K on September 18, 2026, to disclose additional details about a previously reported $493.2 million equipment supply contract with Northeast-Western Energy Systems USA LLC (NES-WES) for power generation equipment, including engines and balance of plant equipment, for data center and distributed power projects. The contract, dated February 13, 2026, and amended on May 27, 2026, involves delivery milestones and performance testing scheduled for 2028 and 2029. The filing clarifies that no new capital commitments are being made, as the $1.1 billion in total remaining commitments as of June 30, 2026, already included this contract.

• · The NES-WES Contract includes amounts for tariffs and transportation costs, subject to adjustment based on actual costs incurred and settled at the final payment milestone.
• · Delivery milestones, performance testing, and takeover of the Equipment are scheduled to occur in 2028 and 2029.
• · The Purchaser may terminate the NES-WES Contract for convenience at any time, subject to payment of a termination charge.
• · NES-WES may suspend performance and terminate the contract for the Purchaser's failure to make required payments, following notice and a cure period.
• · The contract provides limits on each party's total liability and excludes indirect, special, punitive, incidental, or consequential damages.
• · NES-WES is subject to paying liquidated damages under certain conditions for failure to achieve delivery milestones and performance guarantees.

18-09-2026

SOBR Safe, Inc. and its merger subsidiary mutually terminated their April 24, 2026 merger agreement with Clean World Ventures, Inc. and its principal, Roy DiBenerdini, effective September 17, 2026. The termination releases all parties from claims related to the merger, except for fraud claims, and cancels all ancillary agreements, including lock-up, voting, and non-compete provisions. No financial terms were disclosed, and the company must file a Form 8-K within four business days.

• · The merger agreement was originally dated April 24, 2026.
• · The termination is effective immediately as of September 17, 2026.
• · The release excludes claims based on fraud, and the parties retain rights under the termination agreement and the Non-Disclosure Agreement.
• · The company must file a Form 8-K no later than four business days after the termination date.
• · No party has filed or will file any certificate of merger, and the merger will not proceed.

18-09-2026

La Rosa Holdings Corp. dismissed its independent registered public accounting firm, CBIZ CPAs P.C., effective September 16, 2026, as disclosed in a Form 8-K filed September 18, 2026. The dismissal was not due to any disagreements or reportable events, except for previously disclosed material weaknesses in internal control over financial reporting, including issues related to ASC 606 revenue recognition and restatement of prior financials. CBIZ CPAs' audit report for fiscal year 2025 was unqualified, and the company confirmed no disagreements on accounting principles or practices.

• · CBIZ CPAs was appointed as the independent registered public accounting firm effective April 29, 2025, following Marcum LLP's resignation.
• · The dismissal was effective September 16, 2026, and the audit committee approved the change.
• · Material weaknesses were reported in the Company's internal control over financial reporting as of March 31, 2025 (Form 10-Q) and December 31, 2025 (Form 10-K), including issues with ASC 606 revenue recognition and restatement of consolidated financial statements.
• · CBIZ CPAs' letter to the SEC, dated September 18, 2026, is attached as Exhibit 16.1.
• · The Company is an emerging growth company and has elected not to use the extended transition period for complying with new or revised financial accounting standards.

18-09-2026

Adial Pharmaceuticals held its 2026 Annual Meeting on September 17, 2026, where stockholders approved eight of twelve proposals, including the election of directors, ratification of auditors, an increase in authorized shares from 100M to 500M, and equity plan amendments. However, the meeting was adjourned with respect to Proposals 3, 4, 5, and 6 because Nasdaq conditional approval is still pending, and the reconvened meeting is scheduled for October 1, 2026. Notably, the elected directors (Cary J. Claiborne and Robertson H. Gilliland) are expected to resign shortly after all proposals are approved.

• · The meeting was adjourned solely with respect to Proposals 3, 4, 5, and 6 to allow additional time for Nasdaq conditional approval.
• · The adjourned meeting will reconvene on October 1, 2026 at 8:30 a.m. Eastern Time at 650 Peter Jefferson Parkway, Suite 230, Charlottesville, Virginia 22911.
• · The record date for the adjourned meeting remains August 17, 2026.
• · Stockholders who already voted on Proposals 3-6 do not need to take further action unless they wish to change their vote.
• · Proposal 7 (increase authorized shares from 100M to 500M) passed with 1,239,968 votes for, 37,210 against, and 1,499 abstentions.
• · Proposal 8 (2025 Warrant Exercise) passed with 825,651 votes for, 9,086 against, and 1,100 abstentions, plus 442,840 broker non-votes.
• · Proposal 9 (2017 Plan Amendment) passed with 828,388 votes for, 6,378 against, and 1,071 abstentions, plus 442,840 broker non-votes.
• · Proposal 10 (2026 Plan) passed with 821,237 votes for, 13,510 against, and 1,090 abstentions, plus 442,840 broker non-votes.
• · Proposal 11 (2026 ESPP) passed with 824,241 votes for, 10,495 against, and 1,101 abstentions, plus 442,840 broker non-votes.
• · Proposal 12 (Adjournment) passed with 1,246,908 votes for, 30,228 against, and 1,541 abstentions.
• · The 2017 Plan Amendment increased the share reserve from 200,000 to 225,666 shares.

18-09-2026

Okta announced the appointment of Helen Riley, CFO and COO of X (The Moonshot Factory), to its board of directors, effective September 18, 2026. Concurrently, Emilie Choi stepped down from the board on September 14, 2026. The changes reflect Okta's focus on securing AI, but the departure of a board member may signal a transition in governance.

• · Helen Riley has served as CFO and COO at X since 2023, previously VP and CFO from 2015.
• · Riley previously served on the boards of Eventbrite (July 2018 - April 2026) and Marqeta (May 2020 - June 2025).
• · Riley holds a BA and MA from the University of Oxford and an MBA from Harvard Business School.
• · Emilie Choi's departure was effective September 14, 2026.

18-09-2026

Flux Power Holdings, Inc. entered into Amendment No. 7 to its Loan and Security Agreement with Gibraltar Business Capital, LLC on September 17, 2026. The amendment requires the company to raise at least $4.0 million in net equity proceeds within 50 days and imposes new budgeting and reporting covenants, with material deviations constituting an immediate event of default. However, the company remains in default under the loan agreement, and GBC has reserved the right to discontinue access to the revolving credit facility, declare all obligations immediately due, or exercise other remedies at any time.

• · The company remains in default under the Loan and Security Agreement despite the amendment.
• · GBC has reserved the right to discontinue access to the revolving credit facility at any time.
• · GBC may declare all obligations immediately due and payable or exercise other secured party remedies.
• · The EBITDA minimum financial covenant is to be amended within 90 days of the Effective Date.

18-09-2026

Farmers National Banc Corp. announced the departure of Myke Matuszak, Senior Executive Vice President and Chief Operating Officer, effective October 15, 2026. The separation was by mutual agreement. No financial terms or replacement details were disclosed.

• · Departure effective date: October 15, 2026
• · Separation was by mutual agreement
• · No successor or interim COO named in the filing
• · No severance or compensation details disclosed

18-09-2026

Innovative Food Holdings Inc. (IVFH) entered into amended employment agreements with CEO Gary Schubert and executive Argie Liarakos, converting their performance-based equity grants of 1,350,000 and 150,000 shares respectively into time-based grants with accelerated vesting upon change of control or certain terminations. The company also appointed Erik Saterbo as CFO with a $225,000 base salary, 12% annual incentive, and a time-based equity grant of 150,000 shares. No prior-period financial comparisons are available in this filing.

• · Erik Saterbo, age 41, is a licensed CPA in Georgia with a bachelor's and master's in Accounting from Georgia Southern University.
• · Saterbo's employment agreement has a fixed term ending September 14, 2029, unless extended by mutual agreement.
• · All three equity grants accelerate upon change of control, termination without cause, or resignation for good reason.
• · No family relationships exist between Saterbo and any director or executive officer of the company.

18-09-2026

First Carolina Financial Services, Inc. (NYSE: FCBM) announced the retirement of Steven Deaton, CFO and Chief Risk Officer, effective January 1, 2027. The press release highlights his contributions during periods of expansion, the acquisition of BM Technologies, and the recent IPO, but does not name a successor or provide any financial impact or performance metrics.

• · No successor has been named for the CFO/CRO role.
• · The retirement is effective January 1, 2027, providing a transition period of over three months.
• · Deaton held multiple senior roles including President, CEO, CFO, Chief Credit Officer, and Chief Risk Officer across various institutions.

18-09-2026

On September 17, 2026, Jeffrey A. Wilkinson resigned from the Board of Directors of Third Coast Bancshares, Inc. (TCBX), effective immediately. The resignation was not due to any disagreement with the company regarding its operations, policies, or practices. The departure does not involve any financial metrics or performance changes.

• · Resignation effective September 17, 2026.
• · No disagreement with the company's operations, policies, or practices was cited.

18-09-2026

HF Foods Group Inc. announced the termination of its At-The-Market (ATM) equity offering program and the related Sales Agreement with D.A. Davidson & Co. and Roth Capital Partners, LLC, effective September 24, 2026. The program, established on September 25, 2025, allowed the company to sell shares for aggregate gross proceeds of up to $100 million. The termination is a routine corporate action and does not indicate any negative performance or regulatory action.

• · The Sales Agreement was originally dated September 25, 2025.
• · The termination is effective as of September 24, 2026.
• · The company did not disclose any shares sold under the program or reasons for termination.

18-09-2026

On September 18, 2026, David Hytha, the Secretary, Treasurer and Chief Financial Officer of C1 Fund Inc., disclosed his intent to retire effective December 31, 2026. The company plans to identify a replacement before his retirement date. No financial figures or performance metrics were disclosed in this filing.

• · David Hytha holds the combined roles of Secretary, Treasurer and CFO.
• · The retirement is effective December 31, 2026, providing a transition period of over three months.
• · The filing was signed by David Hytha himself in his capacity as Secretary, Treasurer and CFO.

18-09-2026

On September 16, 2026, the Compensation and Human Resources Committee of Lennox International Inc. approved a new Long-Term Incentive Award Agreement for U.S. employees at the Vice President level and above, under the 2019 Equity and Incentive Compensation Plan. The updated form covers restricted stock units, performance share units, and stock appreciation rights, with revisions to vesting/exercise schedules and retirement eligibility.

• · The Compensation and Human Resources Committee approved the new award agreement on September 16, 2026.
• · The agreement is for U.S. employees at the Vice President level and above.
• · Changes from the previous form include updates to vesting and exercise schedules, retirement eligibility, and other administrative and conforming changes.

18-09-2026

Concentrix Corp announced that EVP of Customer Success Cormac Twomey will step down effective December 31, 2026, and will provide limited transition consulting for 60 days thereafter. The departure is treated as a termination without cause, entitling him to severance under the company's executive severance plan and a 2019 service agreement. No financial terms or replacement were disclosed.

• · Departure effective December 31, 2026
• · Agreement dated September 15, 2026
• · Severance based on Amended and Restated Executive Severance Plan and 2019 Service Agreement
• · No successor or interim replacement named

18-09-2026

Medalist Diversified REIT completed the acquisition of a Caliber Collision Center property in Aubrey, Texas for $5,404,864 on September 17, 2026, after reinstating a previously terminated purchase agreement. The acquisition was funded with cash on hand and structured through a Delaware statutory trust (DST), with plans to offer beneficial interests to accredited investors in a private placement. The filing notes that required financial statements and pro forma financial information will be filed by amendment within 71 days.

• · The Purchase and Sale Agreement was originally entered on July 21, 2026, terminated on August 18, 2026, and reinstated/amended on September 3, 2026.
• · The seller, NPH Ventures, LLC, is unaffiliated with the company.
• · The DST was formed to acquire and hold title to the property; proceeds from the private placement will be used to redeem the company's beneficial interests for cash.
• · Financial statements and pro forma financial information for the acquired business will be filed by amendment no later than 71 days after the initial 8-K filing date.

18-09-2026

IT Tech Packaging, Inc. (ITP) disclosed that its newly appointed independent auditor, HCL, PLLC, resigned on September 16, 2026, just 14 days after being engaged on September 2, 2026, to audit the company's FY2025 financial statements. The company states no disagreements or reportable events occurred during the brief engagement, but it has not yet hired a successor auditor. This sudden resignation raises significant governance and audit risk concerns for investors.

• · HCL was engaged on September 2, 2026, and resigned on September 16, 2026 — a tenure of only 14 days.
• · HCL did not issue any audit report on the company's financial statements.
• · The company has not yet engaged a successor independent registered public accounting firm as of the filing date.
• · The company states it intends to engage a new auditor promptly.
• · No disagreements or reportable events were identified by HCL during its engagement.

18-09-2026

Q/C Technologies appointed Dr. Yossef Ehrlichman as Chief Technology Officer to lead its optical processing unit (OPU) program and overall technology strategy. Dr. Ehrlichman brings 15 years of silicon photonics experience and is a named inventor on key patents central to the company's OPU architecture. The company is pursuing optical computing from two complementary directions: integrated photonics and an optical AI model for image generation.

• · Dr. Ehrlichman joined earlier this year as founding manager of photonic integrated circuit (PIC) development.
• · He is a named inventor on issued U.S. patents covering linearized optical digital-to-analog conversion and multi-electrode micro-ring devices.
• · The company is taking a staged approach with clear milestones for its integrated photonics program.
• · Q/C Technologies seeks to develop proprietary optical processing units with orders of magnitude faster clock speed and bandwidth and vastly improved energy efficiency relative to traditional computing architectures.

18-09-2026

CDT Equity Inc. issued a Senior Secured Convertible Note to J.J. Astor & Co. on September 14, 2026, with a funding amount of $1,575,000 and an original principal amount of $2,126,250, reflecting an original issue discount. The note matures March 1, 2027, and is repayable in 24 weekly installments of $88,593.75, with mandatory prepayments required under the Third Amendment. The note carries significant default provisions, including a Default Amount of 120% of outstanding principal plus 19% default interest, and includes a change of control and bankruptcy event triggers. However, the company faces high-cost financing with a 35% premium over the funding amount, and the note is unregistered, limiting liquidity.

• · The note is unregistered and may not be offered or sold except under an effective registration statement or an available exemption.
• · Mandatory Prepayments are required under the Third Amendment, with 100% of all weekly payments to be made.
• · The note includes a Change of Control Transaction clause triggering acceleration if an acquirer gains over 50% voting power.
• · Bankruptcy Event provisions include a 60-day grace period for dismissal of bankruptcy cases.
• · The note is secured, as indicated by 'Senior Secured' in the title, and includes a Subsidiary Guarantor.

18-09-2026

On September 14, 2026, Paul V. Goode resigned from the Board of Directors of Glucotrack, Inc., effective immediately, citing a potential conflict of interest related to ongoing discussions with subsidiary Lokahi Therapeutics regarding the merger agreement. The company filed the resignation notice as an exhibit and will file any response from Mr. Goode within two business days. No financial impact was disclosed.

• · Resignation effective immediately on September 14, 2026
• · Conflict of interest relates to implementation of duties, rights, and obligations under the merger agreement with Lokahi Therapeutics
• · Company provided Mr. Goode with a copy of disclosures and opportunity to respond; any response will be filed as an exhibit within two business days
• · Exhibit 17.1 contains the resignation notice

18-09-2026

RiverNorth Opportunities Fund, Inc. closed a $75 million private offering of Series B Mandatory Redeemable Preferred Shares (MRPS) due September 18, 2031, rated A1 by Moody's. Net proceeds will be used primarily to refinance existing debt and make new portfolio investments. The Fund had approximately $332.3 million in net assets and 27.4 million common shares outstanding as of August 31, 2026.

• · The MRPS are due September 18, 2031.
• · The Fund is a closed-end fund trading on the NYSE under ticker RIV.
• · RiverNorth Capital Management manages $4.8 billion in assets as of August 31, 2026.
• · The offering is a private placement, not a public offering.

18-09-2026

Smith Micro Software announced that founder Bill Smith has returned as President and CEO, succeeding Tim Huffmyer, who resigned to pursue other opportunities but will remain on the board. Smith, who led the company for over four decades until March 2026, will bring continuity and industry expertise. The outgoing CEO is credited with improving operational efficiency and establishing a leaner foundation for growth, while the company highlights new products, expanding customer relationships, and a healthy pipeline as drivers of optimism.

• · Bill Smith served as chairman, president and CEO from company inception in 1982 until March 2026.
• · Smith has been executive chairman since March 2026.
• · Tim Huffmyer will continue to serve on the board of directors.
• · Smith holds a Bachelor of Arts in Business Administration from Grove City College.

18-09-2026

WhiteHawk Minerals Corp. entered into a Securities Purchase Agreement for a private placement of 2,873,563 shares of Class A common stock at $26.10 per share, expecting aggregate gross proceeds of approximately $75.0 million. The company also entered into a Registration Rights Agreement to register the resale of the shares, with liquidated damages of 1.0% per 30-day period (capped at 5.0%) if filing or effectiveness deadlines are missed. The net proceeds will fund recently announced acquisitions and general corporate purposes. The filing does not disclose any prior-period financial data for comparison, so no period-over-period performance metrics are available.

• · Private placement expected to close on September 21, 2026.
• · Registration statement must be filed no later than 45 days after closing.
• · Effectiveness deadline: earlier of 75th calendar day after filing (if SEC reviews) or 5th business day after SEC notice of no review.
• · Liquidated damages: 1.0% of investor's aggregate purchase price per 30-day period, capped at 5.0%.
• · Placement agents: Raymond James & Associates, Inc. and Stifel, Nicolaus & Company, Incorporated.
• · Exemption from registration under Section 4(a)(2) of Securities Act and Rule 506 of Regulation D.

18-09-2026

AMC Robotics Corporation (Nasdaq: AMCI) announced a $50 million standby equity purchase agreement with an institutional investor, including an immediate $3.88 million loan via convertible promissory notes. The funds are intended to accelerate the buildout and production line commissioning of its robotic manufacturing facility, targeted for completion by November 2026. While the agreement provides flexible, company-friendly capital, it is contingent on SEC effectiveness of a resale registration statement, and the notes carry a potential dilutive conversion feature at a discount to market price.

• · The notes mature one year after issuance and can be repaid by issuing shares at the lower of $4.017 per share or 92% of the lowest daily VWAP over the prior 5 trading days.
• · The company has the right to prepay the notes in cash with a 6% premium.
• · While notes are outstanding, company-initiated advances are generally limited unless certain conditions are met.
• · The investor may, at its sole discretion, require the company to issue and sell common stock up to the outstanding note balance.
• · The agreement is subject to SEC effectiveness of a resale registration statement before any draws can occur.

18-09-2026

Valero Energy Corporation expanded its board to 11 members and elected Matthew Audette as a new director, effective September 17, 2026. Audette will serve on the Audit Committee and received a pro-rata equity grant of 372 stock units and a pro-rata cash retainer of $101,667. The board also approved a modest $10,000 increase to both the annual cash retainer and equity grant components of its non-employee director compensation program, effective 2027.

• · The board increased its size from an undisclosed prior number to 11 members.
• · Matthew Audette's initial term expires at the 2027 annual meeting of stockholders, where he is expected to stand for re-election.
• · The pro-rata equity grant of 372 stock units vests in full on the first anniversary of the grant date.
• · The $10,000 increase to director compensation components was approved by the Human Resources and Compensation Committee and takes effect in 2027.

18-09-2026

EigenQ, Inc. and Silicon Valley Acquisition Corp. (SVAQ) announced a committed financing of approximately $45 million via a convertible note, with $22.5 million funded upfront and the remainder expected at closing of the proposed business combination. The funds will accelerate EigenQ's quantum-safe security commercialization, expand delivery capacity, and support R&D. The business combination, valuing the combined company at an estimated $3 billion enterprise value, is expected to close in Q4 2026, subject to shareholder and regulatory approvals.

• · The business combination has been unanimously approved by the boards of both SVAQ and EigenQ.
• · The proposed business combination is expected to close in Q4 2026, pending shareholder and regulatory approvals.
• · EigenQ's initial commercialization focus is on government, defense, and critical infrastructure markets, with planned expansion into enterprise, AI, financial services, telecom, healthcare, and international markets.
• · The financing is expected to fully fund EigenQ through cash flow breakeven.
• · A draft registration statement on Form S-4 has been submitted to the SEC, with a definitive proxy statement to be mailed to SVAQ shareholders once effective.

18-09-2026

Nauticus Robotics entered into a Fifth Amendment to its Senior Secured Term Loan Agreement, extending the Maturity Date from September 18, 2026 to January 31, 2028, and eliminating alternative maturity triggers. The amendment includes a limited waiver of maturity-related defaults, with no consent, extension, or exit fees payable at the effective date, though exit fees remain due at the new maturity or full repayment. The extension is subject to execution of substantially similar amendments with other lenders and the collateral agent's consent.

• · The amendment waives only Maturity Related Defaults; all other existing or future defaults are not waived.
• · The amendment is a modification, not a novation, refinancing, or repayment of any loan.
• · All liens and security interests under the Security Documents continue to secure the obligations with the same priority.
• · The amendment is governed by New York law.
• · Effectiveness requires execution by the Company, Lender, all Other Lenders, and the Collateral Agent.

18-09-2026

Strawberry Fields REIT, Inc. filed an 8-K on September 18, 2026, reporting the publication of a Shelf Offering Report for the issuance and listing of Series D Bonds and Series 2 Warrants on the Tel Aviv Stock Exchange. The offering is part of a shelf prospectus extended by the Israel Securities Authority until August 4, 2027. As of June 30, 2026, the company had approximately $412.6 million of secured debt outstanding (excluding $34.1 million of Strawberry Ltd's Series C bonds), and the Series D Bonds will be unsecured, ranking on par with other unsecured debt. Risks highlighted include potential inability to service debt, cross-default provisions, and the lack of an established trading market for the securities, which could negatively affect market value.

• · The Shelf Offering Report is pursuant to a shelf prospectus dated August 5, 2024, with validity extended to August 4, 2027.
• · The Series D Bonds will be unsecured and unsubordinated, ranking on par with other unsecured debt, and will be guaranteed by Strawberry Fields REIT, LTD.
• · The company's subsidiaries had $810.2 million of outstanding secured and unsecured debt obligations as of June 30, 2026.
• · The company is prohibited from incurring total borrowings greater than 75% of total assets under its existing credit facility.
• · The securities are a new issuance with no established trading market, and may trade at prices lower than the offering price or exercise price.
• · Management will have discretion over the use of proceeds, and there is no assurance the proceeds will increase the value of the investment.

18-09-2026

American Tower Corporation announced the election of Kristen M. Ludgate to its Board of Directors, effective September 18, 2026. Ms. Ludgate brings extensive experience from HP Inc. and 3M Company in governance, talent strategy, and enterprise transformation. Concurrently, the Board declared a quarterly cash distribution of $1.79 per share, payable on October 20, 2026, to stockholders of record on September 30, 2026.

• · Kristen M. Ludgate most recently served as Chief People Officer of HP Inc. from 2021 to 2025.
• · She spent over 15 years at 3M Company, holding c-suite roles including Executive Vice President and Chief Human Resources Officer.
• · Ms. Ludgate currently chairs the Compensation and Benefits committee at Associated Banc-Corp.
• · The quarterly distribution of $1.79 per share is payable on October 20, 2026, to stockholders of record on September 30, 2026.
• · American Tower's portfolio includes over 148,000 communications sites and U.S. data center facilities.

18-09-2026

Acorn Energy, Inc. held its Annual Meeting of Stockholders on September 16, 2026, where all five director nominees were elected and the 2026 Stock Incentive Plan was approved. Stockholders also ratified the appointment of CBIZ CPAs P.C. as independent auditor and approved, on a non-binding advisory basis, named executive officer compensation. All proposals passed with strong support, though Samuel M. Zentman received a notable 4.4% withhold vote (45,034 votes withheld).

• · Samuel M. Zentman received 45,034 votes withheld (4.4% of votes cast), significantly higher than other director nominees who each had fewer than 2,600 withheld votes.
• · The 2026 Stock Incentive Plan received 91,284 votes against (8.8% of votes cast), the highest opposition among all proposals.
• · Broker non-votes were 832,620 for director elections and most proposals, but zero for auditor ratification (a routine matter).
• · The say-on-pay advisory vote had 76,130 votes against (7.4% of votes cast) and 579 abstentions.
• · All five directors were elected to serve until the 2027 Annual Meeting.

18-09-2026

Faraday Future entered into amendments with an existing investor to reduce its outstanding convertible notes obligations by $5.0 million, using restricted cash held in a DACA account. The remaining balance of approximately $5.88 million will be converted into a non-convertible debt obligation repayable in cash within six months, reducing potential shareholder dilution by about 25.16%. While this action improves the company's capital structure and reduces dilution risk, the company continues to face significant liquidity challenges and acknowledges it currently lacks the ability to pay its outstanding obligations.

• · The company continues to take steps to support its robotics strategy.
• · The company acknowledges it currently lacks the ability to pay its outstanding obligations.
• · The company's ability to continue as a going concern and improve its liquidity and financial position remains uncertain.
• · The company has a history of substantial losses and expects continued losses.