US Material Events SEC 8-K Filings — September 21, 2026

21-09-2026

AIAI Holdings Corp entered into a Common Stock Purchase Agreement with B. Riley Principal Capital II, LLC, giving the company the right (but not obligation) to sell up to $200,000,000 of newly issued Class A common stock over a 36-month period at a 3.0% discount to VWAP. The agreement provides AIAI with a flexible, at-the-market equity financing facility, with proceeds planned for working capital and general corporate purposes. However, the facility is subject to a 19.99% exchange cap (14,125,485 shares) unless the average price per share equals or exceeds $3.33, and the company has no obligation to sell any shares under the agreement.

• · The purchase price for Market Open Purchases and Intraday Purchases is determined by VWAP minus a fixed 3.0% discount.
• · There is no upper limit on the price per share B. Riley could be obligated to pay.
• · B. Riley has agreed not to engage in any short sales or hedging transactions that establish a net short position in AIAI common stock during the term of the agreement.
• · The Exchange Cap of 14,125,485 shares may be exceeded if stockholder approval is obtained or if the average price per share paid by B. Riley equals or exceeds $3.33.
• · The agreement prohibits AIAI from entering into another equity line of credit or at-the-market offering with a third party during the term.
• · The Purchase Agreement terminates automatically upon the earliest of: 36-month anniversary of Commencement Date, full $200M purchase, delisting for one trading day, 30th trading day after an undischarged bankruptcy filing, or appointment of a bankruptcy custodian.
• · AIAI may terminate the agreement at any time after Commencement with 10 trading days' notice at no cost or penalty.

21-09-2026

New Era Energy & Digital, Inc. (Nasdaq: NUAI) announced that its subsidiary, TCDC PowerCo LLC, entered into a 20-year power purchase agreement (PPA) with Luminant ET Services Company LLC, a Vistra affiliate, to supply a minimum of 200 MW and up to 207 MW of power for Phase 1 of its Texas Critical Data Center (TCDC) project. The power will come from Vistra's 1,180-MW natural gas facility in Odessa, Texas, with delivery expected in Q3 2027. Concurrently, New Era and Vistra signed a development framework agreement granting Vistra a 5% non-voting interest in the data center project and rights of first refusal/offer on future developments, which expands the partnership but also introduces execution and financing risks.

• · PPA has automatic one-year renewal periods after the initial 20-year term.
• · Power delivery expected to commence in Q3 2027.
• · Vistra has a right of first refusal on future development opportunities at TCDC and a right of first offer on certain other New Era projects.
• · TCDC is a 493-acre site in the Permian Basin with anticipated capacity scaling to 1.4 GW over time.
• · New Era's strategy includes modular, phased data center deployment with behind-the-meter power and water efficiency.
• · Risks include ability to obtain project financing, credit support, and potential cost increases in power, labor, and construction.

21-09-2026

Quanome Technologies, Inc. (formerly Lakeside Holding Ltd) entered into a Purchase and Sale Agreement with Compal Electronics, Inc. on September 16, 2026, to acquire 32 GPU server units for approximately US$18.8 million. The servers are intended for deployment in the company's artificial intelligence computing infrastructure business. The agreement requires a 20% initial payment and the remaining 80% prior to shipment, with delivery subject to various conditions including supplier performance and regulatory requirements.

• · The company was formerly known as Lakeside Holding Ltd and changed its name on October 4, 2023.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new or revised financial accounting standards.
• · The Purchase Agreement will be filed as an exhibit to the Quarterly Report on Form 10-Q for the quarter ending September 30, 2026.
• · The GPU servers are expected to be delivered to a designated data center location in the United States.
• · The agreement includes customary provisions for delivery, title and risk of loss, inspection and acceptance, warranty coverage, remedies for non-conforming products, and termination and refund rights.

21-09-2026

CVRx, Inc. announced the appointment of John Landry as Chief Financial Officer, succeeding Jared Oasheim, whose resignation was previously disclosed. Mr. Landry brings over two decades of medtech and public company finance experience, having served as CFO of Nyxoah SA and previously at Vapotherm, Inc. He will join the company on October 12, 2026, and assume the CFO role after the filing of the Form 10-Q for the quarter ending September 30, 2026. The outgoing CFO, Jared Oasheim, will remain for a transition period.

• · John Landry currently serves as CFO of Nyxoah SA (Euronext Brussels/Nasdaq: NYXH).
• · He spent 12 years at Vapotherm, Inc., most recently as Senior Vice President and CFO, leading its IPO.
• · Earlier career includes finance leadership roles at Salient Surgical Technologies (acquired by Medtronic in 2011), Bottomline Technologies, Hussey Seating Company, and Coopers & Lybrand.
• · He holds a B.S. in Accountancy from Bentley College and is a CPA (inactive).
• · He serves on the board of Liberate Medical, Inc.
• · Jared Oasheim led CVRx through its IPO and has been with the company since 2015.

21-09-2026

Ethan Allen Interiors Inc. (NYSE: ETD) announced an ongoing formal CEO succession process, with the Board committing to name a new CEO no later than June 30, 2027, when current CEO M. Farooq Kathwari's contract ends. The independent-led search will consider both internal and external candidates, and Kathwari will remain as a non-executive Board member until the 2027 annual meeting. The company reaffirmed its strategic focus on digital transformation, omnichannel retail, and supply chain efficiency, while noting the process is designed to ensure an orderly leadership transition.

• · Kathwari is Ethan Allen's largest shareholder
• · Company manufactures about 75% of its custom-crafted furniture in North American facilities
• · Succession process timeline: CEO announcement by June 30, 2027; Kathwari to step down from Board at 2027 annual meeting
• · 2026 Annual Meeting proxy statement to be filed with SEC; participants include Kathwari, Casar, Sable, Stacom, Tsai, and McNulty
• · 2025 Proxy Statement references: Director Compensation at page 16, Compensation Discussion at page 31, Security Ownership at page 42

21-09-2026

Rainmaker Worldwide Inc. expanded its board from two to three members and appointed Kelly White as a director, Treasurer, Principal Financial Officer, and Principal Accounting Officer, effective September 21, 2026. Concurrently, Michael A. Skinner stepped down as Treasurer but remains President and Principal Executive Officer. Ms. White, who has provided finance and accounting services to the company since 2015, receives no separate compensation for her new roles; however, the company has a related-party convertible promissory note with her company, 2752128 Ontario Ltd., with $163,888.08 in principal and $11,853.82 in accrued interest outstanding.

• · The consulting arrangement with 2752128 Ontario Ltd. was terminated effective April 30, 2026.
• · In connection with the termination, the unvested portion of a stock option award was forfeited and the vested portion was voluntarily surrendered, leaving 2752128 Ontario Ltd. with no further rights under the award.
• · Ms. White holds a Bachelor of Science degree in Mathematics and Economics from Trent University.
• · Ms. White has not been appointed to any committee of the Board, and there are no family relationships between her and any director or executive officer.

21-09-2026

TOMI Environmental Solutions and Carbonium Core mutually terminated their definitive merger agreement originally dated June 28, 2026, after TOMI's Board approved the termination on September 20, 2026. The parties concluded the business combination was no longer in their best strategic or financial interests, and each party bears its own fees and expenses. CEO Dr. Halden Shane highlighted TOMI's strong position with growing SteraMist recurring revenue and a healthy pipeline, but the termination removes a potential growth avenue and may signal challenges in executing the merger.

• · The merger agreement was originally dated June 28, 2026.
• · Termination approved by TOMI's Board of Directors on September 20, 2026.
• · Each party responsible for its own fees and expenses.
• · CEO stated TOMI has 'never been in a stronger position' with high-margin recurring revenue growth and healthy pipeline.
• · TOMI continues to pursue strategic partnerships with major industry players.
• · SteraMist products serve hospitals, labs, government/military, cruise ships, office buildings, schools, restaurants, food processing, and residences.

21-09-2026

STORE Capital closed a $525.0 million securitization issuance of long-term fixed-rate notes (Series 2026-2) under its Master Funding program, with $450.0 million rated AAA and $75.0 million rated AA. The weighted average all-in interest rate is 5.74% with a weighted average life of 4.92 years. Proceeds were used to redeem approximately $280 million of existing notes maturing in Q4 2026 and to fund growth. Management highlighted strong investor demand despite a volatile market, achieving the lowest credit spread in the program's history (97 basis points all-in), with credit spread tightening of 14 and 13 basis points versus the May 2026-1 transaction for AAA and AA bonds, respectively.

• · The Notes were issued in four classes via private placements to institutional buyers.
• · The weighted average life of the Notes is 4.92 years.
• · The issuance is the sixteenth under STORE's Master Funding program.
• · The redeemed notes were prepayable without penalty.
• · The Notes are not registered under the Securities Act of 1933.
• · STORE Capital owns more than 3,500 property locations across the United States.

21-09-2026

Volato Group, Inc. entered into an Executive Services Agreement with Christopher M. Ensey, its CEO, effective September 11, 2026, following the company's merger with Alignment Engine Inc. The agreement provides an annual fee of $400,000 and a performance-based restricted stock award of 5% of fully diluted capitalization, tied to ambitious market capitalization and contracted capacity milestones. No prior-period comparisons are available as this is a new arrangement, and the filing does not disclose any negative or flat metrics.

• · CEO is engaged as an independent contractor, not an employee, and is not eligible for employee benefit plans.
• · CEO will perform services principally from Puerto Rico.
• · Restricted stock award requires stockholder approval of a new equity incentive plan at the next annual meeting.
• · Vesting of restricted shares is tied to both market capitalization and contracted capacity milestones, with no acceleration upon a Change in Control unless a capacity milestone is met.
• · CEO must sell vested shares only under a Rule 10b5-1 trading plan.
• · Termination payment is 24 months of annual fee, subject to return of property and release agreement.

21-09-2026

Axon Enterprise priced a $1.0 billion offering of 0% convertible senior notes due 2031, with an option for underwriters to purchase an additional $150.0 million for over-allotments. The company expects net proceeds of approximately $986.0 million (or $1,134.3 million if the over-allotment is exercised in full), with $99.9 million allocated to pay the cost of capped call transactions and the remainder for general corporate purposes, including growth and potential acquisitions. The notes are convertible at an initial conversion price of approximately $652.06 per share, and the company entered into capped call transactions to reduce potential dilution.

• · The notes mature on September 15, 2031, and are senior, unsecured obligations with no regular interest and no accretion.
• · Axon may redeem the notes for cash on or after September 20, 2029, if the stock price reaches at least 130% of the conversion price for 20 trading days in a 30-day period.
• · Holders may require repurchase on March 20, 2031, at 100% of principal plus accrued special interest.
• · The capped call cap price of $1,049.94 represents a 137.5% premium over the last reported sale price of $442.08.
• · Option counterparties may enter into cash-settled over-the-counter derivatives and purchase shares, which could affect the market price of Axon's stock or the notes.
• · Forward-looking statements highlight risks including government contract cancellations, supply chain issues, and changes in regulations.

21-09-2026

WESCO International Inc. entered into a Ninth Amendment to its Fourth Amended and Restated Credit Agreement, adding $125 million in incremental revolving commitments from new lenders. The amendment, effective September 17, 2026, also modifies certain provisions of the credit agreement and reaffirms existing security and guarantees. No defaults or material adverse changes were reported.

• · The amendment was entered into on September 17, 2026, and filed on September 21, 2026.
• · The incremental revolving commitments are provided by lenders listed on Exhibit C and become part of the U.S. Commitments and Revolver Facility.
• · All existing Loan Parties reaffirmed their guarantees and security interests remain in full force.
• · The company represented that no Default or Event of Default existed immediately before and after giving effect to the amendment.

21-09-2026

The Baldwin Insurance Group, Inc. announced that effective September 21, 2026, Corbyn Lichon resumed her role as Chief Accounting Officer following her maternity leave, and Johnathan Daniel ceased serving as interim Chief Accounting Officer, returning to his prior role as Executive Director of Finance. No compensatory changes were made in connection with these transitions.

• · The interim appointment of Johnathan Daniel as Chief Accounting Officer was previously disclosed on June 4, 2026.
• · No compensatory arrangements were entered into or modified in connection with Ms. Lichon’s return or Mr. Daniel’s cessation of interim duties.

21-09-2026

Clearwater Paper Corp refinanced its senior notes due 2028, term revolver, and ABL facility with a new $200M revolver and $275M term loan, extending maturities to September 2031. The new $275M term loan fully funded at closing, with approximately $15M drawn on the revolver. Management expressed positive outlook, but the company took on significant new debt, and the uncommitted $100M increase option is contingent on lender participation and 2027 year-end compliance.

• · New credit agreement matures September 18, 2031 (5-year term).
• · Existing ABL credit facility and $275M senior notes due 2028 are being terminated/ redeemed.
• · Uncommitted $100M increase option requires lender participation and delivery of 2027 year-end financial statements.

21-09-2026

Magnachip Semiconductor announced a $5 million strategic equity investment from Navitas Semiconductor, deepening their existing partnership focused on silicon carbide (SiC) technology for high-voltage power markets. The investment, at $3.42 per share for 1,461,988 shares, is expected to close on September 24, 2026. While the deal signals strong strategic alignment and potential for new product development, the $5 million investment is relatively small for a publicly traded company, and the forward-looking statements caution about risks including market conditions and supply chain disruptions.

• · The investment builds on a July 2026 partnership to accelerate adoption of silicon carbide technologies.
• · Magnachip is licensing Navitas' GeneSiC technology covering 1,200 V, 2,300 V, 3,300 V and higher-voltage applications.
• · Target applications include energy and grid infrastructure, energy storage, industrial electrification, automotive, and other high-power systems.
• · Navitas is the world's first semiconductor company to be CarbonNeutral-certified.

21-09-2026

D-Wave Quantum Inc. appointed Bernard Gavgani, a veteran financial technology executive and former Group CIO of BNP Paribas, to its Board of Directors and Cybersecurity Committee. The appointment adds expertise in global technology strategy, cybersecurity, AI governance, and operational transformation. No financial metrics or performance data were disclosed in this filing.

• · D-Wave is the only dual-platform quantum computing company providing both annealing and gate-model systems.
• · Leap quantum cloud service offers 99.9% availability and uptime.
• · More than 100 organizations across commercial, government and research sectors trust D-Wave.

21-09-2026

Avantor, Inc. announced the appointment of Todd Garner as Executive Vice President and Chief Financial Officer, effective September 21, 2026. The new CFO will receive a $700,000 base salary, a $1.5M equity grant, and a $150,000 signing bonus. Steven Eck, the interim CFO, will revert to his prior role as Senior Vice President and Chief Accounting Officer.

• · Todd Garner, age 57, previously served as EVP and CFO of CONMED Corporation from January 2018 to March 2026.
• · Mr. Garner holds a bachelor's degree in accounting from Brigham Young University and an MBA from the University of Texas – Rio Grande Valley, and is a CPA.
• · Steven Eck will continue as Senior Vice President and Chief Accounting Officer after stepping down as interim CFO.
• · The employment letter includes a $150,000 sign-on cash bonus subject to repayment if Garner leaves voluntarily within 12 months.
• · The initial equity grant consists of 50% RSUs vesting over two years and 50% premium-priced stock options (10% premium) vesting over three years.

21-09-2026

QuickLogic announced the appointment of James Sullivan as Senior Vice President of Finance and CFO, effective October 5, 2026, succeeding Elias Nader, who resigned effective September 18, 2026. The company reaffirmed its previously announced third quarter 2026 guidance, indicating no change to financial expectations. Sullivan brings extensive semiconductor CFO experience, while Nader's departure follows four years of service.

• · James Sullivan's appointment is effective October 5, 2026.
• · Elias Nader's resignation was effective as of close of business September 18, 2026.
• · Sullivan previously served as CFO at Peraso Inc., MoSys, Inc. (14 years), Apptera, Inc., and 8x8, Inc.
• · Sullivan is a certified public accountant with a B.S. in Accounting from NYU Stern School of Business.
• · The company reaffirmed its third quarter 2026 guidance, indicating no change to financial expectations.

21-09-2026

World Acceptance Corporation appointed John L. Calmes Jr. as President and CEO effective September 21, 2026. Calmes, previously EVP, CFO and Treasurer, has deep knowledge of the business and was credited with maintaining financial discipline and a strong balance sheet. The company noted strong business results similar to the first quarter through two and a half months of Q2, but no specific figures or comparisons to any prior periods were provided.

• · Founded in 1962.
• · Headquartered in Greenville, South Carolina.
• · Primarily serves population without ready access to credit.
• · Business producing strong results in the first two and a half months of the second fiscal quarter, similar to Q1 (no specific results given).
• · Calmes holds a Bachelor of Arts in accounting and a Master of Accountancy from the University of South Carolina's Darla Moore School of Business.

21-09-2026

Priority Technology Holdings, Inc. announced a definitive agreement to be taken private by an investor group led by Chairman and CEO Thomas Priore at $8.05 per share in cash, representing a 65% premium to the unaffected share price and an enterprise value of approximately $1.6 billion. The transaction, unanimously recommended by a Special Committee of independent directors and approved by the Board, provides compelling cash value to unaffiliated stockholders and is expected to close in the first half of 2027. However, the completion is subject to stockholder approval, regulatory approvals, and other customary conditions, and there are risks that the merger may not be completed as anticipated.

• · The Special Committee conducted a robust review with independent legal and financial advisors.
• · The transaction is financed in part by equity commitments from Searchlight Capital Partners and is not subject to any financing condition.
• · Thomas Priore does not intend to sell his stake to any third party, as disclosed in a Schedule 13D filed in December 2025.
• · The transaction requires approval by a majority of shares not affiliated with the Investor Group.
• · The Company's common stock will be delisted from Nasdaq upon closing.
• · The proxy statement and Rule 13e-3 transaction statement will be filed with the SEC.

21-09-2026

Orion Group Holdings, Inc. (ORN) filed an 8-K on September 21, 2026, disclosing amendments to the employment agreements of CEO Travis J. Boone and EVP/General Counsel E. Chipman Earle. The amendments extend the initial terms of both agreements to December 31, 2026, with automatic annual renewals starting January 1, 2027. No other terms of the agreements were changed.

• · Amendments executed on September 18, 2026, effective retroactively to September 19, 2026 (the original expiration date).
• · Automatic annual extensions begin January 1, 2027, unless either party provides notice of non-renewal.
• · The amendments are filed as Exhibits 10.1 and 10.2 to the 8-K.
• · The Boone Employment Agreement was originally effective September 27, 2023; the Earle Employment Agreement was effective March 20, 2024.

21-09-2026

U.S. Physical Therapy, Inc. appointed Myra Davis to its Board of Directors, effective October 1, 2026. Ms. Davis is the Executive Vice President and Chief Information Innovation Officer at Texas Children's Hospital and brings over two decades of healthcare technology leadership. The filing contains no financial results or period-over-period comparisons, only a routine board appointment.

• · Ms. Davis has not been appointed to any Board committee as of the filing date.
• · Her compensation will follow the standard director compensation plan described in the company's April 16, 2026 proxy statement.
• · There are no arrangements or understandings with any other person regarding her selection, and no reportable related-party transactions.

21-09-2026

PACS Group, Inc. announced the retirement of John Mitchell as Chief Legal Officer and Corporate Secretary, effective September 18, 2026, and the appointment of Patrick J. Murphy as his successor, effective September 21, 2026. Mitchell will remain as a consultant to support the transition. Murphy brings over 20 years of senior legal experience from King & Spalding, General Electric (including GE Healthcare), Fresenius Medical Care, and public service roles with the U.S. Senate Judiciary Committee and the FBI.

• · PACS Group, Inc. (NYSE: PACS) is a holding company investing in post-acute healthcare facilities, professionals, and ancillary services, founded in 2013 and headquartered in Salt Lake City, Utah.
• · PACS independent subsidiaries operate 355 post-acute care facilities across 20 states, serving more than 33,400 patients daily.
• · PACS has been recognized by Utah Business magazine as one of Utah’s Best Companies to work for in 2022 and 2023, and ranked #25 (2022) and #9 (2023) among Utah’s Fastest Growing Companies.
• · Patrick J. Murphy previously served as a Partner in King & Spalding’s Special Matters Practice Group, spent 20 years in General Electric’s legal department (including nearly 15 years as Global Chief Litigation Counsel for GE Healthcare), and was Senior Vice President Legal and Global Chief Litigation Counsel for Fresenius Medical Care.
• · Murphy’s public-service experience includes Chief Counsel to the Crime and Technology Unit of the U.S. Senate Judiciary Committee Majority Staff and Assistant General Counsel to the FBI; he began his legal career as a U.S. Marine Corps Judge Advocate (rank of Major) and was recalled to active duty post-9/11.

21-09-2026

Myseum.AI, Inc. entered into a Second Amendment to its Sales Agreement with The Benchmark Company, LLC, assigning Benchmark's role as Sales Agent to its affiliate StoneX Financial Inc. effective September 21, 2026. The amendment reflects an internal transfer of assets and client relationships within the StoneX corporate family and updates notice provisions accordingly. No financial terms or changes to the at-the-market offering program were disclosed.

• · The Sales Agreement was originally dated February 10, 2025, and was previously amended on February 6, 2026.
• · StoneX Financial Inc. is an SEC-registered broker-dealer and member of FINRA and SIPC (CRD No. 45993).
• · The assignment was permitted under Section 13 of the original Sales Agreement.
• · All other terms and conditions of the Sales Agreement remain unchanged and in full force and effect.
• · The amendment is governed by the internal laws of the State of New York.

21-09-2026

Brown-Forman Corporation completed the sale of $500,000,000 aggregate principal amount of 5.375% Notes due 2031 on September 21, 2026. The net proceeds will be used for general corporate purposes, including dividends, stock repurchases, debt repayment, working capital, capital expenditures, acquisitions, and pension funding. The notes were issued under an underwriting agreement with Barclays, BofA Securities, Citigroup, J.P. Morgan, and U.S. Bancorp Investments.

• · Interest on the Notes accrues at 5.375% per year, payable semi-annually on April 15 and October 15, beginning April 15, 2027.
• · The Notes mature on October 15, 2031.
• · The Underwriting Agreement was dated September 17, 2026.
• · The Notes were issued under an automatic shelf registration statement on Form S-3 (File No. 333-294143) filed March 9, 2026.
• · Some underwriters or their affiliates are lenders under the company's $900 million revolving credit facility.
• · U.S. Bank National Association is the administrative agent under the revolving credit facility and is an affiliate of U.S. Bancorp Investments, Inc.

21-09-2026

Alset Inc. (AEI) entered into a securities purchase agreement with DSS, Inc. on September 15, 2026, acquiring a $500,000 convertible promissory note and warrants for 8,000,000 DSS common shares. The transaction is a related-party deal under common control of Chairman Chan Heng Fai, who recused himself from approval along with another director. The deal is contingent on DSS stockholder approval, and Alset already holds a 39.4% equity interest in DSS.

• · The Note is payable upon demand and matures five years from issuance.
• · Conversion price for the Note is $0.50 per share of DSS common stock.
• · Warrant exercise price is $0.55 per share, expiring on the fifth anniversary.
• · Transaction Documents require DSS stockholder approval before conversion or exercise.
• · Chan Heng Fai and Chan Tung Moe recused themselves from Board deliberation and voting on the transaction.
• · The transaction was approved by Alset's Board of Directors and Audit Committee.

21-09-2026

K&F Growth Acquisition Corp. II (KFIIU) entered into a promissory note agreement on September 18, 2026, allowing the company to borrow up to $300,000 from an unnamed payee to fund working capital needs prior to its proposed initial business combination. The note is non-interest bearing, matures upon the earlier of the business combination or liquidation, and includes a conversion feature allowing the payee to convert up to $300,000 of unpaid principal into units identical to those issued in a private placement at the IPO. The note also contains a trust waiver, preventing the payee from seeking recourse against the trust account established from the IPO proceeds.

• · The note is dated September 18, 2026, and was filed on September 21, 2026.
• · The payee is not named in the filing (placeholder [ ]).
• · Drawdowns can be requested at the Maker's discretion, with funding required within five business days.
• · The note is governed by Delaware law.
• · Conversion units consist of one Class A ordinary share and one right to receive 1/15 of one Class A ordinary share.
• · Holders are entitled to one demand registration and piggyback registration rights under the existing Registration Rights Agreement dated February 4, 2025.
• · The trust waiver explicitly waives any claims against the trust account established from the IPO proceeds.

21-09-2026

Viking Acquisition Corp. II, a blank-check company, entered into a $544,080 promissory note with its sponsor, Viking Acquisition Sponsor II, LLC, on September 18, 2026. The non-interest-bearing note is due upon the earlier of the consummation of an initial business combination or the winding up of the company, and is convertible into units of the post-combination entity at $10.00 per unit. This note restates and increases a prior $514,080 note by an additional $30,000 advance, and the sponsor waives any claim against the trust account established in the IPO.

• · The note is non-interest bearing and matures upon the earlier of the initial business combination or winding up.
• · The sponsor waives any claim against the trust account established in connection with the IPO.
• · The note is convertible into units of the post-business combination entity at $10.00 per unit, with terms identical to private placement units issued in the IPO.
• · The note restates and replaces a prior note dated August 19, 2026, with an additional $30,000 advance.

21-09-2026

NBT Bancorp Inc. (NASDAQ: NBTB) announced the appointment of Kimberly A. Boynton to the Boards of Directors of NBT Bancorp Inc. and NBT Bank, N.A., effective October 1, 2026. Boynton brings extensive executive leadership experience from healthcare, financial management, and commercial real estate, including nearly 25 years at Crouse Health. The company reported total assets of $16.21 billion as of June 30, 2026.

• · Kimberly A. Boynton will join the boards effective October 1, 2026.
• · Boynton served as President and CEO of Crouse Health from January 2014 to March 2023.
• · Boynton is currently a licensed real estate salesperson with Cushman & Wakefield | Pyramid Brokerage Company.
• · Boynton holds a BBA in Accounting from Niagara University and an MBA from Syracuse University's Whitman School of Management.
• · NBT Bank operates 174 banking locations across New York, Pennsylvania, Vermont, Massachusetts, Maine, New Hampshire, and Connecticut.

21-09-2026

ProPetro Holding Corp. announced the resignation of Chief Accounting Officer Celina Davila, effective October 30, 2026, with no disagreement with the company. CFO Caleb Weatherl will serve as interim principal accounting officer while a replacement is sought. No compensatory changes or related-party transactions were disclosed.

• · Resignation effective October 30, 2026
• · No compensatory changes for Caleb Weatherl in connection with interim role
• · No family relationships between Weatherl and any director or executive officer
• · No transactions requiring disclosure under Item 404(a) of Regulation S-K

21-09-2026

Blend Labs, Inc. appointed Lina Rivas as Head of Accounting and principal accounting officer, effective September 21, 2026. Ms. Rivas, 41, previously served as VP, Global Corporate Controller at Veritone and held roles at LegalZoom and PwC. Jason Ream will continue as principal financial officer.

• · Lina Rivas' RSU award vests 25% after 12 months and remaining 75% in equal quarterly installments over 36 months.
• · No arrangements or understandings existed for her selection, no family relationships with directors/officers, and no reportable interests in transactions under Item 404(a).
• · Company intends to enter into its standard form of indemnification agreement with Ms. Rivas.

21-09-2026

Travere Therapeutics announced a planned CEO transition: Eric Dube, Ph.D., will step down as President and CEO and from the Board effective December 1, 2026, and will serve as Executive Advisor through February 15, 2027. Bradley L. Campbell, former CEO of Amicus Therapeutics, has been appointed as his successor, effective the same date. The transition includes a Transition and Separation Agreement with Dr. Dube and a new Employment Agreement with Mr. Campbell, who will receive a $1,000,000 base salary, equity awards valued at approximately $16.5 million, and other benefits.

• · Dr. Dube will continue to receive his current base salary through the Transition Period and remain eligible for his 2026 annual cash incentive bonus, but will not participate in the 2027 bonus program.
• · Dr. Dube's performance-based restricted stock units will cease vesting as of the Employment Termination Date; unvested portions will be forfeited.
• · If the Company terminates the Consulting Period for convenience, Dr. Dube's outstanding equity vesting accelerates by 18 months; if within 3 months before or 12 months after a Change in Control, vesting accelerates in full.
• · Mr. Campbell's Expense Payment of $500,000 must be repaid 100% if he resigns without Good Reason or is terminated for Cause within 12 months; 50% if between 12 and 24 months.
• · Mr. Campbell's Initial Equity Awards are granted outside the 2018 Equity Incentive Plan as a material inducement to employment.
• · No related party transactions or family relationships between Mr. Campbell and the Company's directors or officers.

21-09-2026

Federal Home Loan Bank of Atlanta announced the results of its 2026 director election, with four directors-elect declared on September 19, 2026. Kort Brown, Jim Edwards, David Sweiderk, and Kathleen C. McKinney were elected to four-year terms starting January 1, 2027. The election saw varying voter participation across states, with Florida and Maryland showing lower member turnout compared to Georgia.

• · Florida: 55 of 151 eligible members voted (36.4% turnout), with Kort Brown receiving 780,087 of 1,617,324 votes cast.
• · Georgia: 134 of 157 eligible members voted (85.4% turnout), with Jim Edwards receiving 815,059 of 979,995 votes cast.
• · Maryland: 38 of 74 eligible members voted (51.4% turnout), with David Sweiderk receiving 273,271 of 606,835 votes cast.
• · Independent director election: Kathleen C. McKinney received 4,819,372 votes, exceeding the 20% threshold of 2,657,627 required votes.
• · Directors-elect will serve four-year terms from January 1, 2027 to December 31, 2030.
• · Committee assignments for 2027 are not yet determined.

21-09-2026

The Toro Company (TTC) announced the election of David Huml, President and CEO of Tennant Company (TNC), to its Board of Directors effective immediately. Huml brings leadership experience in global marketing, operations, product management, and expertise in robotics and smart-connected technologies. The company reported net sales of $4.5 billion in fiscal 2025.

• · David Huml has served as President and CEO of Tennant Company and also serves on its Board of Directors.
• · Huml has a 12-year career at Tennant, including roles as COO, SVP for APAC and EMEA businesses, and SVP of global marketing.
• · Before Tennant, Huml held executive leadership positions with Pentair plc.
• · Huml holds a BA in business management and marketing from Wittenberg University and an MBA from the University of Minnesota – Carlson School of Management.
• · The Toro Company's global presence extends to more than 125 countries.

21-09-2026

GT Biopharma, Inc. filed a Certificate of Increase with the Delaware Secretary of State to raise the designated number of shares of its Series M 10% Convertible Preferred Stock from 41,778 to 43,287 shares. The increase was approved by the Board on September 17, 2026, and consented to by holders of a majority of the outstanding Series M shares on September 18, 2026. No other terms of the preferred stock were changed.

• · The increase represents an additional 1,509 shares of Series M Preferred Stock (43,287 - 41,778).
• · The Certificate of Designation for Series M Preferred Stock was originally filed on September 14, 2026.
• · The increase was effective upon filing with the Delaware Secretary of State on September 18, 2026.
• · No changes were made to the powers, designations, preferences, rights, or limitations of the Series M Preferred Stock.

21-09-2026

Jack in the Box Inc. appointed former Starbucks CFO Rachel Ruggeri as an independent director, continuing its board refreshment efforts. The company also announced director Michael Murphy's retirement and extended its cooperation agreement with GreenWood Investors. The moves aim to strengthen financial oversight and align with shareholder interests.

• · Rachel Ruggeri has over 30 years of experience in QSR and consumer goods industries.
• · She previously served as CFO of Starbucks Corporation for over two decades.
• · She currently chairs the Audit Committee at Stryker Corporation.
• · Michael Murphy will not stand for reelection at the 2027 Annual Meeting.
• · President Taylor Montgomery is expected to join the Board when he becomes CEO within the next 12 months.
• · The cooperation agreement with GreenWood includes customary standstill, voting, and other provisions.

21-09-2026

Host Digital Inc. (f/k/a Healthy Choice Wellness Corp.) announced a proposed underwritten public offering of $17.5 million of Class A common stock, with an underwriter option for an additional $2.6 million. Net proceeds are intended for data center investments, general corporate purposes, and working capital. The offering is subject to market conditions and may not be completed.

• · Company name changed from Healthy Choice Wellness Corp. to Host Digital Inc.
• · Company is now a digital infrastructure company focused on AI and high-performance computing data centers.
• · Company operates 19 grocery stores under six brands across six states following business combination with Host Digital Infrastructure LLC.
• · Cantor is lead book-running manager; Siebert, A.G.P. and Clear Street are joint book-running managers.
• · Offering is made under Form S-3 registration statement (File No. 333-291258).

21-09-2026

Industrial Logistics Properties Trust (ILPT) announced the appointment of Anthony Paula as Chief Financial Officer and Treasurer, effective October 1, 2026, replacing Tiffany R. Sy who resigned effective September 30, 2026. Mr. Paula, a vice president at ILPT's manager The RMR Group LLC, brings over 15 years of commercial real estate experience. The filing does not contain any financial results or performance metrics, so no positive or negative financial trends are reported.

• · Anthony Paula, age 39, is a CPA with a master's degree in accounting from UMass Amherst.
• · Mr. Paula has been with RMR since 2011 and also served as vice president of Diversified Healthcare Trust since December 2024, a role he will resign from upon becoming ILPT CFO.
• · ILPT will enter into an indemnification agreement with Mr. Paula on substantially the same terms as those with other trustees and executive officers.
• · No family relationships or reportable transactions exist between Mr. Paula and ILPT.

21-09-2026

Orion180 Insurance Group Inc. completed its initial public offering on September 21, 2026, selling 20,000,000 shares of Class A common stock at $12.00 per share, raising gross proceeds of $240.0 million. The company also entered into several agreements (Registration Rights, Exchange, and Indemnification) with its CEO and directors, and amended its charter and bylaws to authorize 400 million Class A shares, 100 million Class B shares, and 50 million preferred shares. New directors were elected, and the company remains an emerging growth company.

• · 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.
• · The IPO was completed on September 21, 2026, with the prospectus dated September 17, 2026.
• · The Amended and Restated Certificate of Formation was filed with the Secretary of State of Texas on September 14, 2026, and became effective on September 21, 2026.
• · The company's authorized capital stock includes 400,000,000 shares of Class A common stock, 100,000,000 shares of Class B common stock, and 50,000,000 shares of undesignated preferred stock, each with $0.001 par value.
• · The company entered into a Registration Rights Agreement, an Exchange Agreement, and Indemnification Agreements with its CEO and directors, all dated around the IPO.
• · New directors were elected effective September 17, 2026, with committee assignments: Audit (Bollinger, McAlee, Oberting), Compensation (Deutsch, Deshpande, Oberting), and Nominating and Corporate Governance (McAlee, Bollinger, Deutsch, Deshpande).

21-09-2026

Wolverine World Wide, Inc. eliminated the position of President, Active Group effective September 21, 2026, resulting in the departure of Susie Kuhn. Her duties have been distributed throughout the organization. The filing does not provide any financial metrics or performance data.

• · The position of President, Active Group was eliminated effective September 21, 2026.
• · Susie Kuhn left the company on the same date.
• · No severance or compensatory arrangements were disclosed in the filing.

21-09-2026

Calisa Acquisition Corp entered into a Prepaid Forward Purchase Agreement (FPA) with Goodvision AI Inc. and Harraden Circle Investments, LLC to potentially retain up to 3,000,000 ordinary shares from redeeming public shareholders at the redemption price (~$10.31 per share as of Aug 31, 2026), supporting the pending Business Combination with Goodvision. The FPA allows the Purchaser to buy shares from redeeming holders, with the Company paying the Prepayment Amount from trust proceeds at closing. The Purchaser will not vote the shares at the shareholder meeting, and any unsold shares revert to the Company after 12 months.

• · The FPA is intended to maximize funds retained by the Company after the Business Combination.
• · The Purchaser will not vote Forward Purchase Shares at the shareholder meeting.
• · The Prepayment Amount equals number of Forward Purchase Shares multiplied by Redemption Price, paid from trust account proceeds.
• · The Maturity Date is 12 months after closing; unsold shares return to the Company.
• · The Purchaser may terminate early by paying the Reset Price (initially Redemption Price, adjustable downward).
• · The Business Combination Agreement was dated March 6, 2026, and the Registration Statement on Form S-4 (File No. 333-296926) was declared effective September 11, 2026.

21-09-2026

Millrose Properties, Inc. (MRP) increased its revolving credit facility by $50 million to a total of $1.385 billion, with Flagstar Bank, N.A. joining as a new lender. The increase was effective September 21, 2026, under the existing Amended and Restated Credit Agreement, and the company affirmed no defaults or violations of financial covenants. This is a routine credit facility expansion, not a new debt issuance or acquisition.

• · The increase was effective September 21, 2026, and the new lender Flagstar Bank, N.A. received a $50 million revolving commitment.
• · The company represented that no Default or Event of Default exists after the increase, and all financial covenants under Section 7.27 would be satisfied on a pro forma basis.
• · The initial term loan commitments total $500 million, with JPMorgan, Goldman Sachs, Mizuho, and Wells Fargo each holding $72M-$97M, and Citizens Bank at $50M, Third Coast Bank at $15M.
• · Letter of credit commitments: JPMorgan Chase Bank, N.A. and Goldman Sachs Bank USA each $50 million; Bank of America, N.A. amount not specified in the excerpt.

21-09-2026

On September 18, 2026, Trafalgar International, Inc. (formerly Greater Cannabis Company, Inc.) accepted the resignation of Porfirio Sanchez Talavera as CEO, effective immediately; he remains Chairman. Carlos Septién was appointed CEO, resigning as COO. The leadership change follows the company's name change and is part of its acquisition and business development strategy. Mr. Septién brings over 45 years of Mexican banking and financial services experience but will not receive any compensation initially.

• · The company changed its name to Trafalgar International, Inc. prior to this filing.
• · Carlos Septién holds an Executive MBA from Purdue University (1978) and a degree in Industrial Engineering from Universidad Iberoamericana (1975).
• · Mr. Septién will not receive any salary, bonus, equity award or other compensation from the company initially, except as may be approved by the Board in the future.
• · The appointment of Mr. Septién to the Board of Directors will become effective after a 10-day notice period under Section 14(f) of the Exchange Act.

21-09-2026

IB Acquisition Corp. (SPAC) and GNQ Insilico Inc. amended their Business Combination Agreement dated March 16, 2026, to restructure the Bridge Financing and PIPE Financing. The amendment redefines the Bridge Financing as up to $2,222,223 in debt from ATW Quantum Bio LLC, and the PIPE Investments as up to approximately $16,470,588 in senior secured convertible notes. It also introduces an Equity Purchase Facility allowing SPAC to sell up to $50 million of common shares post-closing, while removing the Minimum Cash Amount condition.

• · The amendment deletes the Minimum Cash Amount definition, removing a condition precedent for closing.
• · The Equity Purchase Facility is a new arrangement with SZOP Opportunities 1 LLC, giving SPAC the right (but not obligation) to sell up to $50 million of newly issued common shares post-closing.
• · The Initial Bridge Financing includes convertible notes from five parties totaling $450,000 (Island Capital $250k, Jensen $100k, Bailey $25k, Butler Trust $50k, Northlea $25k), plus warrants.
• · The Company may pay off the Island Capital Note prior to Closing with Bridge Financing proceeds.
• · The amendment excludes Private Placement Securities from transfer restrictions during the Founder Shares Lock-Up Period under the Sponsor Support Agreement.
• · The definition of 'Alternative Transaction' was expanded to include any business combination other than the Transactions for SPAC.

21-09-2026

Generation Income Properties, Inc. (GIPR) entered into a warrant inducement agreement for the immediate cash exercise of June 2026 Warrants covering 4,074,359 shares at $1.05 per share, generating approximately $4.3 million in gross proceeds. In exchange, the Company issued unregistered Reload Warrants for 8,148,718 shares at the same exercise price, exercisable upon stockholder approval and expiring five years thereafter. The transaction provides immediate capital but significantly dilutes existing shareholders, as the Reload Warrants double the potential share count from the exercise.

• · The June 2026 Warrants were originally issued in June 2026.
• · The shares for the June 2026 Warrants exercise are registered under an effective S-11 registration statement (File No. 333-296210).
• · The Reload Warrants are being offered in a private placement exempt from registration under the 1933 Act.
• · The Reload Warrants expire five years after stockholder approval is obtained.
• · The Company has agreed to file a resale registration statement for the Reload Warrant shares.
• · Maxim Group LLC acted as financial advisor; fees and expenses will be deducted from gross proceeds.
• · Closing expected on or about September 21, 2026.

21-09-2026

Magnite announced the promotion of Brian Gephart to Chief Financial Officer, effective October 1, 2026, succeeding David Day, who is retiring after a decade-long tenure. Gephart, who has served as Chief Accounting Officer since June 2021, brings over 20 years of finance and capital markets experience. The transition is part of Magnite's leadership succession plan as it continues to scale its CTV platform.

• · Gephart previously served as CFO and Principal Financial Officer at Leaf Group, a publicly traded consumer internet company.
• · Gephart began his career in public accounting, initially in audit and later specializing in capital markets and accounting advisory services.
• · Gephart will oversee global financial strategy, including corporate finance, accounting, reporting, investor relations, treasury, and tax.
• · David Day previously announced his retirement; his departure is not due to any disagreement with the company.

21-09-2026

Axos Financial, Inc. announced that its subsidiary, Axos Bank, completed the acquisition of approximately $1.9 billion in IRA deposits from Capital One on September 21, 2026. The transaction, originally agreed upon on April 22, 2026, involved the purchase of individual retirement accounts held in savings and certificate of deposit accounts, with Axos paying a negotiated premium for the deposits. This acquisition significantly expands Axos's deposit base, but no information on the cost of the premium or the impact on profitability was disclosed.

• · The acquisition was completed on September 21, 2026, the same date as the filing.
• · The Purchase and Assumption Agreement was originally signed on April 22, 2026.
• · Axos paid a negotiated premium for the deposits, but the premium amount was not disclosed.
• · The acquired deposits are specifically IRA deposits, which are typically sticky and lower-cost.

21-09-2026

Insulet Corporation entered into a Ninth Amendment to its Credit Agreement on September 21, 2026, repricing its existing Term B Loans by refinancing them with $475M in new Incremental Term Loans and increasing its Revolving Credit Commitments by $250M to a total of $750M. The transaction was executed on a cashless basis for converting lenders and involved major financial institutions as arrangers. The amendment reflects a proactive debt management strategy to optimize the company's capital structure.

• · The Ninth Amendment was dated September 21, 2026.
• · No Revolving Credit Loans were outstanding under the Credit Agreement as of the Ninth Amendment Closing Date.
• · The initial Interest Period for the 2026 Incremental Term Loans ends on September 30, 2026.
• · The interest rate on the new Term Loans is Term SOFR plus the Applicable Rate as per the Amended Credit Agreement.
• · Existing Term Loans were refinanced on a cashless basis by converting lenders.

21-09-2026

EverCommerce Inc. announced the resignation of President and EverPro CEO Matthew Feierstein, effective October 9, 2026, to pursue other opportunities. The departure is not due to any disagreement with the company. Feierstein will receive a prorated 2026 bonus and an extended option exercise period, and will provide transition consulting services through December 31, 2026 at $500 per hour.

• · Resignation effective October 9, 2026 or later mutually agreed date.
• · Feierstein eligible for prorated 2026 annual target bonus, payable within 30 days of last employment.
• · Vested stock option exercise period extended to 35 months post-termination (or original expiration, if earlier).
• · Transition consulting services through December 31, 2026 at $500 per hour.
• · Feierstein remains subject to restrictive covenants in his employment agreement.