US Material Events SEC 8-K Filings — September 23, 2026

23-09-2026

Vertical Data Inc. filed an 8-K on September 23, 2026, disclosing amended and restated bylaws (Exhibit 3.1) that update governance procedures including stockholder meetings, voting, director nominations, and remote participation. The filing also covers items related to unregistered equity sales, officer changes, and amendments to articles, but the primary substantive disclosure is the adoption of the new bylaws. No financial figures or period-over-period comparisons are included in this filing.

• · The amended bylaws eliminate stockholder action by written consent (Section 12).
• · Quorum is set at one-third of outstanding shares entitled to vote (Section 6).
• · Director elections require a plurality vote; other matters require a majority of shares present (Section 10).
• · Stockholder nominations for directors are restricted to those made by the Board or by stockholders who comply with advance notice procedures (Section 14).
• · The Board, CEO, or Chair may postpone, reschedule, or cancel any previously scheduled stockholder meeting (Sections 2 & 3).

23-09-2026

Boston Scientific announced that Executive Vice President and Group President, MedSurg and Asia Pacific, Arthur C. Butcher, will retire effective January 1, 2027, and remain as a senior advisor through February 26, 2027. He will receive a prorated base salary of $780,000 during the advisory period. The company expects to enter into a retirement agreement with materially consistent benefits under existing plans.

• · Retirement effective date: January 1, 2027
• · Senior advisor period ends February 26, 2027 (Retirement Date)
• · Retirement Agreement benefits are materially consistent with Executive Retirement Plan, 2026 Annual Bonus Plan, and Long-Term Incentive Program

23-09-2026

Tortoise Energy Infrastructure Corp (TYG) entered into a distribution agreement with PINE Distributors LLC on September 22, 2026, to sell up to 2,500,000 common shares through an at-the-market offering under its existing shelf registration. The company also engaged UBS Securities LLC as sub-placement agent. The offering is part of TYG's capital-raising activities, with no financial terms disclosed in the filing.

• · The offering is made under an effective shelf registration statement on Form N-2/ASR (File Nos. 333-295680; 811-21462) filed with the SEC on May 8, 2026.
• · The base prospectus is dated May 8, 2026, and the prospectus supplement is dated September 22, 2026.
• · The distribution agreement and sub-placement agent agreement are filed as Exhibits 1.1 and 1.2, respectively.
• · Venable LLP provided a legal opinion (Exhibit 5.1) regarding the issuance and sale of the common shares.

23-09-2026

Algorhythm Holdings, Inc. (RIME) filed an 8-K on September 23, 2026, regarding the termination of a material agreement (Items 1.02, 7.01, 9.01). The filing includes Exhibit 99.1, but no specific financial figures, performance metrics, or period-over-period comparisons are provided in the available content. The event is classified as a material agreement termination, but without further details, the financial impact cannot be assessed.

• · Filing type: 8-K
• · Filing date: September 23, 2026
• · Items reported: 1.02 (Material Agreement Termination), 7.01 (Regulation FD Disclosure), 9.01 (Financial Statements and Exhibits)
• · Exhibit 99.1 is referenced but its content is not provided in the extracted text

23-09-2026

CTT Pharmaceutical Holdings, Inc. (OTCQB:CTTH) announced the addition of Karen Larson as an Independent Board Member in an 8-K filing dated August 10, 2026. Mrs. Larson brings experience as a Certified Financial Planner (CFP), a former Senior Vice President and Investment Banker at Chase Manhattan Bank, and founder of a real estate company. The filing does not include any financial results, material agreements, or quantitative performance data.

• · Karen Larson is a Certified Financial Planner (CFP) and has experience running companies.
• · She created an analytical reporting business that was sold to Morningstar.
• · She served as Senior Vice President, Investment Banker at Chase Manhattan Bank.
• · Since 2017, she has spent 9 years as a founder of Broad Avenue Studios, Inc., a commercial and residential real estate company.
• · The filing date is August 10, 2026, but the report was signed on September 21, 2026.

23-09-2026

Terra Innovatum Global N.V. (NKLR) announced the resignation of three directors (Rex Jackson, Michael Howard, and Peter Hastings) effective September 17, 2026, and the appointment of three new independent directors (Tony Tullio, Michael Modro, and Kostadin Ivanov) effective September 22, 2026. Peter Hastings will transition to a consulting role supporting commercialization efforts. The new directors will enter into standard indemnification agreements. No financial figures or performance metrics were disclosed.

• · The resignations and appointments were effective on September 17 and September 22, 2026, respectively.
• · Peter Hastings will support the Company’s ongoing commercialization efforts and related strategic initiatives in a consulting role.
• · Tony Tullio was appointed interim chairman of the Board’s Audit Committee and as a member of the Board’s Remuneration Committee.
• · Each of the Resigning Directors and Independent Directors are expected to enter into an indemnification agreement with the Company.
• · The Company is an emerging growth company as defined under the Securities Act.

23-09-2026

Angi Inc. appointed Michael Steib as CEO, succeeding Jeff Kip, effective immediately. Joey Levin transitions from Executive Chairman to Chairman. Steib, former CEO of TEGNA and XO Group, brings a focus on AI-driven growth and profitability. Kip will serve as an advisor for six months to ensure a smooth transition.

• · Michael Steib was most recently president and CEO of TEGNA, which was acquired by Nexstar Media Group at a substantial premium in March 2026.
• · At XO Group, the company's stock tripled under Steib's leadership before it merged with WeddingWire Inc.
• · Jeff Kip will serve as advisor to the company for six months.
• · Angi was founded in 1995 and has helped homeowners with more than 300 million projects.

23-09-2026

SharonAI Holdings Inc. filed an 8-K on September 23, 2026, disclosing a change in its certifying accountant under Item 4.01. The filing references a press release (Exhibit 99.1) but does not provide details on the nature of the change, the former or new accountant, or any disagreements. No financial figures or period-over-period comparisons are included in this filing.

• · The filing is a Form 8-K under Items 4.01 and 9.01, indicating a change in the certifying accountant.
• · The press release (Exhibit 99.1) is furnished, not filed, and is incorporated by reference.
• · 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 report is signed by CEO James Manning.

23-09-2026

Anteris Technologies Global Corp. subsidiary AAOPL entered into an amendment to its existing Supply & Quality Agreement with Harvey Industries Group Pty Ltd on September 22, 2026. The amendment extends the agreement only through the earlier of December 31, 2026 or execution of a replacement agreement, indicating a short-term transitional arrangement rather than a long-term commitment. No other material terms were changed; the amendment simply pushes the expiration from a prior date to this near-term end date.

• · Amendment executed on September 22, 2026.
• · Original Supply & Quality Agreement executed on May 24, 2024.
• · New term expires earlier of December 31, 2026 or date of replacement agreement.

23-09-2026

REGENXBIO Inc. and the University of Pennsylvania entered into a Settlement Agreement with Sarepta Therapeutics and Catalent to resolve all patent infringement litigation related to Sarepta's ELEVIDYS (SRP-9001) gene therapy. Under the agreement, Sarepta will pay REGENXBIO $39.0 million within 10 days of the effective date, and all ongoing litigation will be terminated with prejudice. The settlement includes a release of current claims and a covenant not to sue for future claims related to AAVrh74-based capsid products, but does not extend to patents covering other aspects of gene therapy products.

• · Settlement resolves patent infringement litigation involving U.S. Patent No. 10,526,617 and U.S. Patent No. 11,680,274.
• · Covenant not to sue covers future claims related to any Sarepta gene therapy product using an AAVrh74-based capsid, including ELEVIDYS, and related patents (including U.S. Patent No. 9,198,984).
• · The agreement does not extend to patents covering other aspects of gene therapy products.
• · The Settlement Agreement will be filed with REGENXBIO's Quarterly Report on Form 10-Q for the quarter ending September 30, 2026.

23-09-2026

Sun Communities completed the sale of its UK Park Holidays business to Aermont Capital for net cash proceeds of approximately $1.03 billion, positioning the company as a pure-play North American MH and RV platform. Year-to-date through September 21, 2026, the company repurchased approximately 3.5 million shares for about $425 million. Proceeds from the sale are expected to be used primarily for share repurchases, debt paydown, and general corporate purposes.

• · The sale was an all-cash transaction to Panther Bidco Limited, an affiliate of Aermont Capital.
• · Net cash consideration of approximately $1.03 billion is after customary locked-box adjustments and transaction costs.
• · The company expects to provide an updated full-year 2026 outlook on its Q3 2026 earnings call.
• · Lazard Frères & Co. LLC acted as lead financial advisor; BofA Securities, BMO Capital Markets, Citigroup, JP Morgan Securities LLC and Wells Fargo also acted as financial advisors.
• · Jones Day and Taft Stettinius & Hollister LLP acted as legal advisors to Sun; Rothschild & Co and Macfarlanes advised Aermont.
• · As of June 30, 2026, Sun owned/operated 455 developed properties with approximately 156,130 developed sites in the U.S. and Canada.

23-09-2026

Flywire Corp announced the appointment of Sabrina Farmer, former GitLab CTO and Google VP of Engineering, to its Board of Directors, effective September 23, 2026. Ms. Farmer brings over 25 years of technology leadership and will also join the Nominating and Corporate Governance Committee. The filing contains no financial results or period-over-period comparisons, so no quantitative performance data is available.

23-09-2026

Sarepta Therapeutics, Inc. entered into a settlement agreement on September 23, 2026, to resolve pending patent infringement litigations and an inter partes review appeal with REGENXBIO Inc., the University of Pennsylvania, and Catalent, Inc. The settlement covers gene therapy products using the AAVrh74-based capsid, including ELEVIDYS, and requires Sarepta to pay a lump sum of $39.0 million, matching a previously recorded litigation contingency charge. The agreement includes releases and covenants not to sue, but no admission of liability or wrongdoing by any party.

• · The settlement resolves litigations related to U.S. Patent No. 11,680,274 and U.S. Patent No. 10,526,617.
• · REGENXBIO and UPenn released Sarepta, Catalent, and affiliates from claims of infringement of the UPenn Patents (including U.S. Patent No. 9,198,984) arising up to the Effective Date.
• · REGENXBIO and UPenn agreed not to sue Sarepta, Catalent, or their affiliates, licensees, commercial partners, successors, and permitted assigns for infringement of the UPenn Patents related to any Sarepta gene therapy product using an AAVrh74-based capsid, including ELEVIDYS.
• · REGENXBIO further agreed not to sue Sarepta or its licensees, commercial partners, successors, and permitted assigns for infringement of any REGENXBIO-controlled patents covering the existing form of ELEVIDYS or the AAVrh74 capsid sequence.
• · The litigations will be dismissed, withdrawn, or otherwise disposed of with prejudice.
• · Each party bears its own costs, expenses, and attorneys' fees.
• · The settlement does not include any admission of liability or wrongdoing.

23-09-2026

Leader's Advantage Acquisition Corp., a blank check company, priced its $150 million initial public offering of 15,000,000 units at $10.00 per unit, with units to begin trading on Nasdaq on September 18, 2026 under 'LEDRU'. The offering is expected to close on September 21, 2026, and the company intends to focus on a business combination in healthcare, specialty chemicals, pharmaceutical, and defense industries. The company has not yet identified a target business, and there is no guarantee that a business combination will be completed.

• · The company is a newly organized blank check company with no specific target business identified yet.
• · The company intends to focus on established businesses of scale in healthcare, specialty chemicals, pharmaceutical, and defense industries.
• · The registration statement on Form S-1 (File No. 333-296772) was declared effective by the SEC on September 17, 2026.
• · The units will trade on the Nasdaq Global Market under the ticker 'LEDRU' starting September 18, 2026.
• · Once separate trading begins, Class A ordinary shares and warrants are expected to trade under 'LEDR' and 'LEDRW', respectively.
• · The offering is expected to close on September 21, 2026, subject to customary closing conditions.
• · The underwriters have a 45-day option to purchase up to an additional 2,250,000 units to cover over-allotments.

23-09-2026

FMC Corporation announced the closing of a minority equity investment by Tessenderlo Group, which purchased 30,319,166 shares at $13.30 per share for approximately $403 million, representing about 20.0% of FMC's outstanding common stock. The investment includes a board nomination right and a three-year lock-up period. This transaction provides FMC with additional capital and strategic alignment, but also introduces a significant new shareholder with governance influence.

• · Tessenderlo Group has the right to nominate one independent director to the FMC Board and has nominated Luc Tack.
• · Tessenderlo Group agreed to customary standstill restrictions and a three-year lock-up period.
• · The definitive agreement was entered into on June 30, 2026, and all closing conditions and regulatory approvals were satisfied.
• · Tessenderlo Group is listed on Euronext Brussels and is part of the Next 150 and BEL Mid indices.
• · FMC's forward-looking statements include risks related to the proposed transaction and the ability to negotiate a leaseback agreement.

23-09-2026

Theravance Biopharma, Inc. is being acquired by Zymeworks Inc. via a merger, with shareholders receiving Contingent Value Rights (CVRs) entitling them to potential future cash payments tied to the performance of the drug ampreloxetine. Key CVR milestones include a $0.93 per CVR payment upon the first commercial sale in a major market and 80% of net license proceeds from any out-licensing of the CVR product. The CVRs expire 10 years after the closing date, and the agreement outlines detailed definitions for net sales, royalties, and payment mechanics.

• · The CVRs are non-transferable except in limited circumstances (e.g., via will or laws of descent).
• · The CVR Payment Amount for royalties is calculated by dividing Royalties by the total number of outstanding CVRs.
• · Net License Proceeds exclude consideration specifically identified as reimbursement for R&D or patent prosecution costs.
• · A Change of Control of Parent will not be deemed to create Net License Proceeds unless the CVR Product represents all or substantially all of Parent's assets at that time.
• · The CVR Register will be maintained by Computershare as Rights Agent.

23-09-2026

Bath & Body Works granted CEO Daniel Heaf a performance stock unit award with a target value of $10 million (591,366 shares) on September 21, 2026. The PSU Award ties vesting to four stock price hurdles ($40, $60, $80, $100) over a four-year period, with potential payouts ranging from 75% to 200% of target. However, earned PSUs are subject to a 50% reduction if the company's total shareholder return falls below the 55th percentile of the S&P 1500 Consumer Discretionary Distribution & Retail Index at the end of the period, introducing a relative underperformance risk.

• · The PSU Award is subject to a 50% reduction if the company's total shareholder return relative to the S&P 1500 Consumer Discretionary Distribution & Retail Index is below the 55th percentile at the end of the four-year performance period.
• · The award agreement is filed as Exhibit 10.1 to the 8-K.

23-09-2026

Teamshares (NASDAQ:TMS) announced a $225 million preferred equity investment from accounts advised by T. Rowe Price Investment Management, Inc., structured as Series A perpetual, non-voting, non-convertible preferred stock. The proceeds are intended to fund additional acquisitions, with the company able to issue up to an additional $75 million to other institutional investors. The investment carries a 16.0% dividend rate (stepping down to 14.5% if deleveraging and EBITDA thresholds are met) and is callable at any time with make-whole provisions through the second anniversary.

• · The Series A Preferred Stock is perpetual, non-voting, and non-convertible, preserving common stock ownership.
• · Dividend may be paid in kind at a premium if Teamshares elects.
• · Holders may require redemption beginning on the seventh anniversary of issuance.
• · The investment is net of a 1% original issue discount.
• · Teamshares has signed additional LOIs beyond the $30 million of EBITDA under LOI disclosed on the recent earnings call.

23-09-2026

Solaris Energy Infrastructure, Inc. (SEI) announced the pricing of an upsized offering of $1.25 billion aggregate principal amount of 7.000% Senior Notes due 2032, increased from the original $1.0 billion. The notes will mature on April 1, 2032, and are issued at par, with the offering expected to close on October 1, 2026. Proceeds will be used for general corporate purposes, growth capital expenditures, and related fees and expenses.

• · The notes are unsecured senior obligations guaranteed by Solaris and all existing and future subsidiaries that guarantee the revolving credit facility.
• · The offering is exempt from registration under the Securities Act of 1933 and is limited to qualified institutional buyers (Rule 144A) and non-U.S. persons (Regulation S).
• · The press release is issued pursuant to Rule 135c under the Securities Act and does not constitute an offer to sell.

23-09-2026

Farmers & Merchants Bancshares, Inc. (FMFG) announced the election of Mark C. Krebs, the former CFO (retired June 30, 2025), to its Board of Directors (Class I) and the board of its wholly-owned subsidiary, Farmers and Merchants Bank, effective September 21, 2026. Mr. Krebs will serve until the 2027 annual meeting and has been appointed to the Asset/Liability, Investor Relations, and Nominating Committees. He will receive standard non-employee director compensation, and no new related-party transactions were disclosed.

• · Mr. Krebs served as Treasurer and CFO from August 2016 until retirement on June 30, 2025.
• · He served as an advisor to the Board from September 15, 2025 until his election.
• · He will serve on the Asset/Liability, Investor Relations, and Nominating Committees.
• · No reportable related-party transactions under Item 404(a) occurred since the start of FY2024.

23-09-2026

Jazz Pharmaceuticals plc entered into Amendment No. 4 to its existing credit agreement, establishing a new Tranche B-3 Dollar Term Loan facility of up to $1,895,000,000. The amendment allows converting lenders to exchange their Tranche B-2 loans for B-3 loans, while non-converting lenders will have their B-2 loans prepaid and repurchased as B-3 loans. The transaction is a refinancing that does not change the company's overall debt level but may adjust interest costs and terms.

• · The amendment is dated September 23, 2026 and amends the credit agreement originally dated May 5, 2021.
• · The amendment involves converting lenders (Tranche B-2 to B-3) and non-converting lenders (prepayment and repurchase).
• · The new Tranche B-3 loans will be used to repay non-converted Tranche B-2 loans.
• · The amendment includes representations and warranties, conditions precedent, and legal opinions from multiple jurisdictions.
• · The effective date is subject to satisfaction of conditions including execution, borrowing request, fees, legal opinions, and collateral matters.

23-09-2026

HealthStream, Inc. approved special grants of Time-Based and Performance-Based RSUs to its named executive officers on September 18, 2026, to incentivize future performance and retention. The grants include 15,395 Time-Based RSUs (grant date fair value $450,000 each) to four executives and 12,316 Time-Based RSUs ($360,000) to the CFO, along with Performance-Based RSUs of 5,132 ($150,000 each) to four executives and 4,105 ($120,000) to the CFO. The awards vest over four years, with performance-based units tied to annual targets from 2027 to 2030.

• · Time-Based RSUs vest in equal annual installments of 25% on the first, second, third, and fourth anniversaries of the grant date.
• · Performance-Based RSUs vest in equal increments of 25% based on achievement of annual performance targets for 2027, 2028, 2029, and 2030.
• · The grants were approved by the Compensation Committee of the Board of Directors.

23-09-2026

Adtalem Global Education Inc.'s subsidiary Covista Inc. entered into Amendment No. 6 to its existing credit agreement, dated September 18, 2026, providing for $510,000,000 in 2026 Repricing Term Loans. The transaction includes a cashless roll or exchange of existing term loans, with proceeds used to repay existing debt in full. The amendment became effective on the Amendment No. 6 Effective Date, with conditions including receipt of fees, legal opinions, and representations.

• · The amendment is dated September 18, 2026, and filed on September 23, 2026.
• · Existing Term Loans are to be repaid in full using proceeds from the 2026 Repricing Term Loans and Exchanged Term Loans.
• · The 2026 Repricing Term Loans have an initial interest period of one month ending September 30, 2026.
• · Conditions include receipt of a borrowing request, legal opinions, and payment of accrued interest on existing term loans.
• · The transaction involves a cashless roll or cash settlement option for converting lenders.

23-09-2026

Five Below appointed Scott Settersten, former CFO of Ulta Beauty, to its Board of Directors and Audit Committee, effective September 21, 2026, expanding the board to ten directors. The appointment brings a seasoned finance leader with retail scaling experience, though no financial metrics or performance changes were disclosed in this filing.

• · Scott Settersten served as CFO of Ulta Beauty from 2012 to March 2024.
• · Settersten spent 15 years at PricewaterhouseCoopers LLP as a CPA.
• · He served as a director and audit committee member of Kimball International from July 2020 to June 2023.
• · Five Below has over 2,000 stores in 47 states.

23-09-2026

Alcoa Corporation closed a $2.6B senior notes offering to finance the cash portion of its proposed acquisition of South32's bauxite, alumina, and aluminum assets. The offering consisted of $1.5B of 6.625% notes due 2034 and $1.1B of 6.875% notes due 2036, both guaranteed by Alcoa and certain subsidiaries. The acquisition remains subject to shareholder and regulatory approvals, and the company terminated its bridge loan facility concurrently with the notes closing.

• · The notes were sold in a private placement under Rule 144A and Regulation S.
• · The notes are guaranteed on a senior unsecured basis by Alcoa and certain subsidiaries.
• · The bridge loan facility commitments were terminated concurrently with the notes offering closing.
• · The acquisition is subject to South32 shareholder approval, regulatory approvals, and other customary conditions.
• · Alcoa filed a Registration Statement on Form S-4 on September 1, 2026, which was declared effective on September 8, 2026.

23-09-2026

Willdan Energy Solutions, Inc., a subsidiary of Willdan Group, Inc. (WLDN), has entered into a definitive agreement to acquire 100% of Mantis Intermediate Holdings, LLC from Mantis NewCo, LLC (an affiliate of Blackstone). The base purchase price is not explicitly stated in the filing, but the agreement includes a $5,000,000 adjustment escrow amount. The transaction is subject to customary closing conditions, including regulatory approvals and third-party consents.

• · The acquisition is structured as a purchase of membership interests, with the seller being Mantis NewCo, LLC, a Delaware limited liability company.
• · Willdan Group, Inc. is acting as guarantor for the buyer's obligations under the agreement.
• · The agreement includes representations and warranties, covenants, and conditions typical for a private acquisition, including a post-closing working capital adjustment mechanism.
• · The transaction is subject to antitrust clearance under the HSR Act and other regulatory approvals.
• · The agreement contains a non-solicitation provision restricting the seller from soliciting alternative acquisition proposals.

23-09-2026

Cayson Acquisition Corp issued a $60,000 promissory note to its Chairman and CEO, Yawei Cao, on September 23, 2026. The note is non-interest bearing and is repayable only upon the consummation of a business combination; if no deal occurs, the note is forgiven unless funds are available outside the trust account. This is a routine financing arrangement to support the SPAC's operations while it seeks a merger target.

• · The note is unsecured and bears no interest.
• · Repayment is contingent on the consummation of a business combination; if no deal occurs, the note is forgiven unless funds are available outside the trust account.
• · The note includes standard events of default and remedies, including acceleration upon bankruptcy or failure to pay.
• · The note is governed by New York law.

23-09-2026

Hartford Creative Group, Inc. announced the resignation of Kewei Huang as CEO and Chairman effective September 21, 2026, due to health reasons, with no disagreement with the company. Sheng-Yih Chang has been appointed as the new CEO and Chairman, effective the same date; Chang previously served as CEO from April 1, 2024 to September 1, 2026, and will receive no additional compensation for his re-appointment.

• · Mr. Huang's resignation was effective September 21, 2026.
• · Mr. Chang previously served as CEO from April 1, 2024 through September 1, 2026 and as CFO from June 2018 through April 1, 2024.
• · Mr. Chang has been General Manager at Hartford Hotel since March 2018.
• · Mr. Chang holds a Bachelor of Science in Electrical Engineering from California State University, Northridge.
• · Mr. Chang's compensation remains unchanged from his prior CEO package; he will not receive additional compensation solely for re-appointment.

23-09-2026

Transportation & Logistics Systems, Inc. (TLSS) entered a Fourth Amendment to its agreement to acquire Patriot Glass Solutions (PGS) for $4.75M in Series J Preferred Stock, extending the closing date to October 1, 2026. The acquisition is part of TLSS's strategy to become a leader in safety and security technology, leveraging PGS's window tint and glass strengthening solutions using C-Bond nanotechnology. The deal has been delayed multiple times (from April 1, 2026), with key due diligence and financial statement deadlines now set for September 25, 2026.

• · The Fourth Amendment extends the Schedule Delivery Date, financial statement deadline, and full access deadline to September 25, 2026.
• · The outside closing date has been extended to October 1, 2026, from the prior extension to September 16, 2026.
• · Mercer Street Global Opportunity Fund is an existing preferred stockholder of TLSS.
• · Closing conditions include satisfactory due diligence, accuracy of reps and warranties, landlord consent for PGS's lease, and delivery of audited financials for PGS for FY2024 and FY2025 and unaudited financials for H1 2026.
• · Michael Wanke must enter into an employment agreement with PGS as a condition of closing.
• · The acquisition has been delayed multiple times since the original April 1, 2026 agreement, with extensions on June 1, July 7, July 31, August 19, and now September 22, 2026.

23-09-2026

Crestline Lending Solutions, LLC entered into Amendment No. 2 to its Loan Financing and Servicing Agreement on September 18, 2026, increasing the committed facility from $350M to $550M and the maximum facility from $400M to $600M. Three new lenders—Western Alliance Bank, East West Bank, and Apple Bank—joined the facility alongside existing lender Deutsche Bank AG. The amendment expands the company's borrowing capacity but remains subject to leverage restrictions under the Investment Company Act of 1940.

• · The amendment adds Western Alliance Bank, East West Bank, and Apple Bank as joining lenders.
• · Deutsche Bank AG, New York Branch continues as lender and facility agent.
• · State Street Bank and Trust Company remains collateral agent and collateral custodian.
• · Borrowings remain subject to leverage restrictions under the Investment Company Act of 1940.

23-09-2026

PRA Group, Inc. announced that Owen James, President of PRA Group Europe, will retire from his role effective December 31, 2026, and will serve in an advisory capacity until March 31, 2027 to ensure a smooth transition. The filing does not include any financial results or performance metrics.

• · Owen James notified the company of his retirement on September 21, 2026.
• · His retirement as President of PRA Group Europe is effective December 31, 2026.
• · He will serve in an advisory role from January 1, 2027 through March 31, 2027.

23-09-2026

Wells Fargo & Company announced the appointment of Scott E. Powell as Chief Risk Officer, effective January 15, 2027, after which he will no longer serve as Chief Operating Officer. The filing contains no financial data or period-over-period comparisons.

23-09-2026

Flotek Industries entered into a new senior secured term loan agreement providing $75 million at closing with an additional $45 million of delayed-draw availability (up to $120 million total). The loan refinances an existing $40 million term loan, extends the ABL facility maturity, and funds growth in the Data Analytics segment. However, $30 million of the delayed-draw availability remains subject to lender consent, introducing uncertainty in accessing the full facility.

• · Maturity date of term loan is September 23, 2031.
• · No loan amortization or excess cash sweep required during first two years.
• · ABL facility maturity extended from October 31, 2026 to October 31, 2027.
• · Piper Sandler and Co. acted as sole lead arranger and bookrunner.

23-09-2026

QuidelOrtho Corporation announced the entry into Amendment No. 1 to its Credit Agreement on September 23, 2026, resetting financial covenants through September 30, 2029. The amendment relaxes leverage and interest coverage ratio requirements, providing covenant relief while adding certain restrictions. The amendment increases the applicable interest rates during the Covenant Relief Period, tying them to a pricing grid based on the Company's Consolidated Leverage Ratio.

• · The Covenant Relief Period extends through the fiscal quarter ending September 30, 2029.
• · After the initial rate period, interest rates will adjust based on a pricing grid tied to the Company's Consolidated Leverage Ratio.
• · Interest on Term Loan B remains unchanged by the amendment.
• · The Financing is guaranteed by certain material domestic subsidiaries and secured by liens on substantially all assets of the Company and Guarantors, excluding real property and certain other assets.
• · Additional restrictions have been added to financial covenants during the Covenant Relief Period, including limitations on asset sales, mergers, indebtedness, liens, investments, restricted payments, certain debt prepayments, and transactions with affiliates.

23-09-2026

DIRTT Environmental Solutions has completed a financing with the Business Development Bank of Canada (BDC), receiving the final C$5.0 million disbursement to bring the total borrowed to C$15.0 million. CEO Benjamin Urban stated the funding strengthens liquidity and provides financial flexibility for the company's transformation and growth initiatives. However, the filing contains no data on prior-period performance, so no balanced period-over-period comparison is possible.

• · The loan was originally announced on December 11, 2025.
• · The loan is a conventional debt financing, not equity or convertible securities.

23-09-2026

TransUnion (NYSE: TRU) announced that CFO Todd Cello will step down on December 31, 2026, after 29 years with the company, including nine years as CFO. He will serve as a full-time advisor through March 1, 2027, to ensure a smooth transition. The company has initiated a CFO search with a leading executive search firm and reaffirmed its Q3 and full-year 2026 guidance for revenue, Adjusted EBITDA, and Adjusted Diluted EPS, stating the departure will not impact operations, strategic priorities, or capital allocation.

• · TransUnion operates in more than 30 countries with over 13,000 associates.
• · The company reaffirmed its Q3 and full-year 2026 guidance for revenue, Adjusted EBITDA, and Adjusted Diluted EPS.
• · Cello will remain CFO through December 31, 2026, and serve as a full-time advisor until March 1, 2027.
• · The CFO search is being conducted in partnership with a leading executive search firm.

23-09-2026

OneMedNet Corporation held its 2026 Annual Meeting on September 18, 2026, where stockholders approved all four proposals, including the election of three Class III directors, ratification of WithumSmith+Brown as independent auditor, an increase in the 2022 Equity Incentive Plan share reserve by 1,000,000 shares, and a reverse stock split authorization (ratio between 1-for-5 and 1-for-20). The reverse stock split proposal passed with strong support (41,068,200 votes for, 739,329 against), while the equity plan amendment received the lowest approval percentage (about 94.6% of votes cast, excluding broker non-votes). The company remains an emerging growth company and has not elected to use the extended transition period for new accounting standards.

• · The reverse stock split authorization allows the Board to determine a ratio between 1-for-5 and 1-for-20, with no specific ratio selected yet.
• · The 2022 Plan amendment became effective immediately upon stockholder approval at the Annual Meeting.
• · 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 Annual Meeting was held virtually via live audio webcast.
• · The proxy statement for the Annual Meeting was filed on August 19, 2026.

23-09-2026

LiveOne, Inc. held its 2026 Annual Meeting on September 17, 2026, where all seven director nominees were elected and the new 2026 Equity Incentive Plan was approved by stockholders. The plan reserves 4,000,000 shares of common stock and replaces the expired 2016 Equity Incentive Plan. The ratification of Macias Gini & O'Connell, LLP as independent auditor for fiscal year ending March 31, 2027, was also approved with overwhelming support (8,430,988 for, 132,537 against).

• · The 2026 Equity Incentive Plan was approved with 4,511,114 votes for, 624,075 against, and 20,777 abstained.
• · All seven director nominees were elected with over 5.1 million votes for each and fewer than 55,000 withheld votes.
• · The ratification of the independent auditor received 8,430,988 votes for, 132,537 against, and 1,423 abstained.
• · The proposal to adjourn the Annual Meeting if necessary was approved with 7,985,029 votes for, 573,424 against, and 6,492 abstained.
• · No awards or shares have been issued under the 2026 Plan as of the filing date.

23-09-2026

KLX Energy Services Holdings, Inc. (KLXE) adopted a limited-duration stockholder rights plan (poison pill) effective September 23, 2026, expiring September 23, 2027, in response to a single investor's rapid accumulation of stock and a request to purchase shares exceeding the 9.995% ownership cap in the company's recently expired $125 million backstopped equity rights offering. The rights plan sets a 10% beneficial ownership threshold and is intended to protect all stockholders from a potential coercive takeover without a premium. The backstopped rights offering, which expired on the same day, allowed eligible holders to purchase shares at $1.49 per share, with backstop parties committing up to $94.0 million to reduce the company's 2030 Notes.

• · The rights plan expires on September 23, 2027, unless earlier redeemed, exchanged, or terminated; any extension beyond that date requires stockholder vote.
• · The rights plan exempts shares acquired by Backstop Parties under the Backstop Agreement up to the permitted ownership levels.
• · The company intends to provide exemptions to passive stockholders from the 10% beneficial ownership cap.
• · The rights plan will issue 1 preferred share purchase right per outstanding common share as a dividend to stockholders of record as of October 5, 2026.
• · The backstop parties are existing holders of the company's 2030 Notes, and the backstop exchange is expected to reduce the outstanding principal of those notes by $94.0 million.
• · The company's share price traded at or near the discounted rights offering price of $1.49 during the offering period.
• · The company expects to share final subscription tabulations and resulting stockholder base composition in the coming days.

23-09-2026

Greenland Mines Ltd. (formerly Klotho Neurosciences, Inc.) entered into a securities purchase agreement for a registered direct offering of 1,765,420 shares of common stock and pre-funded warrants for up to 1,434,580 shares, at an offering price of $12.00 per share/warrant, with expected net proceeds of approximately $38.4 million. The offering is expected to close on or about September 24, 2026, and proceeds will be used for Greenland mining operations, general corporate purposes, and working capital. Additionally, the company amended its private warrants to change the post-reverse split exercise price to $5.00 per share.

• · 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 pre-funded warrants are exercisable at $0.0001 per share and expire when exercised in full, with a beneficial ownership limitation of 4.99% (or 9.99% at holder's election).
• · The offering is being made under an effective Form S-3 registration statement (File No. 333-288533) declared effective on July 25, 2025.
• · The company amended its private warrants issued on March 2, 2026, to change the post-reverse split exercise price to $5.00 per share.
• · The company's name changed from Klotho Neurosciences, Inc. to Greenland Mines Ltd. on October 1, 2024.

23-09-2026

IQVIA Holdings Inc. subsidiary IQVIA Inc. issued $2,000,000,000 in gross proceeds of 6.375% senior notes due 2034, with net proceeds used to redeem its 5.000% notes due 2026, repay revolving credit facility debt, and pay fees. The notes carry a higher coupon than the redeemed notes, reflecting current market conditions, and are unsecured obligations maturing March 15, 2034.

• · The notes mature on March 15, 2034, unless earlier repurchased or redeemed.
• · Interest is payable semi-annually on March 15 and September 15, beginning March 15, 2027.
• · The Issuer may redeem the notes prior to September 15, 2029 subject to a make-whole premium and an 'equity claw' redemption right.
• · The notes are unsecured obligations of the Issuer, guaranteed by certain subsidiaries.
• · The Indenture is filed as Exhibit 4.1 to the 8-K.

23-09-2026

Stoneridge, Inc. announced the appointment of Uwe Brandenburg as Global Vice President, Engineering & Innovation, effective November 2, 2026. Brandenburg, a seasoned automotive electronics executive with over 25 years of experience, will lead the company's global engineering organization and report directly to CEO Natalia Noblet. The filing contains no financial data or period-over-period comparisons, as it is a personnel announcement.

• · Brandenburg previously served as CTO and SVP at DXC Technology (formerly Luxoft).
• · He led Valeo's global ADAS engineering organization as CTO and Global Head of Engineering.
• · He holds a degree in Electrical and Telecommunications Engineering from the University of Applied Sciences Constance.
• · He is a member of the Board of Directors of BlincVision AB.

23-09-2026

Sunrise Realty Trust, Inc. (SUNS) filed an 8-K on September 23, 2026, disclosing that its Board increased its size to six directors and approved the appointment of Howard Sudnow as an independent director, effective at the closing of the pending merger with Southern Realty Trust Inc. (SRT), expected in Q4 2026. Mr. Sudnow, a Partner at MYST Advisors with over 30 years of capital markets experience, will serve until the 2027 annual meeting. No financial metrics or performance data were included in this filing.

• · Merger with SRT expected to close in Q4 2026
• · Mr. Sudnow has not been appointed to any Board committee as of the filing date
• · Mr. Sudnow has no family relationships with SUNS directors or executive officers
• · Mr. Sudnow will receive standard non-employee director compensation
• · Mr. Sudnow's prior roles include Managing Director of Institutional Sales at Seaport Global and similar role at Sterne Agee (2013-2016)

23-09-2026

Salarius Pharmaceuticals, Inc. (SLRX) filed an 8-K reporting that its subsidiary, Decoy Therapeutics, entered into a warrant inducement agreement with an existing institutional investor, resulting in the immediate exercise of 1,184,434 Series B Milestone Warrants at a reduced exercise price of $3.25 per share, generating approximately $3.85 million in gross proceeds. The transaction also reduces the exercise price of outstanding Series A and Series C Milestone Warrants from $5.91 to $3.25 per share, and the investor will receive new unregistered warrants for up to 2,368,868 shares. The company plans to use net proceeds for working capital and general corporate purposes, with closing expected on or about September 23, 2026.

• · The warrant inducement transaction is expected to close on or about September 23, 2026, subject to customary closing conditions.
• · The New Warrants will be exercisable only after stockholder approval is obtained and will expire five years from the initial exercise date.
• · The New Warrants were offered in a private placement under Section 4(a)(2) of the Securities Act, and the company has agreed to file a registration statement covering the resale of the underlying shares.
• · The company intends to use net proceeds for working capital and general corporate purposes.

23-09-2026

Independence Realty Trust, Inc. (IRT) and Centerspace have amended their merger agreement, changing the structure so that Centerspace will merge directly into IRT's wholly-owned subsidiary, Islanders Sub, LLC, rather than into IRT itself. The amendment, dated September 22, 2026, also includes a waiver by IRT of any representation breaches caused by this structural change. The core economic terms of the deal, including the exchange ratio for Centerspace shareholders, remain unchanged.

• · The amendment was executed on September 22, 2026, and filed on September 23, 2026.
• · The original merger agreement was dated September 8, 2026.
• · The structural change is an 'Alternative Structure' permitted under Section 1.08 of the original agreement.
• · The Partnership Merger (OP Merger Sub merging into Centerspace, LP) remains unchanged.
• · IRT waived any representation breaches caused solely by the election of the Alternative Structure.

23-09-2026

Plug Power Inc. announced that COO Dean C. Fullerton will resign effective October 23, 2026, to accept a position at another company. The resignation is not due to any disagreement with the company, and Fullerton will assist with transitioning his duties to other executives. The company expressed gratitude for his contributions.

• · Resignation effective October 23, 2026
• · Duties to be transitioned to certain Executive Vice Presidents and Vice Presidents
• · Filing date: September 23, 2026

23-09-2026

Centerspace (CSR) and Independence Realty Trust (IRT) amended their September 8, 2026 merger agreement to implement an 'Alternative Structure' for the company merger, whereby Centerspace will merge directly into IRT's subsidiary, Islanders Sub, LLC, instead of the original structure. The amendment also includes a waiver by IRT of certain representation breaches caused by the structural change. The transaction remains subject to shareholder approvals and other closing conditions, with no change to the exchange ratio or overall consideration.

• · Amendment dated September 22, 2026, to the Agreement and Plan of Merger dated September 8, 2026.
• · The Alternative Structure changes the company merger so Centerspace merges with and into Islanders Sub, LLC (Parent Merger Sub), which will survive as a Delaware LLC.
• · The partnership merger structure remains unchanged (OP Merger Sub merges into Centerspace, LP).
• · Each share of Centerspace common stock will convert into the right to receive a number of shares of Parent Common Stock equal to the Exchange Ratio (unchanged).
• · Shares owned by Parent or its subsidiaries will be cancelled without consideration.
• · Parent and its affiliates waive any representation breach caused by the Alternative Structure, except breaches that would have occurred regardless.
• · The amendment reserves Exhibits A and B of the original agreement.
• · The transaction remains subject to shareholder approvals and other customary closing conditions.

23-09-2026

FG Nexus Inc. acquired 1,818,182 shares of common stock in FG Communities, Inc. for $10,000,001 in cash ($5.50 per share), closing on September 21, 2026. The transaction is a related-party deal because certain FG Nexus officers and directors, including Chairman/CEO Kyle Cerminara, hold significant equity and leadership roles in FGC. The deal was approved by a special committee of independent directors and an independent financial advisor to address potential conflicts of interest.

• · The subscription agreement was entered into on September 17, 2026, and closed on September 21, 2026.
• · FGC is a privately held self-administered, self-managed real estate investment company headquartered in North Carolina.
• · FGC's portfolio consists of 96 communities with over 4,000 home sites either owned or pending acquisition.
• · The transaction was reviewed and approved by a Special Committee of the Board consisting solely of independent directors, and an independent financial advisor.

23-09-2026

Enhanced Group Inc. (NYSE: ENHA) announced board changes, appointing Mike Sepso (co-founder of Major League Gaming) to the Board and Audit Committee, naming James Simpson Chairman, and Tony Eisenberg Audit Committee Chair. Christian Angermayer and Jim Murren stepped down from the Board but remain in advisory roles; Apeiron Investment Group, the largest shareholder, has been increasing its stake. The changes reflect continuity and fresh expertise, though the departure of two directors signals a shift in governance.

• · Apeiron Investment Group, Enhanced's largest shareholder, has been increasing its stake continuously over the past weeks.
• · Mike Sepso co-founded Vindex, a gaming and esports technology infrastructure company acquired by ESL FACEIT Group in 2023.
• · Jim Murren will serve as Special Advisor to the CEO after stepping down from the Board.
• · Christian Angermayer remains Co-Founder and continues through Apeiron Investment Group.

23-09-2026

Tri-State Generation & Transmission Association, Inc. announced the election of Amy Miller as a director representing Wheatland Rural Electric Association on its Board of Directors, effective September 22, 2026. Mrs. Miller is expected to serve on the External Affairs-Member Relations Committee. This is a routine board appointment with no financial impact disclosed.