US Material Events SEC 8-K Filings — September 25, 2026

25-09-2026

Jaguar Health, Inc. entered into an Exchange Agreement with Streeterville Capital, LLC on September 23, 2026, to partition a portion of an existing Secured Promissory Note (originally issued January 19, 2021) and exchange it for shares of common stock. The exchange is intended to comply with Section 3(a)(9) of the Securities Act, with the shares to be issued free of restrictive legends. No new cash consideration is involved; the transaction reduces the outstanding balance of the original note by the amount of the partitioned note.

• · The Exchange Shares are to be delivered via DWAC to Lender's designated brokerage account on or before September 24, 2026.
• · The holding period for Rule 144 purposes includes the Lender's holding period of the Original Note from November 12, 2025.
• · Lender represents it will not beneficially own more than 9.99% of outstanding common stock after the exchange.
• · No Event of Default has occurred under the Original Note, and any prior defaults are not waived.
• · The exchange is structured as a substitution and exchange, not a novation or satisfaction of the Partitioned Note.

25-09-2026

Titan International (TWI) announced a definitive agreement to sell its ITM undercarriage business to USCO S.p.A. for up to approximately $285 million in total cash value, including a $207 million initial purchase price, a $6 million earnout, and an expected $23 million in closing adjustments. The transaction is expected to close in early January 2027, subject to regulatory approvals. Proceeds will be used to reduce debt and fund growth investments, though the deal is subject to customary closing conditions and risks.

• · Transaction expected to close early January 2027, subject to regulatory approvals and customary conditions
• · Titan intends to use proceeds to reduce debt and fund growth investments, including accretive acquisitions and partnerships
• · ITM serves construction, mining, forestry, road-building, agricultural applications globally
• · Titan has bought back over $100 million of its common stock in recent years
• · ITM's Cecilia La Manna will continue to lead the business under USCO
• · Exchange rate used: €1.00 = $1.148 as of September 18, 2026

25-09-2026

Monster Beverage Corporation announced that CEO Americas Rob Gehring will resign effective November 30, 2026, to return to The Coca-Cola Company as president of its North America operating unit. Emelie C. Tirre, Chief Strategy Officer, will assume interim responsibility for the Americas and Caribbean starting December 1, 2026. The departure is a key leadership change but does not involve financial results or regulatory action.

• · Rob Gehring's resignation is effective November 30, 2026.
• · Emelie C. Tirre, age 57, previously served as Chief Commercial Officer of the Americas, the Caribbean and Oceania through February 24, 2026.
• · Ms. Tirre's biographical information is incorporated by reference from the March 27, 2026 proxy statement.

25-09-2026

Nextdoor Holdings, Inc. announced that Craig Lisowski will resign as President of Products, effective October 16, 2026. The resignation is not due to any disagreement with the company's operations, policies, or practices. No replacement or interim appointment has been disclosed.

• · Resignation effective date: October 16, 2026
• · Resignation date: September 21, 2026
• · No disagreement cited as reason for departure
• · No successor named in the filing

25-09-2026

Circle Internet Group, Inc. (NYSE: CRCL) announced that CFO Jeremy Fox-Geen intends to step down after more than five years, effective end of December 2026 or upon appointment of a successor. The company has commenced a search with a leading executive search firm. Fox-Geen played key roles in building the financial organization, navigating a $1.2 billion IPO, and contributing to over five years of strong growth.

• · Jeremy Fox-Geen joined Circle in May 2021.
• · He will continue as CFO through end of December 2026 unless a successor is appointed sooner.
• · The company has engaged a leading executive search firm for the CFO search.
• · Fox-Geen's departure is described as a step down to take a break before his next chapter.

25-09-2026

Stitch Fix, Inc. announced that board member J. William Gurley will not stand for re-election at the 2026 Annual Meeting and will retire upon expiration of his current term. The departure is not due to any disagreement with the company. No financial metrics or performance data were disclosed in this filing.

• · Mr. Gurley's decision is not the result of any disagreement with the company on operations, policies, or practices.
• · The retirement will take effect at the 2026 Annual Meeting of Stockholders.

25-09-2026

Worthington Enterprises reported a strong start to fiscal 2027 with consolidated sales up 13% YoY to $344M and adjusted EBITDA up 10% to $74M. However, Building Performance Solutions faced headwinds in Cooling and Construction due to A2L refrigerant transition normalization and tight steel availability, causing adjusted EBITDA to remain essentially flat at $60M. The company highlighted accelerating organic growth in ASME tanks for data center liquid cooling, with Q1 revenue of $13M matching the entire prior fiscal year.

• · Trailing 12-month adjusted EBITDA reached $303 million.
• · Net debt of $250 million at quarter end.
• · Board declared a quarterly dividend of $0.20 per share payable in December 2026.
• · The company was named one of America's most innovative businesses for 2027 by Business Insider and recognized by USA TODAY and Points of Light as one of America's most charitable companies.
• · Investor Day scheduled for November 10 in New York.
• · Segment names changed: Building Products to Building Performance Solutions, Consumer Products to Trade and Specialty Solutions.
• · Cooling and Construction faced a difficult prior year comparison due to A2L refrigerant transition normalization.
• · Tight steel availability and extended lead times disrupted production and scheduling in Cooling and Construction and Balloon businesses.
• · The company views the A2L impact as a timing and comparison issue, not structural.
• · Adjusted EBITDA margin was 21.5% for Q1.
• · Joint ventures provided $36 million in dividends, representing 88% of equity income.
• · Net benefit of $0.05 per share from nonrecurring items (gain on contingent earn-out from sale of former oil and gas business).
• · Included in adjusted earnings was a net pretax benefit of ~$4 million ($0.06 per share) from IEEPA tariff refunds.

25-09-2026

CoreCivic announced the resignation of President and CEO Patrick D. Swindle due to health reasons (stage four metastatic pancreatic cancer) and the appointment of Lucibeth N. Mayberry as his successor, effective immediately. Ms. Mayberry, previously Executive Vice President and Chief Strategy Officer, has been with the company since 2003 and also joins the Board. Mr. Swindle will remain as a special advisor during the transition. The filing contains no financial results or period-over-period comparisons.

• · Patrick D. Swindle served as President and CEO since January 1, 2026, and previously as President and COO since January 1, 2025.
• · Lucibeth N. Mayberry has been with CoreCivic since May 2003 and served as EVP and Chief Strategy Officer since May 2025, EVP and Chief Innovation Officer from October 2022 to May 2025, and EVP, Real Estate from May 2015 to October 2022.
• · Ms. Mayberry holds a bachelor's degree from the University of Tennessee, a juris doctor from Vanderbilt University, and an LL.M. in taxation from the University of Florida.
• · Mr. Swindle will serve as a special advisor during the transition.

25-09-2026

Oaktree Gardens OLP, LLC and related entities amended their revolving credit agreement to extend the stated maturity date to September 23, 2027, reduce the applicable margin by 5 basis points, and terminate the commitment of Standard Chartered Bank as an exiting lender. The amendment also includes reallocation of principal obligations among remaining lenders and other modifications. No financial figures were disclosed in the filing.

• · The amendment is effective as of September 24, 2026.
• · The stated maturity date is extended to September 23, 2027.
• · Standard Chartered Bank's commitment is terminated, and its obligations are paid in full.
• · The amendment includes a reallocation of principal obligations among remaining lenders.
• · The amendment is governed by New York law.

25-09-2026

Essex Portfolio, L.P., the operating partnership of Essex Property Trust, Inc., entered into a $275 million unsecured term loan agreement on September 24, 2026, with Bank of America as administrative agent. The loan matures September 24, 2029, with two one-year extension options, and bears interest at SOFR plus 0.800% based on credit ratings. Proceeds will repay outstanding commercial paper and for general corporate purposes, with an option to increase the facility by up to $225 million to $500 million total.

• · Term loan matures September 24, 2029, with two one-year extension options
• · Proceeds used to repay commercial paper and for general corporate purposes
• · Facility can be increased by up to $225 million to $500 million with lender consent
• · Interest rate is SOFR plus 0.800% based on tiered rate structure tied to credit ratings
• · Subject to customary covenants including leverage and coverage ratios

25-09-2026

Stoke Therapeutics announced the resignation of director Edward M. Kaye, M.D., effective September 23, 2026, with no disagreement with the company. The Board appointed Alexander (Bo) Cumbo as a Class III director to fill the vacancy, granting him an initial stock option for 39,674 shares (target fair value ~$724,000) and an annual cash retainer of $45,000. The change is a routine board succession with no disclosed financial impact or performance metrics.

• · Dr. Kaye's resignation was effective September 23, 2026, and was not due to any disagreement with the company.
• · Mr. Cumbo's term expires at the 2028 Annual Meeting of stockholders.
• · Mr. Cumbo qualifies as an independent director under SEC and Nasdaq rules.
• · The stock option vests in twelve equal quarterly installments from the grant date.

25-09-2026

CIM Opportunity Zone Fund, L.P. dismissed PricewaterhouseCoopers (PwC) as its independent auditor and appointed Deloitte & Touche LLP as its new auditor, effective September 21, 2026. The change was not due to any disagreements on accounting principles or audit scope, and PwC's audit reports for fiscal years 2024 and 2025 were unqualified. The only reportable event was a previously disclosed material weakness in internal controls that was remediated in 2024.

• · PwC served as the Fund's independent auditor since its inception.
• · The material weakness in internal control over financial reporting was previously reported in the 2023 Form 10-K and its remediation was reported in the 2024 Form 10-K.
• · The Fund authorized PwC to respond fully to inquiries from the successor auditor regarding the material weakness.
• · Deloitte was appointed to audit the Fund's consolidated financial statements for the fiscal year ending December 31, 2026.
• · No consultations occurred with Deloitte prior to appointment regarding accounting principles or disagreements.

25-09-2026

DICK'S Sporting Goods issued $1.0B in senior notes ($400M of 6.200% notes due 2036 and $600M of 6.900% notes due 2056) via an underwriting agreement with BofA Securities, PNC Capital Markets, and Wells Fargo Securities. The unsecured notes rank equally with existing unsecured debt but are structurally subordinated to subsidiary liabilities. Proceeds will be used for general corporate purposes including debt repayment, share repurchases, and potential acquisitions.

• · The notes are unsecured and unsubordinated, ranking equally with existing and future unsecured unsubordinated debt.
• · The notes are structurally subordinated to all subsidiary liabilities as no subsidiary guarantees are provided.
• · The underwriting agreement was signed on September 22, 2026, and the notes were issued on September 25, 2026.
• · The notes were registered under the Securities Act via a Form S-3ASR registration statement dated September 21, 2026.
• · The base indenture was originally dated January 14, 2022, and the third supplemental indenture was dated September 25, 2026.

25-09-2026

Ocean Power Technologies (OPTT) provided an update on its defense and security market activities, highlighting participation in the NATO REPMUS 2026 exercise with the U.S. Navy and Marine Corps, and an official evaluation with the U.S. Army Corps of Engineers. The company reported a backlog of $20 million and a qualified pipeline of over $150 million, with a focus on converting backlog to revenue by the end of its fiscal year (April 30, 2027). However, the filing is a transcript of an interview and does not include any financial results or period-over-period comparisons, so no negative or flat metrics are available.

• · The company integrated three classes of uncrewed surface vehicles into the Navy's common control software during REPMUS.
• · Vehicles executed mine countermeasures, ISR, surveillance, and security missions.
• · The Army Corps evaluation included three days of operations in surf zone conditions off Duck, North Carolina.
• · The company's fiscal year ends April 30, 2027.
• · Earlier in the year, OPTT placed four PowerBuoys with the Coast Guard under a DHS contract.

25-09-2026

BlackRock Private Credit Fund announced the resignation of COO Patrick Wolfe, effective December 18, 2026, to pursue other opportunities, with no disagreement cited. The Board appointed Dan Worrell, currently President of the fund and two affiliates, as the new COO effective the same date. No financial metrics or performance data are included in this filing.

• · Resignation effective date: December 18, 2026.
• · Dan Worrell also appointed COO of BlackRock Direct Lending Corp. and BlackRock TCP Capital Corp., effective same date.
• · Dan Worrell (born 1963) is a Managing Director of BlackRock, Inc. and served as Co-Chief Investment Officer of the three funds from November 6, 2024 to September 2, 2026.
• · No family relationships or reportable transactions under Item 404(a) of Regulation S-K exist for Mr. Worrell.

25-09-2026

Stark Focus Group, Inc. appointed Matthew Szot as its new Chief Financial Officer, effective October 8, 2026, replacing John Lipman who will remain CEO. Mr. Szot will receive an initial annual base salary of $450,000, a target annual cash bonus of 50% of base salary, and eligibility for long-term incentive awards. He will also receive a fully vested equity award worth $200,000 upon the company's Nasdaq uplisting.

• · Mr. Szot has served as Chairman of SenesTech since May 2026 and as a director since December 2015.
• · He is also CFO of Cadrenal Therapeutics, Inc. since May 2022.
• · He was CFO of S&W Seed Company from March 2010 to November 2021.
• · He serves on the board of INVO Fertility, Inc. since September 2020.
• · He was a CPA with KPMG from 1996 to 2003.
• · The Executive Agreement has a one-year initial term with automatic renewal, and a six-month probationary period.
• · Severance upon termination without cause after probation: three months of base salary plus any earned bonus.
• · Uplisting equity award of $200,000 is fully vested upon grant.
• · If employment ends before uplisting due to certain reasons, Mr. Szot receives $200,000 cash in lieu of equity.

25-09-2026

Feel The World, Inc. (d.b.a. XERO Shoes) filed an 8-K announcing a restatement of previously issued financial statements due to a material weakness in internal controls over financial reporting. The restatement, which reclassifies Series A and Senior Preferred Stock as temporary equity and corrects their measurement, has no impact on total assets, liabilities, revenues, net loss, cash flows, or net loss per share. Management has implemented remediation steps, but the material weakness remains unremediated for prior periods.

• · Restatement affects audited financials for years ended December 31, 2025 and 2024, and unaudited condensed financials for three-month periods ended March 31, 2026 and 2025.
• · Material weakness relates to accounting for equity instruments with complex terms, specifically Preferred Stock provisions.
• · Management concluded internal control over financial reporting was not effective as of December 31, 2025 and March 31, 2026.
• · Remediation steps initiated in Q3 2026 include engaging independent accounting experts and strengthening technical guidance resources.
• · The restatement had no effect on total assets, total liabilities, revenues, net loss, comprehensive loss, cash flows, or net loss per share.

25-09-2026

On September 25, 2026, Heidi L. O'Neill resigned from the Board of Directors of Lithia Motors, Inc., effective immediately. The resignation is for personal reasons and not due to any disagreement with the company. The company expressed gratitude for her service.

• · Resignation effective September 25, 2026
• · No disagreement with company operations, policies, or practices
• · Board thanks Ms. O'Neill for her service

25-09-2026

The Hartford Insurance Group commuted and terminated its aggregate excess of loss reinsurance agreement with National Indemnity Company (NICO), a Berkshire Hathaway subsidiary, which provided asbestos and environmental adverse development cover since 2016. The commutation resolved a confidential arbitration and resulted in a $1.12 billion cash payment to Hartford Fire Insurance Company on September 25, 2026. The company expects to recognize a before-tax net gain of $497 million and an increase in net income of $393 million for the three and nine months ended September 30, 2026, with no impact on core earnings.

• · The Reinsurance Agreement had provided asbestos and environmental adverse development cover reinsurance since December 31, 2016.
• · The commutation also resolved a confidential arbitration regarding the parties' dispute under the Reinsurance Agreement.
• · The before-tax gain reflects the release of the deferred gain on retroactive reinsurance after giving effect to the commutation.
• · The company expects no impact on core earnings from the transaction.

25-09-2026

Mercantile Bank Corp (MBWM) disclosed a $3,000,000 aggregate bonus pool for its 2026-2027 Merger Integration and Core Conversion Bonus Plan, approved by the Board on September 24, 2026. The plan rewards eligible employees, including executive officers, for work related to integrating the Eastern Michigan Bank merger and converting core/digital banking systems to the Jack Henry platform. Awards are discretionary with no minimum guarantee, subject to clawback under the company's Dodd-Frank compliant policy, and must be paid by March 31, 2027.

• · The Plan was approved by the Board of Directors on September 24, 2026.
• · Eligible participants include employees of the Company, Mercantile Bank, and their respective subsidiaries and affiliates, including executive officers.
• · The Compensation Committee has full discretion to determine participants and award amounts; no participant is entitled to a minimum award.
• · Earned awards will be paid on or before March 31, 2027.
• · Awards are subject to clawback under the Company's policy adopted October 2, 2023, compliant with Dodd-Frank Act, Rule 10D-1, and Nasdaq Listing Rule 5608.
• · The filing was signed by Charles E. Christmas on September 25, 2026.

25-09-2026

Dynex Capital, Inc. announced the pricing of a public offering of 4,800,000 shares of 9.375% Series D Fixed-Rate Cumulative Redeemable Preferred Stock at a liquidation preference of $25.00 per share, with expected gross proceeds of $120 million. The offering is expected to close on September 29, 2026, and the company intends to use net proceeds to finance the acquisition of Agency and other investment securities and for general corporate purposes. The underwriters have a 30-day option to purchase up to an additional 720,000 shares.

• · The offering is being made under the company's existing shelf registration statement on Form S-3.
• · The company intends to list the Series D Preferred Stock on the NYSE under the symbol 'DXPRD'.
• · The offering is expected to close on September 29, 2026.
• · Joint book-running managers include Morgan Stanley, J.P. Morgan, RBC Capital Markets, UBS, Wells Fargo, Citigroup, Goldman Sachs, and Keefe, Bruyette & Woods.

25-09-2026

Texas Pacific Land Corp (TPL) extended the employment agreements of its CEO Tyler Glover, CFO Chris Steddum, and SVP/General Counsel Micheal W. Dobbs from December 31, 2026 to December 31, 2029, with automatic one-year renewals. The company also announced that its 2027 annual meeting will be held on May 6, 2027, a change of more than 30 days from the 2026 meeting date, and set new deadlines for stockholder proposals and director nominations. No financial metrics or performance data were disclosed in this filing.

• · The amendments extend the expiration date of the employment agreements from December 31, 2026 to December 31, 2029, with automatic one-year extensions unless either party gives 120 days' notice not to renew.
• · The 2027 annual meeting is scheduled for May 6, 2027, which is more than 30 days before the anniversary of the 2026 annual meeting (November 5, 2026).
• · Stockholder proposals for inclusion in proxy materials under Rule 14a-8 must be received by close of business on November 27, 2026.
• · Director nominations or stockholder proposals outside Rule 14a-8 must be received between January 6, 2027 and February 5, 2027 to be timely.

25-09-2026

Artisan Partners Holdings LP, the borrowing entity of Artisan Partners Asset Management Inc. (APAM), entered into a $150 million credit agreement on September 23, 2026, with Bank of America as administrative agent and Citibank and Royal Bank of Canada as joint lead arrangers. The facility provides committed loans and letters of credit, with pricing tied to the company's consolidated leverage ratio, starting at Pricing Tier 1 (Term SOFR + 1.25%). The agreement includes standard affirmative and negative covenants, including financial covenants, and a guaranty from certain subsidiaries.

• · The credit agreement was entered into on September 23, 2026, and filed on September 25, 2026.
• · The facility includes a $150 million aggregate commitment with committed loans and letters of credit.
• · Pricing is based on a consolidated leverage ratio grid with four tiers, ranging from Term SOFR + 1.25% (Tier 1) to Term SOFR + 2.00% (Tier 4).
• · The initial Applicable Rate is set at Pricing Tier 1 until the first compliance certificate is delivered for the quarter ending September 30, 2026.
• · The agreement includes standard financial covenants, negative covenants (e.g., limitations on indebtedness, liens, asset sales, restricted payments), and events of default.
• · The borrower is Artisan Partners Holdings LP, a Delaware limited partnership; the general partner is Artisan Partners Asset Management Inc.
• · The administrative agent is Bank of America, N.A., and the syndication agent is Citibank, N.A.
• · The maturity date is not explicitly stated in the provided excerpt but is referenced as the 'Maturity Date' in the definition of Availability Period.

25-09-2026

Enova International, Inc. (ENVA) announced on September 25, 2026, that its indirect subsidiary, OnDeck Asset Securitization IV, LLC (ODAS IV), issued $500,026,000 in Fixed Rate Asset Backed Notes (Series 2026-1 Notes) in a securitization transaction. The proceeds were used to purchase small business loans from OnDeck, which will serve as collateral. The notes were issued in four classes with a weighted average fixed interest coupon of 6.22% per annum, and the transaction is structured to be bankruptcy remote with no direct recourse to Enova or OnDeck.

• · The Series 2026-1 Notes were issued under a Base Indenture dated July 27, 2023, as amended.
• · The revolving period for all note classes ends in September 2028, with optional prepayment beginning October 2027 and final maturity in October 2032.
• · The transaction is subject to various covenants including portfolio performance covenants (delinquency rates, weighted average loan yield, and excess spread) and concentration limits (geography, industry, OnDeck Score, time in business, original term, outstanding principal balance).
• · Failure to comply with covenants could result in an amortization event or event of default, leading to accelerated repayment.
• · OnDeck is acting as servicer for the loans; a default in servicing obligations could lead to an amortization event or replacement of the servicer.
• · The notes were offered only to qualified institutional buyers under Rule 144A and to persons outside the U.S. pursuant to Regulation S, and were not registered under the Securities Act of 1933.

25-09-2026

Sysco Corporation and Sysco Holdings Corporation issued C$1.5 billion in senior notes on September 25, 2026, consisting of C$750 million of 4.250% Senior Notes due 2030 and C$750 million of 4.800% Senior Notes due 2034. Net proceeds of approximately C$1.49 billion will be used to partially fund the pending acquisition of JRD Unico, Inc. and Warehouse Realty, LLC, or for a special mandatory redemption if the acquisition does not close. Additionally, Sysco Holdings guaranteed Sysco Corporation's existing senior notes under a Fiftieth Supplemental Indenture.

• · The Notes are unsecured obligations ranking equally with existing and future unsecured senior indebtedness, effectively junior to secured debt.
• · Interest on the Notes is payable semi-annually in arrears on April 3 and October 3, starting April 3, 2027.
• · The 2030 Notes mature on October 3, 2030; the 2034 Notes mature on October 3, 2034.
• · The offering was made under an automatically effective shelf registration statement (Form S-3ASR) filed September 14, 2026.
• · Sysco Holdings guaranteed Sysco Corporation's existing senior notes under a Fiftieth Supplemental Indenture, ranking pari passu with the new Notes.

25-09-2026

El Pollo Loco Holdings, Inc. appointed Damon Thomas as Chief Operating Officer, effective September 21, 2026, reporting to CEO Elizabeth Williams. Mr. Thomas brings experience from Shake Shack, Yoshinoya America, and other restaurant chains. His compensation includes a $425,000 base salary, a 75% target bonus, a $500,000 equity grant, and a $25,000 sign-on bonus.

• · Mr. Thomas previously served as Senior Vice President, Operations at Shake Shack Enterprises from August 2023 to September 2026.
• · He will receive severance benefits of 12 months of continued base salary if terminated without cause or resigns for good reason.
• · The equity grant vests over three years, subject to continued employment and performance conditions.
• · No family relationships exist between Mr. Thomas and any directors or executive officers.

25-09-2026

BitGo Holdings, Inc. (BTGO) disclosed on September 25, 2026, that COO Jody Mettler will resign effective October 16, 2026. The company stated the departure is not due to any disagreement with the company's operations, policies, or practices. Ms. Mettler will assist with the transition of her responsibilities to other leadership team members before her departure.

• · Resignation effective date: October 16, 2026
• · Ms. Mettler informed the Board on September 21, 2026
• · Company explicitly states departure is not due to any disagreement regarding operations, policies, or practices
• · Ms. Mettler will assist in transitioning her roles and responsibilities to other leadership team members

25-09-2026

SOBR Safe, Inc. has approved retention bonuses and release payments for directors and named executive officers totaling $865,000, with payments tied to remaining through the 2026 annual meeting and November 30, 2026. The company has discontinued revenue-generating operations, significantly reduced its workforce, and now meets the definition of a shell company. The Board has also approved providing stockholders with the option to vote on dissolution of the company.

• · The company has discontinued revenue-generating operations and significantly reduced its workforce.
• · The Board has approved providing stockholders with the option to vote to dissolve the company.
• · The company meets the definition of a shell company under Rule 12b-2 of the Securities Exchange Act of 1934.
• · Retention bonuses for directors are paid in two installments: 60% within 10 days of September 22, 2026, and 40% on November 30, 2026, subject to the annual meeting occurring and execution of a release agreement.
• · Executive officers agreed to remain employed through November 30, 2026, subject to stockholder approval of dissolution; if the company ceases to exist or employment is terminated without fault, the remaining 40% of the release payment is still payable.

25-09-2026

BlackRock Direct Lending Corp. announced the resignation of Patrick Wolfe as Chief Operating Officer, effective December 18, 2026, to pursue other opportunities outside BlackRock, with no disagreement cited. The Board appointed Dan Worrell, currently President of the Company and two affiliated funds, as the new COO effective the same date, while he retains his President role. This is a routine leadership succession with no financial impact disclosed.

• · Resignation effective date: December 18, 2026.
• · Appointment effective date: December 18, 2026.
• · Dan Worrell also appointed COO of BlackRock Private Credit Fund (BDEBT) and BlackRock TCP Capital Corp. (TCPC), same effective date.
• · Dan Worrell served as Co-Chief Investment Officer of the Company, BDEBT and TCPC from November 6, 2024 until September 2, 2026.
• · No family relationships or reportable transactions under Item 404(a) of Regulation S-K.

25-09-2026

Dynatrace LLC, as borrower, and Dynatrace Intermediate LLC, as holdings, entered into a Credit Agreement dated September 24, 2026, with Bank of America, N.A. as administrative agent and other lenders. The agreement establishes a revolving credit facility and includes standard representations, covenants, and events of default. No specific financial amounts or interest rates are disclosed in this filing excerpt.

• · The Credit Agreement is dated September 24, 2026, and was filed on September 25, 2026.
• · The facility is a revolving credit facility (Article II).
• · The agreement includes provisions for letters of credit, swing loans, and incremental facilities.
• · Financial covenants are included in Article VIII.
• · The agreement covers guarantees (Article XI) and collateral (Article XII).

25-09-2026

Pool Corporation announced the appointment of Jean-Marc Germain to its Board of Directors, effective September 30, 2026, expanding the Board to nine members. Mr. Germain brings extensive leadership experience from global industrial companies, including former CEO of Constellium SE. The appointment is a routine governance update with no financial impact or negative metrics to report.

• · Mr. Germain will serve until the 2027 annual meeting of shareholders, at which time he will stand for election.
• · He served as CEO of Constellium SE from 2016 to 2025 and currently serves as Special Advisor to that company's board.
• · Since 2021, Mr. Germain has served as an independent director of GrafTech International Ltd (NYSE-listed).
• · He holds a Master of Science from École Polytechnique in Paris.

25-09-2026

Quality Industrial Corp. (QIND) entered into a Share Exchange Agreement with its majority owner Fusion Fuel Green PLC on September 23, 2026, under which Fusion Fuel will issue 500,000 Class A ordinary shares valued at $2,000,000 to three third-party investors in exchange for QIND issuing $2,000,000 of its common stock to Fusion Fuel. Concurrently, QIND amended its existing Share Purchase Agreement for its 51% stake in Al Shola Gas, restructuring the $10,000,000 purchase price with $2,000,000 satisfied by the share exchange, $6,000,000 due by December 31, 2027, and $980,000 in cash by the same date. The transactions are subject to Nasdaq listing approval and other conditions, and the amendment eliminates prior debt financing obligations while granting QIND a call option to acquire the remaining 49% of Al Shola Gas at a pro rata valuation of $10,000,000.

• · The Share Exchange Agreement includes a mutual waiver and release of certain claims and mutual indemnification obligations capped at $2,000,000 with a $50,000 deductible.
• · The Agreement and Amendment No. 2 eliminates all previously existing obligations of QIND to provide or arrange debt financing, credit facilities, equity lines, or bank guarantees for Al Shola Gas or the Investors.
• · QIND has an irrevocable call option, exercisable until March 27, 2027, to purchase all or any portion of the remaining Al Shola Gas shares held by Investors at $65,359.48 per share.
• · Non-competition and non-solicitation restrictions on Investors are extended from 2 years to 4 years under the amendment.
• · The Share Exchange Agreement is governed by New York law with binding arbitration in New York before a panel of three arbitrators.
• · If the Parent Shares are not issued by December 31, 2026, QIND must make an Alternative Payment in cash or listed securities within 10 calendar days.

25-09-2026

Riot Platforms, Inc. fully prepaid and terminated its $200 million secured term loan facility with Coinbase Credit, Inc. on September 21, 2026. The prepayment was voluntary and incurred no early termination fees or penalties. The credit agreement, originally entered into in April 2026, was secured by a pledge of the company's financial assets including bitcoin, USDC, and cash held at Coinbase Custody Trust Company, LLC.

• · The credit agreement was dated April 21, 2026 and previously reported in an 8-K filed on April 27, 2026.
• · The prepayment date of September 21, 2026 falls after the four-month anniversary of the Original Maturity Date, resulting in a Day Count Fraction of zero and no early termination fees.
• · All accrued and unpaid interest through the prepayment date was paid in full.
• · Security interests granted under the Collateral Documents were released upon termination.

25-09-2026

BlackRock TCP Capital Corp. (TCPC) announced the resignation of Patrick Wolfe as Chief Operating Officer, effective December 18, 2026, to pursue other opportunities outside BlackRock, with no disagreement cited. The Board appointed Dan Worrell, currently President of TCPC, BDLC, and BDEBT, as the new COO effective the same date, while he retains his President roles. No financial figures or performance metrics were disclosed in this filing.

• · Patrick Wolfe's resignation is effective as of the close of business on December 18, 2026.
• · Dan Worrell's appointment as COO is effective as of the close of business on December 18, 2026.
• · Dan Worrell was also appointed COO of BlackRock Direct Lending Corp. and BlackRock Private Credit Fund, effective the same date.
• · Dan Worrell served as Co-Chief Investment Officer of TCPC, BDLC, and BDEBT from November 6, 2024 to September 2, 2026.
• · Dan Worrell is a Managing Director at BlackRock, Inc. and a senior member of the Private Financing Solutions platform.
• · No family relationships or reportable transactions under Item 404(a) of Regulation S-K exist for Mr. Worrell.

25-09-2026

Ashland Inc. and its subsidiaries amended and restated their receivables securitisation programme agreements, effective 24 September 2026, to transfer Bank of America N.A.'s role as Committed Purchaser to Bank of America Europe DAC and make technical amendments. The amendment confirms no Event of Termination is continuing, except for a Specified Default and Anticipated Default that were waived under a Limited Waiver, and the Performance Guaranty remains in full force. This is a routine financing structure update with no new funding amounts disclosed.

• · The amendment and restatement is dated 24 September 2026 and amends the Master Framework Agreement and Receivables Purchase Agreement originally dated 19 October 2023.
• · Bank of America, N.A. assigns its rights and obligations as Committed Purchaser to Bank of America Europe DAC, effective on the Effective Date.
• · The parties confirmed no Event of Termination is continuing, except for a Specified Default and Anticipated Default that were waived under a Limited Waiver by the Administrative Agent and ING Group Agent.
• · The Performance Guaranty provided by Ashland Inc. remains in full force and effect.
• · The governing law of the deed is English law, with exclusive jurisdiction of the courts of England.

25-09-2026

MARA Holdings, Inc. amended its Membership Interest Purchase Agreement for the acquisition of a Texas data center project with 2,000 megawatts of power capacity. The amendment restructures milestone payments and replaces return provisions with a sale process, while the aggregate purchase price remains $600 million. The company posted a $100.0 million security deposit with the electric utility, and the amendment introduces new milestones tied to regulatory audit and interconnection study outcomes.

• · The amendment eliminates provisions for return/reconveyance of membership interests if milestones are not met, replacing them with a third-party sale process with a right of first offer for Seller.
• · Milestone payments are restructured: payments tied to regulatory approvals are now payable in two installments upon (x) successful conclusion of the Audit and (y) Buyer's election to proceed after interconnection study.
• · Maximum payments tied to the Site being authorized to receive power have been increased.
• · The Milestone for Seller's retention of a minority interest upon execution of a data center lease with a third-party tenant remains unchanged.
• · The Security Deposit of $100.0 million may be withdrawn by Buyer in its sole discretion, subject to the sale process.

25-09-2026

BOXABL Inc. (Nasdaq: BXBL) appointed Timothy Goldsmith, CPA, a former EY audit partner with over 20 years of experience, to its board of directors as Audit Committee Chair, effective September 24, 2026. The appointment follows the recent additions of CFO Larry King and CAO Heather Clayton, as the company builds out its finance and governance infrastructure after going public in July 2026. The filing is a routine governance update with no negative or flat financial metrics reported.

• · Timothy Goldsmith spent nearly 21 years at EY, most recently as an audit partner from 2018 to 2026.
• · Goldsmith oversaw more than 20 complex public and private company audits and led a team of over 30 audit executives.
• · He led audit strategy for companies with revenues ranging from $200 million to over $3 billion.
• · Goldsmith holds a BBA in Accounting and Business Economics from Ohio University and is a CPA licensed in Ohio, Georgia, New Jersey, and Nevada.
• · Dr. Morris A. Davis, who previously chaired the Audit Committee, will remain a member of the committee.
• · BOXABL began trading on Nasdaq under ticker 'BXBL' on July 20, 2026, following its business combination with FG Merger II Corp.
• · The company has raised over $230 million from more than 50,000 investors since its inception in 2017.

25-09-2026

Box Inc. filed an 8-K on September 25, 2026, regarding the departure or election of a director or officer (Item 5.02). The filing incorporates by reference details about Mr. Smith from the company's Proxy Statement filed on May 13, 2026. No specific financial figures or performance metrics were disclosed in this filing.

• · The filing relates to Item 5.02 (Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers).
• · Details about Mr. Smith are incorporated by reference from the Proxy Statement filed on May 13, 2026.

25-09-2026

Mosaic Co has appointed Walt Precourt as Executive Vice President of Operations, effective December 1, 2026. The offer includes a base salary of $710,000, a short-term incentive target of 85%, and a long-term incentive target of $1,725,000, along with a one-time RSU award of $300,000. The filing reflects a routine executive hire with no negative or flat metrics to report.

• · The RSU award vests over three years: 33% on first anniversary, 33% on second, 34% on third.
• · Severance and Change in Control Agreement coverage extends through March 31, 2029.
• · Walt Precourt accepted the offer on September 15, 2026.

25-09-2026

Duke Energy announced the appointment of Joyce Mullen to its board of directors, effective September 28, 2026. Mullen, former CEO of Insight Enterprises, will serve on the Audit Committee and the Operations and Nuclear Oversight Committee. The appointment adds expertise in AI, digital innovation, and customer-focused execution to the board.

• · Mullen retired as president and CEO of Insight Enterprises in April 2026 and continues as executive vice president of strategic development.
• · Prior to Insight, Mullen held executive roles at Dell Technologies for 21 years and leadership roles at Cummins Engine Company.
• · Mullen serves on the board of The Toro Company and holds an MBA from Harvard Business School and a BA in international relations from Brown University.
• · Duke Energy is a Fortune 150 company serving 8.7 million electric customers and 1.6 million natural gas customers across six states.

25-09-2026

FactSet appointed Marcel Prins to its Board of Directors, effective September 25, 2026. Prins brings over 25 years of experience in operations, technology, and asset management, most recently as COO and director of Robeco. The appointment strengthens the board's technology and asset management expertise as FactSet continues to advance its AI and data solutions.

• · Prins served as COO and director of Robeco from 2022-2026.
• · He holds a Bachelor's degree in Computer Science from The Hague University of Applied Sciences.
• · FactSet serves more than 9,100 global clients and over 247,000 individual users.

25-09-2026

Genco Shipping & Trading Limited entered into the Fourth Amendment to its Shareholder Rights Agreement (poison pill) on September 25, 2026, extending the Final Expiration Date to September 30, 2027, and revising certain Qualifying Offer provisions. The amendment shortens the minimum Qualifying Offer price measurement period from 24 to 12 months, changes Board consideration and special meeting periods from 90 business days to 90 calendar days, and permits offer withdrawal upon a Material Adverse Effect. The Board determined the extension aligns with shareholder feedback and the advisory vote at the 2026 Annual Meeting.

• · The Fourth Amendment is dated September 25, 2026.
• · The Final Expiration Date is extended to September 30, 2027.
• · The measurement period for the minimum Qualifying Offer price is shortened from 24 months to 12 months prior to the commencement of the offer.
• · The period for the Board's consideration of a Qualifying Offer and for calling a special meeting is changed from 90 business days to 90 calendar days.
• · The Rights Agreement was originally dated October 1, 2025, and previously amended on June 2, 2026.
• · The amendment was based on the advisory shareholder vote at the 2026 Annual Meeting held on June 18, 2026.

25-09-2026

Dragonfly Energy Holdings Corp. dismissed CBIZ CPAs as its independent auditor and engaged MaloneBailey LLP, effective September 25, 2026. The change was approved by the Audit Committee and is not due to any disagreements or reportable events. This marks the second auditor change in under two years, following Marcum LLP's resignation in March 2025.

• · CBIZ CPAs' audit report for FY 2025 was unqualified with no adverse opinion or disclaimer.
• · No disagreements or reportable events occurred between the Company and CBIZ CPAs from March 31, 2025 to September 25, 2026.
• · The Company did not consult MaloneBailey on any accounting or audit matters prior to engagement.
• · This is the second auditor change in approximately 18 months; Marcum LLP resigned in March 2025.
• · A letter from CBIZ CPAs to the SEC is filed as Exhibit 16.1.

25-09-2026

Janus International Group disclosed three restructuring initiatives in 2026 expected to yield $10.8 million in annualized pre-tax cost savings, with non-recurring pre-tax charges of approximately $5.6 million. The company also granted special one-time RSU awards of $750,000 each to three executives (CFO Anselm Wong, EVP Morgan Hodges, and EVP Vic Nettie) as retention incentives. While the restructuring aims to improve profitability, the charges and workforce reductions signal ongoing operational challenges.

• · The restructuring initiatives include consolidation of ASTA manufacturing into Janus Core in Houston, Texas, with the ASTA facility subleased in September 2026.
• · Q2 2026 measures include converting Janus Core's Indiana plant to a distribution center, early exit of Nokē's Utah facility, and relocating Kiwi II operations from California to Arizona.
• · Majority of restructuring charges expected by end of Q3 ending October 3, 2026; implementation substantially complete by fiscal year end January 2, 2027.
• · Special RSU awards vest annually in three equal installments over three years, contingent on continued employment.

25-09-2026

CleanSpark, Inc. announced the closing of a $2.276 billion aggregate principal amount of 7.875% senior secured notes due 2031 by its wholly owned subsidiary, CSDC Finance I, LLC. The notes were offered in a private placement exempt from registration under the Securities Act of 1933. The company controls a portfolio of over 1.8 GW of power, land, and data centers across the United States.

• · The notes have not been registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from registration.
• · The offering was conducted by CleanSpark's wholly owned subsidiary, CSDC Finance I, LLC.
• · The company controls a portfolio of more than 1.8 GW of power, land, and data centers across the United States.

25-09-2026

Warner Music Group Corp. entered into an employment agreement with board member Valentin Blavatnik to serve as Managing Director, Warner Recorded Music, North America and UK, and Corporate Development, effective September 25, 2026. The agreement provides an annual base salary of $600,000 and potential future incentive compensation, with severance terms tied to certain termination scenarios. The appointment brings a board member into an executive role, which may raise governance considerations but does not involve any financial results or material operational changes.

• · Employment is at-will; Mr. Blavatnik may terminate with 120 days' notice, and Warner Music may terminate at any time.
• · Severance upon qualifying termination equals the greater of the applicable severance policy or his then-current annual base salary.
• · The agreement includes customary non-solicitation and restrictive covenants.
• · Mr. Blavatnik's role is full-time and exclusive, with exceptions for limited activities on behalf of Access Industries.

25-09-2026

Sadot Group Inc. dismissed its independent auditor, Kreit & Chiu CPA LLP, effective September 22, 2026, after shareholders failed to ratify their appointment at the 2026 Annual Meeting. The company simultaneously engaged CT International LLP as its new auditor for the fiscal year ending December 31, 2026. The dismissal follows a material weakness in internal controls over financial reporting that has not been fully remediated, and the prior audit report included a going concern explanatory paragraph.

• · The material weakness in internal control over financial reporting arose from insufficient staffing and limited financial and accounting resources, resulting in inadequate segregation of duties, insufficient review and oversight of complex accounting matters, and challenges in timely preparation and review of financial information.
• · The material weakness has not been fully remediated as of the filing date.
• · Kreit & Chiu's report on the 2025 financial statements contained an explanatory paragraph regarding substantial doubt about the company's ability to continue as a going concern.
• · There were no disagreements or reportable events (other than the material weakness) with Kreit & Chiu during the covered periods.
• · CT International was not consulted on any accounting or auditing matters prior to engagement.

25-09-2026

Live Nation Entertainment, Inc. (LYV) filed an 8-K on September 25, 2026, announcing the extension of Executive Vice President, General Counsel and Secretary Michael G. Rowles' employment agreement through December 31, 2029, with a transition to Senior Legal Advisor and a reduced base salary of $500,000 (no bonus) starting January 1, 2028. Concurrently, the company announced the hiring of Da-Wai Hu as the new Executive Vice President, General Counsel and Secretary, effective November 2, 2026, signaling a planned leadership transition in the legal function.

• · The First Amendment to Employment Agreement was entered into on September 25, 2026, and is effective November 1, 2026.
• · Rowles' existing employment agreement term was extended from December 31, 2027 to December 31, 2029.
• · Under the Amendment, if Rowles' employment is terminated by the Company without cause or by him for good reason, he is entitled to a lump sum payment equal to his base salary from termination through December 31, 2029.
• · Da-Wai Hu will assume the role of Executive Vice President, General Counsel and Secretary on November 2, 2026.

25-09-2026

Creative Medical Technology Holdings, Inc. (CELZ) acquired a controlling 80% stake in BioDefense, Inc. by purchasing 4,000,000 shares from Creative Acquisition Corp. (CAC) for $200,000 cash and 1,000,000 shares of CELZ common stock. The transaction is with a related party, as CELZ's CEO Timothy Warbington also controls CAC. The CELZ shares issued were unregistered and sold in a private placement under Section 4(a)(2) of the Securities Act.

• · The transaction closed on September 24, 2026.
• · The CELZ shares issued to CAC were unregistered and sold in a private placement under Section 4(a)(2) of the Securities Act.
• · Timothy Warbington indirectly owns all outstanding shares of CAC, making the transaction a related-party deal.

25-09-2026

Runway Growth Finance Corp. entered into an underwriting agreement on September 24, 2026, to issue $45.0 million aggregate principal amount of 7.75% Notes due 2031, with an expected closing on October 1, 2026. The underwriters also received a 30-day option to purchase up to an additional $6.8 million in notes to cover overallotments. This offering increases the company's debt obligations, but no performance metrics are provided in this filing.

• · The offering is made under shelf registration statement on Form N-2 (Registration No. 333-284781).
• · Preliminary prospectus supplement dated September 23, 2026; final prospectus supplement dated September 24, 2026.
• · The notes are listed on Nasdaq Global Select Market under trading symbol SWKHL.
• · The underwriting agreement is filed as Exhibit 1.1 to the 8-K.