US Material Events SEC 8-K Filings — September 29, 2026

29-09-2026

Delek US Holdings announced a proposed private offering of $400.0 million aggregate principal amount of convertible senior notes due 2031, with an option for initial purchasers to buy up to an additional $60.0 million. Proceeds will be used to partially repay amounts outstanding under the Term Loan Credit Facility, fund capped call transactions to offset potential dilution, and for general corporate purposes. The offering is opportunistic and enhances financial flexibility, but it increases leverage and potential dilution, with the notes being senior unsecured obligations.

• · Notes mature on November 1, 2031, unless earlier converted, redeemed or repurchased.
• · Notes are convertible prior to August 1, 2031 only upon satisfaction of certain conditions; thereafter convertible at any time until the second scheduled trading day before maturity.
• · Company may not redeem notes prior to November 6, 2029, except for a cleanup redemption.
• · Notes will be guaranteed by subsidiaries that guarantee the Term Loan Credit Facility or Revolving Credit Facility.
• · Offering is private, limited to qualified institutional buyers under Rule 144A.
• · Notes and related guarantees are unregistered and may not be offered or sold in the U.S. without registration or exemption.
• · Option counterparties may engage in derivative transactions that could affect the market price of common stock and notes.
• · Refining assets include refineries in Tyler and Big Spring, Texas, El Dorado, Arkansas, and Krotz Springs, Louisiana.

29-09-2026

Summit Therapeutics announced a $2.0 billion strategic equity investment from AstraZeneca in convertible preferred shares, priced at $18.36 per common share (a premium to the closing price), alongside a clinical trial collaboration to evaluate ivonescimab with AstraZeneca's ADC sonesitatug vedotin in gastrointestinal cancers and a non-binding MOU for broader ADC combinations. The investment and collaboration validate ivonescimab's potential, but the MOU is non-binding with no assurance of fruition, and ivonescimab remains unapproved in Summit's license territories. Summit's Phase III program shows positive readouts across five trials, yet the company faces regulatory and clinical execution risks.

• · Ivonescimab is not approved by any regulatory authority in Summit's license territories, including the US and Europe.
• · The MOU for the broader clinical trial collaboration is non-binding, with no assurances of fruition.
• · AstraZeneca's CLARITY-Gastric01 trial showed statistically significant OS improvement in 2nd/later-line Claudin18.2-positive advanced gastric cancer; results to be presented at ESMO 2026.
• · HARMONi-GI1 (Akeso-sponsored) showed statistically significant OS benefit in advanced BTC; HARMONi-GI3 is a Phase III trial in first-line metastatic CRC.
• · HARMONi-GU1 is a Phase II/III study in urothelial carcinoma with global site activations planned by Q4 2026.
• · Summit's BLA for ivonescimab was accepted by the FDA with a PDUFA date of November 14, 2026.
• · Ivonescimab has a half-life of 6-7 days after first dose, increasing to ~10 days at steady state.
• · Akeso reported positive OS benefits in HARMONi-A, HARMONi-2, HARMONi-6 (NSCLC) and HARMONi-GI1 (BTC) in China.

29-09-2026

Aquestive Therapeutics appointed Rich Daly to its Board of Directors, effective October 14, 2026. Mr. Daly brings over 30 years of life sciences leadership, including commercial launch expertise at AstraZeneca, Takeda, and Catalyst, which the company views as valuable as it prepares for the potential FDA approval and launch of Anaphylm. The board will now consist of eight directors, seven of whom are independent.

• · Rich Daly currently serves as President of Global Rare Disease at Angelini Pharma S.p.A. following Angelini's acquisition of Catalyst Pharmaceuticals, where he was President and CEO.
• · Mr. Daly previously served as Chairman and CEO of Neuralstem, COO of BeyondSpring Pharmaceuticals, COO and board member of Seed Therapeutics, and President of CARsgen Therapeutics Holdings Limited.
• · He has served on the boards of Catalyst Pharmaceuticals, Opiant Pharmaceuticals, Neuralstem, and Synergy Pharmaceuticals, where he chaired the Nominating and Governance Committee.
• · Aquestive is the exclusive manufacturer of four commercialized products marketed by its licensees across six continents.
• · The AdrenaVerse platform contains a library of more than 20 epinephrine prodrugs.

29-09-2026

Unicycive Therapeutics resubmitted its NDA for oxylanthanum carbonate (OLC) on September 29, 2026, including CMC data from a new manufacturing vendor with a favorable FDA inspection history. The company expects FDA acceptance within 30 days and a new PDUFA date six months from resubmission. As of June 30, 2026, Unicycive held $61.4 million in cash, providing runway into 2H 2027, but the company has faced two prior CRLs due to third-party manufacturing deficiencies, and the original vendor's reinspection remains uncompleted.

• · The new manufacturing vendor's facility was last inspected by the FDA in March 2024 and received 'No Action Indicated' status.
• · The NDA resubmission includes 12-month OLC drug product stability data from the new vendor and additional in-vitro bridging data.
• · The original third-party manufacturing vendor has received written FDA notification that its facility inspection has been assigned, but the inspection has not yet occurred as of September 29, 2026.
• · If the original vendor is inspected and deemed cGMP-compliant, Unicycive plans to seek FDA alignment on a shorter approval timeline.
• · Unicycive intends to keep both drug product vendors to maintain supply chain redundancy.
• · OLC is protected by a strong global patent portfolio with exclusivity until 2031 and potential patent term extension until 2035.
• · The company's second investigational treatment UNI-494 has received FDA orphan drug designation for prevention of Delayed Graft Function in kidney transplant patients.

29-09-2026

Stewards, Inc. (SWRD) filed an 8-K on September 29, 2026, indicating a material agreement entry related to the acquisition of Envy Development PB, LLC, which owns a 214-unit apartment complex in Pompano Beach, Florida. The audited financial statement for the year ended December 31, 2025, shows total revenue of $4,904,596 and revenues in excess of certain operating expenses of $401,447, resulting in a thin margin of approximately 8.2%. The filing includes an emphasis-of-matter paragraph noting the financial statement was prepared solely for SEC compliance and is not a complete presentation of the company's revenues and expenses.

• · The property is a 214-unit residential community located in Pompano Beach, Florida.
• · The financial statement was prepared solely for SEC Rule 3-14 compliance and excludes management fees, depreciation, amortization, and interest.
• · No single tenant comprised over 10% of total revenue in 2025.
• · The company received a $202,030 federal income tax refund subsequent to year-end from a successful property tax challenge.
• · Minimum future lease rentals total $4,479,997, with $4,227,152 due in 2026 and only $252,845 thereafter, indicating most leases expire in 2026.

29-09-2026

Liberty Star Uranium & Metals Corp. entered into a Securities Purchase Agreement with Monroe Street Capital Partners LP on September 21, 2026, issuing a convertible promissory note with a principal amount of $95,700. The note carries an 8% interest rate, matures in one year, and includes a 10% original issue discount. This financing provides the company with approximately $86,130 in net proceeds after the OID.

• · The note matures in one year from the date of the agreement (September 21, 2026).
• · The outstanding principal and accrued interest are convertible into shares of the company's common stock.
• · The filing includes exhibits: Convertible Promissory Note (Exhibit 3.89) and Securities Purchase Agreement (Exhibit 3.90).

29-09-2026

Futurewave Acquisition Corporation (Nasdaq: FWAC), a SPAC, announced a definitive merger agreement with Olympian Group Inc., a Cayman Islands holding company of HK Shang Ge Industrial Limited, which provides integrated chip and electronic component solutions in Hong Kong. The combined company is expected to be Nasdaq-listed, with Olympian shareholders receiving 40,000,000 Purchaser ordinary shares valued at $10.00 per share, based on a Company Net Value of $400,000,000. The transaction is subject to customary closing conditions, including regulatory and shareholder approvals, and no financial performance data for either entity is disclosed in this filing.

• · Futurewave is a Cayman Islands SPAC with units, ordinary shares, warrants, and rights listed on Nasdaq under symbols FWACU, FWAC, FWACW, and FWACR.
• · Olympian operates through its wholly owned Hong Kong subsidiary, HK Shang Ge Industrial Limited.
• · Olympian's business model is vertically oriented, focusing on integrated electronic component solutions for automotive electronics and industrial connectivity sectors.
• · Each Purchaser Class A ordinary share carries one vote; each Purchaser Class B ordinary share carries ten votes and is convertible into one Class A share at the holder's option.
• · Lock-up restrictions on Olympian key founder shares expire the earlier of six months after closing or when the closing price of Purchaser Class A ordinary shares equals or exceeds $12.50 per share for 20 trading days within any 30-trading-day period.
• · The Merger Agreement is dated September 28, 2026, and the filing was made on September 29, 2026.
• · No financial performance data (revenue, profit, growth rates) for Futurewave or Olympian is disclosed in this filing.

29-09-2026

AAR CORP. announced a definitive agreement to acquire a 65% controlling interest in MRO Holdings at an implied enterprise value of $4.0 billion, significantly enhancing its aftermarket platform scale, margins, and cash flow. The acquisition adds over $1 billion in revenue from blue-chip U.S. airline customers and is expected to expand AAR's consolidated adjusted EBITDA margins from approximately 12% to 16% before synergies, with a target of 19% to 20% within three to four years. The transaction is expected to close in AAR's fiscal third quarter ending February 2027 and will be funded through approximately $2.1 billion of new debt, $780 million of equity issued to MRO Holdings shareholders, and $230 million from a PIPE offering.

• · AAR will have the option to acquire the remaining 35% of MRO Holdings in tranches: 5% at any time within six years, and 30% in three equal 10% tranches on the second, third, and fourth anniversaries of closing.
• · AAR expects net leverage to return to its target range of 2.0x to 2.5x over the medium term.
• · AAR expects to maintain its BB-category credit rating profile at S&P and Moody's.
• · The transaction is expected to close in AAR's fiscal third quarter ending February 2027.
• · AAR will receive 100% of the excess cash flow from MRO Holdings during the first two years of ownership.
• · MRO Holdings operates facilities in El Salvador, Mexico, Colombia, and the United States.
• · Approximately 90% of MRO Holdings' revenue is from U.S. customers.
• · AAR's Board of Directors has unanimously approved the transaction.

29-09-2026

Korn Ferry held its 2026 Annual Meeting on September 24, 2026, where stockholders approved the Amended and Restated 2022 Stock Incentive Plan, increasing available shares by 1,400,000 and extending the plan term to September 24, 2036. All nine director nominees were elected, and the advisory executive compensation resolution, the Plan, and the ratification of Ernst & Young LLP as independent auditor were approved. The company also disclosed the Plan's adoption by the Board on August 4, 2026, subject to stockholder approval.

• · The Plan extends the term to September 24, 2036.
• · The Plan revises the non-employee director compensation limit to an annual cash limit instead of an annual share limit.
• · The Plan was approved by stockholders with 43,102,365 votes for, 2,155,490 against, and 24,204 abstentions.
• · The advisory executive compensation resolution received 43,800,129 votes for, 1,145,915 against, and 336,015 abstentions.
• · The ratification of Ernst & Young LLP received 46,296,359 votes for, 1,349,716 against, and 30,086 abstentions.
• · Broker non-votes were 2,394,102 for all director elections and the compensation and Plan matters.
• · The 2026 Annual Meeting was held on September 24, 2026.
• · The Board unanimously adopted the Plan on August 4, 2026, subject to stockholder approval.

29-09-2026

Chesapeake Utilities Corporation designated Jeffrey S. Sylvester as principal financial officer and Michael D. Galtman as principal accounting officer on September 28, 2026. Both executives continue in their existing roles (CFO and Chief Transformation Officer, respectively) with no changes to compensation. The designations formalize their responsibilities under SEC regulations.

• · Michael D. Galtman served as Chief Accounting Officer from 2019 to April 2026 before becoming Chief Transformation Officer.
• · Galtman played a key leadership role in the acquisition of Florida City Gas in 2023.
• · Galtman is a Certified Public Accountant and member of the Pennsylvania Institute of CPAs, American Gas Association, and Florida Natural Gas Association.
• · No material compensatory plans or grants were entered into or modified for either officer in connection with these designations.

29-09-2026

D. Boral Acquisition I Corp. (DBCA) announced the resignation of independent director George Kollitides from the Board of Directors, effective September 23, 2026, for personal reasons. The resignation was not related to any disagreement with the company regarding its operations, policies, or practices. This is a routine board change with no financial impact.

29-09-2026

National Healthcare Properties, Inc. (NHPBP) disclosed that termination rights for a purchaser expired on September 25, 2026, under a material agreement to sell a portfolio of 40 outpatient medical facilities for approximately $531 million. The transaction is expected to close in Q4 2026. The filing does not provide any comparative financial data or performance metrics, only the forward-looking sale details.

• · The purchase and sale agreement (PSA) was originally dated July 15, 2026.
• · The PSA includes customary representations, warranties, covenants, and post-closing obligations.
• · The full text of the PSA will be filed as an exhibit to the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2026.

29-09-2026

T1 Energy Inc. entered into a Note Purchase Agreement on September 28, 2026, to issue and sell 4.75% Convertible Senior Notes due 2031 to a purchaser, with identical terms to its existing notes issued on July 31, 2026. The proceeds will fund Phase 1 of its solar cell manufacturing fab in Milam County, Texas, and general corporate purposes. The closing is expected two business days after the effective date, subject to conditions including NYSE listing approval for shares issuable upon conversion.

• · Notes are convertible into cash, shares of common stock (par value $0.01 per share), or a combination, at the Company's option.
• · The Notes will be treated as a single series with the existing 4.75% Convertible Senior Notes due 2031 issued on July 31, 2026.
• · The offering is exempt from registration under Section 4(a)(2) of the Securities Act of 1933.
• · Closing is scheduled for two business days after the Effective Date, subject to conditions including approval for listing on the New York Stock Exchange of shares issuable upon conversion.
• · Proceeds will be used for construction, development, and purchase of production line equipment for Phase 1 of the solar cell manufacturing fab, plus general corporate purposes.

29-09-2026

1-800-FLOWERS.COM, Inc. (FLWS) announced a definitive agreement to sell PersonalizationMall.com and Things Remembered to PlanetArt, LLC for approximately $45 million in cash, subject to customary closing conditions. The transaction is part of the company's strategy to simplify its business, sharpen portfolio focus, and strengthen its financial position, with proceeds to be partially reinvested in primary brands. The company expects to update its fiscal 2027 guidance, which did not incorporate this transaction, in conjunction with its Q1 FY27 earnings release.

• · The transaction is expected to close within the coming weeks, subject to customary closing conditions.
• · The company and PlanetArt expect to enter into a commercial agreement to continue offering select PersonalizationMall.com products to customers.
• · Fiscal 2027 guidance provided on September 10, 2026 did not incorporate the transaction's impact; the company is evaluating the impact and planned reinvestment of a portion of proceeds.
• · The company expects to provide an update on fiscal 2027 guidance with its Q1 FY27 earnings release.

29-09-2026

BeyondSpring Inc. announced FDA Fast Track designation for Plinabulin in post-ICI non-squamous NSCLC and a strategic transaction to sell its majority equity interest in its Chinese subsidiary to Biolin Investment Limited. The transaction is expected to fund approximately 50% of the global Phase 3 DUBLIN-4 trial enrollment (221 of 442 patients) and substantially reduce the company's cash requirements. While the Fast Track designation and non-dilutive funding are positive catalysts, the company is selling a majority equity interest in its Chinese subsidiary, and the transaction's benefits depend on successful execution of the China portion of the trial and regulatory acceptance of the data.

• · FDA Fast Track designation provides opportunities for more frequent FDA interactions and potential rolling review of a future regulatory application.
• · Plinabulin may be eligible for Priority Review if applicable criteria are met.
• · DUBLIN-4 primary endpoint is overall survival (OS); secondary endpoints include PFS and ORR.
• · BeyondSpring retains global rights to Plinabulin outside Greater China after the transaction.
• · Biolin's funding obligation is non-cash consideration for the sale of BeyondSpring Ltd.
• · The transaction is subject to closing conditions and risks including regulatory data-transfer requirements.
• · 12 prior Phase 3 trials evaluating different approaches against docetaxel in post-ICI setting have failed to show OS benefit.
• · DUBLIN-3 post-ICI subgroup showed median OS 15.8 months vs 11.7 months (HR 0.55) and ORR 18.2% vs 8.0%.
• · Study 303 (n=47) showed median PFS 7.0 months, disease control rate 79.5%, confirmed ORR 18.2%, and 2-year OS rate 58%.
• · BeyondSpring is an early incubator of and maintains an equity interest in SEED Therapeutics.

29-09-2026

Sherwin-Williams entered into a new $750 million 364-day senior unsecured term loan agreement on September 24, 2026, replacing its existing delayed draw term loan, and its subsidiary SW Luxembourg entered into a €100 million term loan agreement with ING Bank. The new facilities mature on September 23, 2027, and are used to refinance the prior debt and for general corporate purposes. The company maintains a leverage ratio covenant of 3.75x, which can be temporarily increased to 4.25x following a qualifying acquisition.

• · The new $750M term loan matures on September 23, 2027.
• · The EUR term loan matures on September 23, 2027, with an option to extend by up to two additional six-month periods.
• · The existing 364-day delayed draw term loan (dated August 8, 2025) was repaid and terminated.
• · Sherwin-Williams guarantees the obligations of SW Luxembourg under the EUR term loan.
• · The leverage ratio covenant is 3.75x, with a temporary increase to 4.25x for four fiscal quarters following a qualifying acquisition.

29-09-2026

Altimmune, Inc. appointed Richard Menziuso as Vice President, Global Controller and Principal Accounting Officer, effective September 29, 2026. Gregory Weaver remains CFO. Mr. Menziuso brings 28 years of finance and accounting experience, including roles at Centessa Pharmaceuticals, Thermo Fisher Scientific, and Axovant Gene Therapies.

• · Appointment effective September 29, 2026.
• · Mr. Menziuso is a Certified Public Accountant and Chartered Global Management Accountant.
• · No family relationship between Mr. Menziuso and any director or executive officer.
• · Company will enter into an indemnification agreement with Mr. Menziuso in substantially the same form as with other executive officers.

29-09-2026

CID Holdco, Inc. (DAICW) entered into a Securities Purchase Agreement on September 25, 2026 to acquire 100% of Envoy Technologies, Inc. from BladeRanger Ltd. for $65 million in stock (10,833,333 shares at $6.00 per share), comprising common stock and newly authorized Series C Convertible Preferred. The acquisition is targeted to close by October 6, 2026, subject to customary conditions including Israeli regulatory approvals and conversion of a $12.5 million Envoy convertible note. However, stockholder approval (required under Nasdaq rules) is not a condition to closing and must be obtained by January 31, 2027, creating execution risk. BladeRanger will receive board representation and a three-year non-compete in the U.S. residential, hospitality and campus shared electric vehicle mobility markets.

• · The Purchase Agreement supersedes the Binding Summary of Principal Terms dated September 14, 2026.
• · BladeRanger holds 100% of Envoy's outstanding capital stock (135 shares of common stock).
• · Series C Preferred has a stated value of $6.00 per share, is non-voting (except protective provisions), and converts 1:1 into Common Stock after stockholder approval.
• · BladeRanger's lock-up expires on the earlier of April 1, 2027 or six months following conversion of Series C Preferred.
• · Envoy Convertible Noteholder's shares are subject to a 12-month lock-up with a carve-out for a registered pro rata distribution to its stockholders.
• · Post-closing, BladeRanger has the right to designate one director and one member of executive management as long as it holds at least 10% of outstanding Common Stock on an as-converted basis.
• · The Company and Envoy are subject to a three-year non-compete in the U.S. residential, hospitality and campus shared electric vehicle mobility markets.
• · Registration rights agreement requires the Company to file a resale registration statement on Form S-1 within 60 days of receiving Envoy's Rule 3-05 financial statements.
• · Representation and warranty claims are subject to a $100,000 deductible; general indemnification cap is 25% of Envoy-Side Shares value ($16.25M).
• · BladeRanger's indemnification obligations (except for fraud) are satisfied solely from shares, with no cash liability.

29-09-2026

JELD-WEN announced a comprehensive agreement to extend its 2027 Notes and 2028 Term Loans maturities to 2031 and raise $135 million of incremental liquidity. The commitment and consent letter represents approximately 94.5% of the 2027 Notes and 72.2% of the 2028 Term Loans. While this strengthens the balance sheet and provides runway, the company faces near-term debt maturities and risks if the transactions are not consummated, including potential going concern issues.

• · The company operates facilities in 14 countries in North America and Europe.
• · The company intends to commence exchange offers to holders of the 2027 Notes and 2028 Term Loans in the coming weeks.
• · The agreement addresses near-term debt maturities and strengthens the capital structure.
• · If the transactions are not consummated, the company may face delays, significant costs, and potential going concern issues.

29-09-2026

SoundThinking, Inc. (SSTI) has entered into a definitive merger agreement to be acquired by Transom Capital Group in a tender offer valued at $8.00 per share in cash, plus a non-transferable contingent value right (CVR) worth up to an additional $3.00 per share, for aggregate potential consideration of up to $11.00 per share. The upfront cash consideration represents a 46% premium to the closing price on September 28, 2026, and shareholders owning approximately 33% of outstanding shares have already agreed to tender. The transaction is expected to close in Q4 2026, after which SoundThinking will become a private company and its shares will no longer trade on Nasdaq.

• · CVR entitles holders to $0.50 per share if 2027 revenue for ShotSpotter and SafePointe products is at least $73.5M, plus additional $0.05 per share for every $0.5M of revenue above $73.5M up to $75.5M, and $0.05 per share for every $0.25M of revenue above $75.5M up to $87M.
• · Gary M. Lauder and affiliated entities (17% ownership) have agreed to tender shares and will invest and maintain an equity position in the go-forward company, retaining their proportionate CVRs.
• · Veradace Partners L.P. (16% ownership) has also entered into a tender and support agreement.
• · Transaction is subject to customary closing conditions, including tender of at least a majority of outstanding shares.

29-09-2026

Monroe Capital Asset-Backed Finance Company, LP entered into an Amended and Restated Operating Agreement and a Second Amended and Restated Limited Partnership Agreement on September 28, 2026, to add two new classes of shares (Class MF and Class WF) for Series II and include additional provisions related to borrowings. The amendments restate prior agreements from July 17, 2026. No financial impact was disclosed.

• · The A&R Operating Agreement added Class MF Shares and Class WF Shares to Series II.
• · The Second A&R LPA added provisions related to borrowings in addition to the new share classes.
• · Both agreements were effective September 28, 2026, and restated prior agreements dated July 17, 2026.

29-09-2026

LAGO Evergreen Credit, as servicer and originator, along with LAGO Evergreen SPE, LLC as borrower, entered into a Fourth Amendment to their Loan and Security Agreement on September 24, 2026. The amendment adds MUFG Bank, Ltd. as a new lender to the existing lending syndicate, which includes KeyBank National Association and Axos Bank. The filing does not disclose any new financial commitments, changes to existing loan amounts, or performance metrics, making it a routine administrative update to the credit facility.

• · The original Loan and Security Agreement was dated February 28, 2025, with prior amendments on May 5, 2025, September 9, 2025, and December 12, 2025.
• · MUFG Bank, Ltd. joined as a new lender with a 'Commitment' as set forth in Schedule C-1, but the commitment amount is not disclosed in this filing.
• · The amendment was executed by Heather La Freniere as Managing Member for all three Lago entities (Borrower, Servicer/Originator, and Investment Manager).
• · No financial terms, interest rates, or facility amounts were modified or disclosed in the public filing.

29-09-2026

Reynaldo's Mexican Food Company, Inc. (RYNL) filed an 8-K disclosing the forced dismissal of its auditor, BF Borgers, following a May 2024 SEC cease-and-desist order that permanently barred the firm from practicing before the Commission. The company ratified the engagement of Beckles & Co. as its new auditor and simultaneously disclosed the resignation of two former directors and the appointment of 29-year-old Tu Jingyi as CEO, CFO, President, and Treasurer. The filing reveals significant governance and compliance upheaval, including a retroactive resignation effective November 2023 and a period where a single individual held all key officer roles.

• · The SEC's order against BF Borgers was entered on May 3, 2024, but the board ratification of the dismissal occurred on September 18, 2026.
• · Chi Wai (Michael) Woo's resignation was accepted on July 1, 2026, but was made effective retroactively to November 15, 2023.
• · From November 2023 to July 1, 2026, Chi Ching Hung was the sole director and held all officer positions (CEO, CFO, President, Treasurer).
• · The company does not have an audit committee.
• · The new CEO, Tu Jingyi, has no material compensation plans, contracts, or arrangements in connection with his appointment.
• · Tu Jingyi previously founded Guardforce AI Co., Limited (NASDAQ: GFAI) and led its 2021 Nasdaq IPO.

29-09-2026

Lightwave Logic, Inc. appointed Edward H. Kennedy to its Board of Directors effective September 23, 2026, expanding the board to 7 members. Mr. Kennedy brings over 30 years of telecom and networking experience, including prior CEO roles at CENX and Tollgrade Communications, as well as public-company board service at Extreme Networks. The appointment enhances the board's capability to guide the company's commercial strategy and position its electro-optic polymer platform for AI-driven data center demand. No financial or operational metrics were disclosed in this filing.

• · Mr. Kennedy currently serves as Principal of Kenko Partners.
• · He was CEO of CENX when it was acquired by Ericsson in 2018.
• · He led Tollgrade Communications through its take-private transaction with Golden Gate Capital.
• · He has served on the Board of Extreme Networks since 2011.
• · Prior board service includes Visual Networks, Hatteras Networks, Imagine Communications and Avizia.
• · Filing includes a safe harbor statement for forward-looking statements.

29-09-2026

Society Pass Incorporated announced the mass resignation of its entire Board of Directors and its CEO and CFO, leaving the company with no board members. Effective departures occurred between September 8 and September 30, 2026, with all resignations stated as not resulting from any disagreement with the company. This governance vacuum raises significant operational and compliance concerns.

• · Jeremy Rosenthal resigned effective September 8, 2026.
• · Michael Dunn, Travis Washko, Mark Carrington, Michael Freed, and Vincent Puccio resigned effective September 11, 2026.
• · Following these resignations, the company has no remaining board members.
• · CEO Ray Liang resigned effective September 30, 2026.
• · CFO Tan Yee Siong resigned effective September 30, 2026.
• · All resignations were stated to be not the result of any disagreement with the company on operations, policies, or practices.
• · The filing was signed by Raynauld Liang as CEO, indicating a potential overlap or error in reporting.

29-09-2026

On September 25, 2026, Verizon Communications Inc. elected Charles Phillips, Co-Founder & Managing Partner of Recognize Partners LP, as a director, effective immediately. Mr. Phillips will participate in the standard non-employee director compensation program and has not yet been assigned to any Board committee. This is a routine board appointment with no financial impact.

• · Charles Phillips is Co-Founder & Managing Partner of Recognize Partners LP.
• · Mr. Phillips has not yet been named to a Board committee.
• · The appointment was effective September 25, 2026, and the 8-K was filed September 29, 2026.

29-09-2026

Lifecore Biomedical's subsidiary entered into Amendment No. 3 to its contract manufacturing agreement with Alcon Research, extending the term from December 31, 2031 to December 31, 2034, with automatic 24-month renewals thereafter. The amendment establishes Alcon's minimum purchase obligations through 2034 and certain supply obligations for Lifecore, while also imposing a non-compete restriction on Lifecore for certain products competing with Alcon, effective November 1, 2026. The agreement provides revenue visibility through extended commitments, but the non-compete clause may limit future business development in competing areas.

• · The Third Amendment is effective November 1, 2026.
• · The initial term now ends December 31, 2034, extended from December 31, 2031.
• · Automatic renewal periods are 24 months unless proper notice is given.
• · Non-compete restriction applies to new agreements for certain products directly competing with Alcon products, but does not affect pre-existing agreements or renewals on substantially similar or more favorable terms.
• · The full text of the Third Amendment will be filed as an exhibit to the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2026.

29-09-2026

Advanced Flower Capital Inc. (AFCG) entered into Amendment Number Ten to its Loan and Security Agreement on September 25, 2026. The amendment increases aggregate revolver commitments to $130 million for a specified period, including a quarterly temporary increase of up to $50 million, while the base revolver amount remains $80 million. This filing represents a material modification of the company's credit facility, creating a direct financial obligation.

• · The Tenth Amendment was entered into on September 25, 2026, and the 8-K was filed on September 29, 2026.
• · The amendment sets certain conditions for the advance rate against credit facilities in the borrower base and revises the loan fee structure.
• · The aggregate revolving commitments automatically reduce to $80 million upon expiration of any Quarterly Temporary Increase Period.
• · The filing is made under Items 1.01 (Entry into a Material Definitive Agreement), 2.03 (Creation of a Direct Financial Obligation), and 9.01 (Financial Statements and Exhibits).

29-09-2026

Bluerock Acquisition Corp. II, a blank check company, priced its initial public offering of 15,000,000 units at $10.00 per unit, raising $150 million. The units will trade on Nasdaq under 'BRRKU' starting September 25, 2026, with each unit consisting of one Class A ordinary share and one-half of a redeemable warrant exercisable at $11.50 per share. The offering is expected to close on September 28, 2026, and the company has granted underwriters a 45-day option to purchase up to an additional 2,250,000 units to cover over-allotments.

• · The units are expected to begin trading on Nasdaq under the ticker 'BRRKU' on September 25, 2026.
• · Once separate trading begins, Class A ordinary shares and warrants will trade under 'BRRK' and 'BRRKW', respectively.
• · The underwriters have a 45-day option to purchase up to an additional 2,250,000 units to cover over-allotments.
• · The offering is expected to close on September 28, 2026.
• · The company is a blank check company formed to effect a merger, share exchange, asset acquisition, or similar business combination with one or more businesses.

29-09-2026

Modular Medical, Inc. disclosed that two directors, Jeffrey Goldberg and Carmen Volkart, will not stand for re-election at the fiscal 2027 annual meeting. Both departures are not due to any disagreement with the company on operations, policies, or practices. The changes are routine governance transitions with no immediate financial impact.

29-09-2026

Plains All American Pipeline and Plains GP Holdings announced the appointment of Dean Liollio as Executive Vice President and Chief Operating Officer, effective October 2, 2026, replacing Chris Chandler, who is resigning to pursue other interests. Liollio, 67, has been with Plains since 2008 and most recently served as Senior Vice President, Special Projects. The transition is amicable, with no disagreement related to company operations, policies, or practices.

• · Dean Liollio previously served as President of Plains Midstream Canada (2020-2024), President of PAA Natural Gas Storage (2008-2020), and President of Plains Gas Solutions (2016-2020).
• · Liollio holds a Bachelor of Science in Industrial Engineering from Texas A&M University.
• · Chris Chandler's resignation is not due to any disagreement with the company's operations, policies, or practices.

29-09-2026

Lexeo Therapeutics completed its acquisition of Mantle Therapeutics on September 29, 2026, with an upfront consideration of $5.3 million in cash and $3.0 million in Lexeo common stock. The deal includes contingent payments of up to $13.0 million, comprising a $1.0 million additional cash payment and up to $12.0 million in development and regulatory milestones over 12 years. The acquisition adds Mantle's product candidates to Lexeo's pipeline, but milestone payments are not guaranteed and no specific development resources are committed beyond commercially reasonable efforts.

• · Merger agreement dated September 16, 2026
• · Mantle continues as a wholly-owned subsidiary of Lexeo
• · Mantle restricted stock vested and cancelled for same consideration
• · Mantle SAFEs cancelled for applicable consideration
• · Convertible promissory notes cancelled upon payoff
• · Milestone term is 12 years
• · Milestone payments may be in cash or stock valued at 30-day VWAP
• · Common stock issued was unregistered, relying on Section 4(a)(2) and Regulation D
• · Lexeo is an emerging growth company

29-09-2026

Angel Oak Mortgage REIT, Inc. extended its loan financing facility with Multinational Bank 1 through December 28, 2026, after it was set to expire on September 25, 2026. The extension also reduced the interest rate pricing spread from a range of 1.30% to 2.10% to a new range of 1.20% to 2.10%, reflecting improved borrowing terms. This is a routine financing update with no negative or flat metrics reported.

• · The facility extension contemplates rolling three-month renewals.
• · The facility was extended from September 25, 2026 to December 28, 2026.

29-09-2026

Tesla entered into three new credit facilities totaling $30.0 billion on September 29, 2026, replacing an existing $5.0 billion revolving credit facility that was terminated. The new facilities include a $20.0 billion delayed draw term loan, an $8.0 billion five-year revolving facility, and a $2.0 billion 364-day revolving facility, all senior unsecured. Tesla had no borrowings outstanding under any of the facilities as of the filing date and does not plan to draw on them in 2026, indicating the agreements are precautionary for future liquidity needs.

• · The Term Loan Facility's undrawn commitments automatically reduce to $10.0B on first anniversary, $5.0B at 15 months, and terminate at 18 months.
• · Term Loan Facility matures on September 29, 2029.
• · Five-Year Revolving Facility matures on September 29, 2031, with up to two one-year extensions possible.
• · 364-Day Revolving Facility matures on September 28, 2027, with a term-out option for an additional year.
• · Tesla may increase Revolving Facilities by up to $4.0B, potentially reaching $14.0B aggregate.
• · Interest rates are based on Term SOFR, alternate base rate, SONIA (GBP), or adjusted EURIBOR (EUR), plus margins tied to Tesla's credit rating.
• · Tesla must pay commitment fees on unused Revolving Facilities and ticking fees on undrawn Term Loan commitments.
• · Covenants include restrictions on liens and subsidiary indebtedness, plus a $5.0B minimum consolidated liquidity requirement.
• · No early termination penalties were incurred from terminating the $5.0B Existing Revolving Credit Agreement.
• · Tesla does not plan to draw on the facilities in 2026.

29-09-2026

Harvard Ave Acquisition Corp (HAVA), a SPAC, announced a definitive business combination agreement with OAG International Ltd, a global pipeline construction and integrity services provider. The combined company, OAG Pipeline Technologies Inc., will be listed on Nasdaq. The transaction has been approved by both boards but is subject to shareholder and regulatory approvals, with no assurance of completion. OAG has completed over 200 projects in 27+ countries, but the deal carries risks including potential failure to meet HAVA's business combination deadline.

• · OAG was founded in 1999 by Jonathan Chong and has over 25 years of operating history.
• · OAG's strategy includes expanding into the Americas and Africa and developing proprietary technologies.
• · The transaction is expected to be completed by HAVA's business combination deadline, but there is risk of failure to obtain extensions.
• · The combined company will be named OAG Pipeline Technologies Inc. and will be listed on Nasdaq.
• · The business combination involves two mergers: OAG Merger Sub I merges with HAVA, and OAG Merger Sub II merges with OAG.

29-09-2026

Plains All American Pipeline and Plains GP Holdings announced the appointment of Dean Liollio as Executive Vice President and Chief Operating Officer, effective October 2, 2026, replacing Chris Chandler, who is resigning to pursue other interests. The transition is amicable and not related to any operational or policy disagreements. Mr. Liollio, age 67, brings extensive experience within Plains and the broader energy sector, having served in multiple leadership roles since 2008.

• · Dean Liollio previously served as Senior Vice President, Special Projects from June 2024 until his appointment
• · Mr. Liollio was President of Plains Midstream Canada from 2020 to 2024
• · Mr. Liollio was President of PAA Natural Gas Storage from 2008 to 2020
• · Mr. Liollio was President of Plains Gas Solutions from 2016 to 2020
• · Mr. Liollio holds a Bachelor of Science degree in Industrial Engineering from Texas A&M University
• · Chris Chandler's resignation is not due to any disagreement relating to the company's operations, policies, or practices

29-09-2026

On September 24, 2026, Mark Hamm, Chief Operating Officer and Board member of Arrive AI Inc., notified the company of his resignation effective October 2, 2026. The resignation was not due to any disagreement with the company regarding its operations, policies, or practices. No financial impact or other material changes were disclosed.

• · Resignation effective October 2, 2026
• · Resignation not due to any disagreement with the company

29-09-2026

Unitil Corporation entered into a Note Purchase Agreement on September 24, 2026, issuing $60M in senior unsecured notes across two tranches: $27M at 5.42% due 2031 and $33M at 5.79% due 2036. Proceeds will be used for capital contributions to utility subsidiaries, refinancing existing debt, and general corporate purposes. The notes were sold to institutional investors under a private placement exemption from registration. No period-over-period comparisons are available as this is a new debt issuance event.

• · The notes were issued under the exemption from registration under Section 4(a)(2) of the Securities Act of 1933.
• · Certain purchasers (or their affiliates) are holders of other indebtedness of Unitil or its subsidiaries.
• · The Note Purchase Agreement and Notes contain customary representations, warranties, covenants, and events of default.
• · The Company intends to use net proceeds for capital contributions to utility subsidiaries, refinancing existing debt, and general corporate purposes.

29-09-2026

NanoViricides, Inc. extended employment agreements with President Anil Diwan and CFO Meeta Vyas through June 30, 2027. The agreements detail compensation packages and benefits for both executives.

• · President Anil Diwan's extension runs from July 1, 2026 to June 30, 2027.
• · Diwan's base salary is $400,000 per year and he receives 10,204 shares of Series A Preferred Stock vesting quarterly.
• · He is eligible for six months' severance salary and benefits if terminated without cause.
• · CFO Meeta Vyas's extension is for one year from July 1, 2026 to June 30, 2027 on same general terms as her prior agreement.
• · Vyas's prior monthly compensation was $10,800 (increased from $9,000 in 2015) and she received 129 shares of Series A preferred stock monthly.
• · The company will reimburse up to 50% of Vyas's health insurance costs, capped at $2,500 per month.

29-09-2026

Elme Communities completed the sale of all remaining properties, including The Kenmore and 3801 Connecticut Avenue, receiving approximately $103.2 million in net proceeds, and repaid its $520 million term loan in full. The Board declared an additional liquidating distribution of $1.74 per share, bringing total distributions to $16.41 per share, and the company plans to delist from the NYSE in early November 2026, followed by dissolution and transfer of remaining assets to a liquidating trust. However, the company expects to retain approximately $23.3 million for wind-down liabilities and $9.5 million in reserves, with no assurance of further distributions.

• · Sale of Riverside Apartments completed on September 14, 2026
• · Final two properties sold on September 28, 2026
• · Special Dividend payment date: October 22, 2026; record date: October 9, 2026
• · Due bills trading period: October 9-22, 2026
• · Form 25 filing anticipated on October 26, 2026
• · Last day of trading on NYSE anticipated to be November 5, 2026
• · Dissolution effective November 6, 2026
• · Beneficial Interests in Liquidating Trust will not be transferable and will not trade on any exchange
• · Liquidating Trust expected to file only annual Form 10-K and current Form 8-K reports
• · Potential legal proceedings related to sale of 19 multifamily assets to Cortland Partners

29-09-2026

FingerMotion, Inc. entered a definitive share purchase agreement to acquire 100% of Newbit Technology Inc. for US$2.3 million in cash, securing the 9.9 MW County of Newell powered site (Brooks Campus #1). The acquisition is targeted to close on or before October 29, 2026, but remains subject to several conditions including a new gas supply agreement and third-party consents. The deal does not by itself create operating generation or contracted compute revenue, and the company acquires fixed improvements on an as-is basis.

• · The prior gas supply agreement for the site has been terminated; a new gas supply agreement with Pivotal Energy Partners is a condition to closing.
• · Generating equipment and other movable plant are excluded from the acquisition and must be removed before closing.
• · The vendors provide joint and several indemnities with a US$125,000 deductible and a US$460,000 cap for general representation claims; fundamental representations, title, tax, fraud, and willful misconduct are uncapped.
• · No purchase-price holdback or escrow is retained by FingerMotion.
• · Approval of the AUC for any change of generating units is a post-closing responsibility of FingerMotion, not a closing condition.

29-09-2026

BuzzFeed, Inc. entered into a Share Purchase Agreement with Allen Family Digital, LLC, an affiliate of Byron Allen's family office, to issue 4,300,000 newly issued Class A common shares at $1.09 per share, raising approximately $4.7 million. The transaction is a related-party deal, as Byron Allen Folks is Chairman of BuzzFeed's Board and also controls the Purchaser; he abstained from approval, while the audit committee and four disinterested directors approved it. The issuance was exempt from registration under Section 4(a)(2) of the Securities Act.

• · The purchase price of $1.09 per share equals the closing price on September 22, 2026.
• · The transaction was approved by the audit committee and four disinterested directors, who determined the terms were fair and reasonable.
• · The approval also covered a prior related-party transaction dated September 11, 2026.
• · The shares are to be issued on September 23, 2026, and the issuance is exempt under Section 4(a)(2) of the Securities Act.

29-09-2026

On September 26, 2026, Kevin Shannon resigned as a Director of SL Investment Fund II LLC, effective immediately. The resignation was not due to any disagreement with the company. The filing is a routine director departure disclosure under Item 5.02 of Form 8-K.

• · Resignation effective September 26, 2026
• · No disagreement cited as reason for departure
• · Filing date: September 29, 2026

29-09-2026

Kevin Shannon resigned as a Director of T Series BDC LLC on September 26, 2026, with no disagreement with the company. The filing does not disclose any financial impact or replacement plan.

• · Resignation effective September 26, 2026
• · No disagreement cited for resignation
• · No replacement director announced

29-09-2026

Greenidge Generation Holdings Inc. (now Vulcan Infrastructure and Power Inc.) entered into an Exchange Agreement with holders of its 8.50% Senior Notes due 2026 (GREEL) to exchange those notes for new 10.00% Senior Notes due 2030 and Class A Common Stock purchase warrants (exercise price $1.87 per share). The exchange is intended to be exempt from registration under Section 3(a)(9) of the Securities Act, with no cash or other remuneration paid. The company also granted piggyback registration rights for the warrant shares, but no warrant shares are issued at closing.

• · The exchange is structured to qualify for exemption under Section 3(a)(9) of the Securities Act, with no commission or remuneration paid for solicitation.
• · The new 2030 Notes accrue interest from the most recent interest payment date on the outstanding 2030 Notes.
• · Holders receive piggyback registration rights for warrant shares, with a 5-business-day response window.
• · The company changed its name from Greenidge Generation Holdings Inc. to Vulcan Infrastructure and Power Inc.
• · No warrant shares are issued at closing; they are offered separately under Section 4(a)(2) of the Securities Act.

29-09-2026

Talen Energy announced CEO succession with Terry Nutt becoming CEO effective January 1, 2027, succeeding Mac McFarland who will retire and serve as senior advisor through March 2027. The company also announced a $1.5 billion accelerated share repurchase (ASR) and upsized its share repurchase program to $3.0 billion through 2028. Talen forecasts approximately $4 billion in adjusted free cash flow from the second half of 2026 through year-end 2028, with $2.8 billion after monetizing capacity revenues, and expects to repurchase more than 10% of its outstanding shares under the ASR.

• · Terry Nutt has served as Talen's President since December 2025 and previously as CFO from July 2023 to December 2025; he has over 25 years of experience in the deregulated energy industry.
• · Mac McFarland will remain CEO and Board member through December 31, 2026, then serve as senior advisor until his retirement in March 2027.
• · The ASRs are uncollared and expected to be completed by the end of Q1 2027; at current stock price they would repurchase more than 10% of shares outstanding.
• · Talen expects to fund the ASRs principally through monetization of approximately $1.5 billion of cleared capacity revenues associated with PJM 2027/2028 and 2028/2029 delivery years, executed with Citi at SOFR + 200 basis points.
• · Talen targets a net leverage ratio of 3.5x, expected to be achieved in the second half of 2027 and decline further thereafter.
• · Talen has repurchased 600,000 shares quarter-to-date in Q3 2026.
• · Under the ASR agreements, Talen initially received approximately 4.0 million shares (about 80% of expected) based on the September 28, 2026 closing price.
• · Terry Nutt's new employment agreement has an initial term through February 28, 2028, with automatic one-year renewals unless 90 days' notice is given.
• · Talen owns and operates approximately 15.5 GW of power infrastructure in the U.S., including 2.2 GW of nuclear power.

29-09-2026

VanEck BNB ETF entered into an amendment to its custodial services agreement with BitGo Bank & Trust, appointing Figment as the validator for the Trust's BNB staking activities and establishing a 4% staking assets validator fee. The amendment modifies Schedule A of the Second Custody Agreement dated August 5, 2026, while leaving other provisions unchanged.

• · The amendment was entered into on September 25, 2026, and filed on September 29, 2026.
• · The Second Custody Agreement was originally dated August 5, 2026.
• · Figment is identified as the validator for the Trust's BNB staking activities.
• · The 4% validator fee applies to staking assets.

29-09-2026

On September 26, 2026, Kevin Shannon resigned as a Director of North Haven Private Income Fund A LLC, effective immediately. The resignation was not due to any disagreement with the Company, and no financial impact or operational changes were disclosed.

• · Resignation effective September 26, 2026
• · Resignation not due to any disagreement with the Company
• · Filing date: September 29, 2026

29-09-2026

NextBoat Inc. (NYSE American: NXB), formerly Off The Hook YS Inc., appointed Ross Tannenbaum as CEO, effective immediately, succeeding Brian John who remains on the Board. Tannenbaum, former President of Fanatics and CEO of Dreams, brings public-company leadership and consumer retail scaling experience. The Compensation Committee approved a significant equity inducement grant of options for up to 2,500,000 shares, with vesting tied to time, Adjusted EBITDA targets, and a $5.00 stock price threshold, subject to NYSE American approval. The company is shifting focus from building its public-company foundation to driving profitability and scaling its technology platform in the $57 billion U.S. marine industry.

• · Options granted outside the 2025 Equity Incentive Plan as an inducement under Section 711(a) of the NYSE American Company Guide.
• · Exercise price set at closing price on grant date; awards subject to continued employment and accelerated vesting in specified circumstances.
• · NextBoat founded in 2012, previously known as Off The Hook YS Inc., headquartered in Wilmington, NC.
• · Company operates across brokerage, wholesale acquisition, auctions, financing, and marine services.
• · Tannenbaum served as President of Retail and Collectibles at Fanatics through 2018, then a strategic business development role until 2019.
• · Tannenbaum has been getting to know the team and business over the past several weeks.