US Material Events SEC 8-K Filings — October 01, 2026

01-10-2026

American Vanguard Corporation (AVD) announced a planned CFO transition, with Matt Horwath joining as CFO effective October 1, 2026, succeeding David Johnson. Johnson will remain as Chief Accounting Officer until March 2027 and continue in a non-executive role until September 2027. The change is part of a leadership transition aimed at driving financial discipline, capital allocation, and operational performance.

• · David Johnson served as CFO for 18 years, guiding AVD through growth and global expansion including acquisitions in Latin America, Australia, and biologicals.
• · Matt Horwath brings nearly 20 years of finance and public company leadership experience, most recently as CFO of Kustom US, Inc., and previously as SVP and CFO of FARO Technologies, Inc., where he helped lead a strategic transformation culminating in its acquisition by AMETEK in 2025.
• · Horwath is a Certified Public Accountant and holds a Master of Accountancy from the University of North Florida and a BBA in Accounting from the University of Central Florida.
• · Johnson will assist as Chief Accounting Officer until March 2027, then continue in a non-executive position until September 2027.

01-10-2026

Chesapeake Utilities Corporation (NYSE: CPK) announced on October 1, 2026, the establishment of a $225 million at-the-market (ATM) equity offering program to sell common stock from time to time. The ATM Program, effective immediately, will use proceeds for general corporate purposes including capital expenditures, debt repayment, and potential acquisitions. The offering is being made under the company's existing Form S-3 shelf registration statement, with sales conducted through multiple managers and forward sellers.

• · The ATM Program is established under the company's existing shelf registration statement on Form S-3 (File No.: 333-299198).
• · Sales may be made directly on or through the New York Stock Exchange as 'at-the-market offerings' under Rule 415.
• · Forward Purchasers may borrow and sell shares to hedge forward sale agreements.
• · Proceeds intended for general corporate purposes including financing capital expenditures, repaying short-term debt or revolving credit borrowings, financing acquisitions, investing in subsidiaries, and working capital.
• · Prospectus supplement available free from Barclays Capital Inc. or via SEC's EDGAR website.

01-10-2026

Eagle Bancorp Montana, Inc. approved amendments to Salary Continuation Agreements for CEO Laura F. Clark and CFO Miranda J. Spaulding, increasing their annual retirement benefits, and entered into a new Salary Continuation Agreement for President & COO P. Darryl Rensmon. Clark's annual benefit rises from $46,000 to $86,500 (effective Oct 1, 2026, if separation occurs on/after May 1, 2027), Spaulding's from $99,500 to $136,500 (effective Oct 1, 2026), and Rensmon receives a new fixed benefit of $47,500 annually starting at age 70. These changes enhance executive retention but increase future compensation obligations.

• · The amendments were approved by the Boards of both the Company and its wholly-owned subsidiary, Opportunity Bank of Montana.
• · Clark's increased benefit is contingent on separation from service on or after May 1, 2027.
• · Rensmon's new agreement provides for a fixed retirement benefit of $47,500 annually, payable monthly for life, upon termination at age 70, with partial payments for early termination or death.
• · All agreements were adopted on September 28, 2026, with effective dates of October 1, 2026.

01-10-2026

Pyxis Oncology, Inc. completed an underwritten public offering on October 1, 2026, raising approximately $102.8 million in net proceeds by selling shares, pre-funded warrants, and common warrants. The company plans to use the funds to advance its lead clinical program MICVO, including a planned Phase 3 trial, and expects its cash runway to extend into the first half of 2028. However, the common warrants are not exercisable until stockholder approval is obtained to increase authorized shares, and if not exercised, the net proceeds plus existing cash will not fully fund the Phase 3 trial.

• · The offering closed on October 1, 2026.
• · Common warrants expire 5 years after charter amendment effective date or 30 days after OS data release date, whichever is earlier.
• · OS data release expected in first half of 2027.
• · Company must hold stockholder meeting within 60 days of closing to seek charter amendment approval; if not obtained, additional meetings every 60 days.
• · If common warrants are not exercised, net proceeds plus existing cash will not fully fund the Phase 3 Headliner trial.
• · The registration statement on Form S-3 was filed on November 26, 2025 and declared effective on December 9, 2025.

01-10-2026

Aethlon Medical Inc. (AEMD) held its Annual Meeting of Stockholders on October 1, 2026, with a quorum of 56.21% of shares represented. Stockholders approved all 10 proposals, including a massive 10x increase in authorized common shares from 20,000,000 to 200,000,000 (Proposal 6, 93.2% For), authorization of 20,000,000 preferred shares (Proposal 7), and an amendment to the 2020 Equity Incentive Plan to add 100,000 shares (Proposal 5). However, several key proposals saw significant broker non-votes of 184,547 shares, indicating potential institutional investor abstention or lack of support on equity-linked items.

• · Proposal 6 to increase authorized common shares from 20M to 200M passed with 370,879 For vs 27,208 Against.
• · Proposal 7 to authorize 20M preferred shares passed with 204,121 For vs 9,528 Against.
• · Proposal 3 (warrant issuance) and Proposals 8 & 9 (future financing transactions) all passed but each had 184,547 broker non-votes.
• · Proposal 10 (adjournment) passed but the chairman elected not to adjourn the meeting.
• · The 2020 Plan amendment was previously approved by the Board on July 10, 2026, and became effective on October 1, 2026.

01-10-2026

Watts Water Technologies announced the retirement of Kenneth R. Lepage, General Counsel, Chief Compliance Officer and Chief Sustainability Officer, effective March 31, 2027, after over 23 years of service. The company is initiating a search for his successor, and Lepage will remain in his roles to ensure an orderly transition. This is a routine leadership succession announcement with no immediate financial impact.

01-10-2026

Americas Carmart (CRMT) disclosed on September 30, 2026, that its lenders extended a temporary waiver of certain defaults and relief from minimum liquidity and collateral coverage ratio requirements through October 8, 2026. The company continues to evaluate strategic alternatives, including potential financing, recapitalization, or restructuring, but cautions there is no assurance of a favorable outcome. The filing highlights ongoing financial distress, with the company having experienced or anticipating events of default under its credit agreement, and warns that stockholders could experience a significant or complete loss of their investment.

• · The waiver and relief period has been extended multiple times since September 4, 2026, now through October 8, 2026.
• · The company has a special committee of the board overseeing the strategic review, which may include financing, recapitalization, restructuring, M&A, and other transactions.
• · The company explicitly warns that holders of common stock could experience a significant or complete loss of their investment.
• · The company may need to seek protection under bankruptcy or insolvency laws.
• · The company faces risks regarding continued listing on the Nasdaq Stock Market.

01-10-2026

NSTS Bancorp, Inc. completed its merger with Brookfield Bancshares, Inc. effective October 1, 2026, with shareholders receiving $14.31 per share in cash, totaling approximately $73.7 million. The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity. The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.

• · The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.
• · The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity.
• · The company's directors and executive officers ceased to hold their positions as of the Effective Time.
• · The Bank will continue to operate under its existing name and federal savings association charter as a subsidiary of Brookfield.
• · The company's Certificate of Incorporation and Bylaws ceased to be in effect by operation of law.
• · Brookfield intends to file a Form 15 with the SEC to deregister the common stock and suspend reporting obligations.

01-10-2026

Matthews International Corporation announced that long-serving directors Katherine E. Dietze and Morgan K. O'Brien will not stand for re-election at the 2027 Annual Meeting, supporting a board right-sizing initiative to reduce from ten to eight directors. The move builds on recent strategic actions including multiple divestitures, acquisitions, governance enhancements, and a restructuring expected to generate ~$10M in annual cost savings starting FY2027. While the company highlights board refreshment and strategic progress, the departures of two experienced directors and ongoing portfolio simplification signal a period of significant transition.

• · Since 2023, the Board has appointed five new directors with targeted skill sets in growth areas.
• · Divestitures completed: SGK Brand Solutions into Propelis JV (May 2025), European packaging business (Dec 2025), warehouse automation business (Dec 2025).
• · Acquisition of The Dodge Company, Inc. (embalming fluid company) in May 2025.
• · Effective August 31, 2026, Michael J. Whitehead succeeded long-time CEO Joseph C. Bartolacci.
• · Company operates two core global businesses: Industrial Technologies and Memorialization, plus a significant investment in Propelis.
• · Company has over 4,300 employees in 15 countries on four continents.

01-10-2026

World Financial Network Credit Card Master Note Trust disclosed the entry into a Seventh Amended and Restated Service Agreement between Comenity Servicing LLC and Comenity Capital Bank, effective October 1, 2026. The agreement replaces the prior Sixth Amended and Restated Service Agreement and governs the provision of servicing, performance standards, compensation, and termination rights. The filing is a routine contractual update between affiliates and does not contain any financial results or material changes in business operations.

• · The agreement has an initial term of two years from October 1, 2026, with automatic one-year renewals unless terminated.
• · Termination can occur for non-payment (30-day cure), material breach (30-day cure), 30-day notice, or insolvency.
• · A 365-day transition period is provided upon termination, with potential extension if needed.
• · If Servicer fails to meet performance standards, a service fee credit is applied, capped at 10% of monthly fees.
• · The agreement includes a step-in right for Bank in case of Servicer's material breach or insolvency.

01-10-2026

Battalion Oil Corp appointed John 'Brad' Juneau to its Board of Directors effective September 30, 2026, expanding the board to five members and maintaining a majority-independent composition. Juneau brings over 40 years of oil and gas experience, including founding Contango Oil & Gas and serving on the boards of Talos Energy and Contango Silver & Gold. The appointment aligns with the board's stated intention to strengthen governance and follows director changes announced in March 2026.

• · Juneau co-founded Contango Oil & Gas in 1999, which grew stock price from $0.20/share to $75/share.
• · He led the 2009 gold discovery in Alaska that became the Manh Choh project, which commenced production in 2024.
• · Juneau currently manages an ultra-deep natural gas project in South Louisiana and is partnered on an Alaska North Slope oil exploration project.
• · He holds a B.S. in Petroleum Engineering from Louisiana State University.

01-10-2026

Lifeward Ltd. disclosed that CFO Almog Adar's departure became effective September 30, 2026. Effective October 1, 2026, Interim CEO Josh Hexter was designated as interim principal financial and accounting officer, serving without additional compensation until November 1, 2026, when Rami Aviram's appointment as CFO takes effect. The transition is part of a previously announced succession plan.

• · Almog Adar's departure as CFO, principal financial officer and principal accounting officer became effective September 30, 2026.
• · Josh Hexter will serve as interim principal financial officer and principal accounting officer from October 1, 2026 until November 1, 2026.
• · Rami Aviram's appointment as CFO, principal financial officer and principal accounting officer becomes effective November 1, 2026.
• · Josh Hexter will not receive any additional compensation for the interim CFO role.

01-10-2026

AMC Robotics Corporation (Nasdaq: AMCI) announced the appointment of Dr. Ang Li as Chief Technology Officer, effective October 1, 2026. Dr. Li, an Assistant Professor at the University of Maryland, will lead the company's technology strategy and AI roadmap, focusing on autonomous intelligence, AI-powered perception, and edge computing. The appointment is part of AMC Robotics' strategy to strengthen AI integration in its robotics platforms, including its quadruped robot Kyro™ and warehouse sorting robot NovaArm™.

• · Dr. Li holds a Ph.D. in Electrical and Computer Engineering from Duke University and a Ph.D. from the University of Arkansas.
• · Dr. Li's research has been recognized with the NSF CAREER Award, Cisco Research Award, CPAL Rising Star Award, IEEE TCCPS Outstanding Ph.D. Dissertation Award, ACM KDD Best Student Paper Award, and Duke ECE Department Outstanding Dissertation Award.
• · Dr. Li will continue his academic role at the University of Maryland while serving as CTO.
• · The company's forward-looking statements include risks related to manufacturing facility buildout and production line commissioning.

01-10-2026

Runway Growth Finance Corp. issued $46,329,125 in aggregate principal amount of 7.75% Notes due 2031 under a Fifth Supplemental Indenture, using net proceeds to repay outstanding indebtedness including its Credit Facility and to redeem all $32,969,000 of its outstanding 9.00% SWK 2027 Notes on November 3, 2026. The new notes are unsecured, rank pari passu with existing unsecured debt, and mature on October 1, 2031, with quarterly interest payments starting December 1, 2026. The refinancing replaces higher-coupon debt (9.00%) with lower-coupon debt (7.75%), improving the company's interest expense profile.

• · The new notes are direct unsecured obligations, ranking pari passu with existing unsecured debt but effectively subordinated to secured debt and structurally subordinated to subsidiary obligations.
• · The indenture includes covenants requiring compliance with Section 18(a)(1)(A) as modified by Section 61(a)(2) of the Investment Company Act of 1940.
• · The offering was registered under the Securities Act of 1933 pursuant to Registration Statement No. 333-284781.
• · The company may redeem the notes at its option on or after October 1, 2028, at $25 per note plus accrued interest, with 30-60 days' notice.
• · The redemption of SWK 2027 Notes requires holders to surrender notes to Wilmington Trust by November 3, 2026.
• · Runway Growth Finance Corp. is an emerging growth company as defined under SEC rules.

01-10-2026

Carlyle Private Equity Partners Fund, L.P. filed an 8-K on October 1, 2026, disclosing a material agreement extension with its Investment Advisor to cap annual Specified Expenses at 0.60% of net assets through October 1, 2027, and reporting the unregistered sale of approximately $299.9 million in limited partnership units across multiple classes on September 1, 2026. The Fund's total Transactional NAV as of August 31, 2026 was $163.5 million, with per-unit values ranging from $31.21 (Class E-S) to $32.55 (Class C). While the expense support extension provides cost certainty for investors, the Fund's relatively modest NAV of $163.5 million compared to the $299.9 million in new capital raised suggests significant dilution or a large cash position, and the reliance on unregistered sales limits liquidity.

• · The Expense Support Period was originally set for 24 months from the Initial Closing Date (October 1, 2025) and has been extended by one year to October 1, 2027.
• · The Investment Advisor may recapture waived fees or reimbursed expenses at any time, including in the same year, as long as Specified Expenses plus recoupment do not exceed 0.60% of net assets (annualized) during the applicable month.
• · After the Expense Support Period, the Fund will reimburse the Investment Advisor for any Expense Support incurred, without regard to the 0.60% cap.
• · Class S Units were newly issued; their Transactional NAV was based on Class E-S Units since Class S had not been issued as of August 31, 2026.
• · Class C Units were purchased by an affiliate of the Fund's general partner, CPEP GP, LLC.
• · The Fund is an emerging growth company and has not elected to use the extended transition period for complying with new or revised financial accounting standards.
• · The Fund's Transactional NAV per Unit differs from U.S. GAAP net asset value.

01-10-2026

Edible Garden AG Inc. has entered into a Real Estate Purchase Contract to acquire a 6.2-acre building in Webster City, Iowa, from Iowa Shrimp Holdings, LLC, transitioning from tenant to owner of its Prairie Hills ready-to-drink manufacturing facility. The facility is being developed to support commercial production of shelf-stable nutritional beverages, protein, and functional wellness products, with a target capacity of 100+ million units. The acquisition is subject to due diligence and closing conditions, and the company expects to leverage Tetra Pak technology and local economic incentives to drive long-term growth and job creation.

• · The acquisition is from Iowa Shrimp Holdings, LLC and includes real estate, buildings, improvements, specified equipment, fixtures, and other property.
• · Edible Garden currently operates in over 6,000 retail locations across the US, Caribbean, and South America.
• · The company holds three patents in advanced aquaculture technologies, including a closed-loop shrimp farming system (US 6,615,767 B1), a modular recirculating aquaculture setup (US 10,163,199 B2), and a sensor-driven ammonia control method (US 11,297,809 B1).
• · Edible Garden has been recognized as a FoodTech 500 firm by Forward Fooding and is a multi-year participant in Walmart’s Project Gigaton.
• · The company's GreenThumb 2.0 software is protected by US Patents US 11,158,006 B1, US 11,410,249 B2, and US 11,830,088 B2.
• · The Self-Watering display is protected by US Patent No. D1,010,365.

01-10-2026

MSP Recovery, Inc. (MSPRZ) received additional financing of $58,450 from Hazel Partners Holdings LLC to increase the Operational Collection Floor under its existing credit agreement, bringing the aggregate Operational Collection Floor to $8,706,177. The lender also previously provided $550,000 in April 2025 for legal expenses. However, the financing is at the sole discretion of the lender, and the company faces potential risks as the lender reserves all rights under the credit agreement, including if new adverse information emerges before funding.

• · The funding of $58,450 is at the sole discretion of the Administrative Agent and Lender, and no further claims for additional payments arise from this transaction.
• · The HC Case Proceeds of approximately $1,300,000 are an estimate based on historical data and not final; 50% is due to Assignor and 50% to Assignee.
• · The Collections from HC Case Proceeds (approx. $605,313) have been granted as Collateral to the Lender under the Credit Agreement.
• · The lender reserves all rights under the Credit Agreement if an event occurs or new information becomes available immediately prior to funding.

01-10-2026

Ashford Hospitality Trust completed the sale of the 220-room Embassy Suites Las Vegas for approximately $42.7 million in cash, net of selling expenses, and used about $41.2 million to repay the mortgage lender. The transaction closed on September 25, 2026, and the company recorded a preliminary non-recurring gain, with pro forma financials reflecting the removal of the hotel's assets and operations. While the sale strengthens liquidity, it also reduces the company's asset base and incurs a loss on extinguishment of debt, reflecting a mixed impact on financial performance.

• · Pro forma net loss for the year ended December 31, 2025, improved from a historical loss of $188,159 thousand to $156,992 thousand, reflecting the removal of the hotel's operations and the non-recurring gain.
• · Pro forma operating income for the year ended December 31, 2025, increased from $116,415 thousand to $144,721 thousand, a 24.3% improvement.
• · Pro forma interest expense for the year ended December 31, 2025, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit remained at $143 thousand, unchanged.
• · Pro forma net loss allocated to redeemable noncontrolling interests reflected an ownership percentage of 1.43% for the year ended December 31, 2025 and 1.41% for the six months ended June 30, 2026.
• · Pro forma total assets decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma common stock remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding remained at 83,944 thousand, unchanged.
• · Pro forma operating income for the six months ended June 30, 2026, decreased from $209,576 thousand to $207,455 thousand, a 1.0% decline.
• · Pro forma interest expense for the six months ended June 30, 2026, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees for the six months ended June 30, 2026, decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt for the six months ended June 30, 2026, remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities for the six months ended June 30, 2026, remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives for the six months ended June 30, 2026, remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit for the six months ended June 30, 2026, remained at $143 thousand, unchanged.
• · Pro forma net loss for the six months ended June 30, 2026, improved from $188,159 thousand to $156,992 thousand, a 16.6% improvement.
• · Pro forma net loss allocated to redeemable noncontrolling interests for the six months ended June 30, 2026, reflected an ownership percentage of 1.41%.
• · Pro forma total assets for the six months ended June 30, 2026, decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities for the six months ended June 30, 2026, decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) for the six months ended June 30, 2026, improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, for the six months ended June 30, 2026, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership for the six months ended June 30, 2026, decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership for the six months ended June 30, 2026, remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable for the six months ended June 30, 2026, remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, for the six months ended June 30, 2026, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, for the six months ended June 30, 2026, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma common stock for the six months ended June 30, 2026, remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital for the six months ended June 30, 2026, remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) for the six months ended June 30, 2026, remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities for the six months ended June 30, 2026, remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding for the six months ended June 30, 2026, remained at 83,944 thousand, unchanged.

01-10-2026

Sadot Group Inc. (SDOT) entered into a 50/50 joint venture with VisionWave Holdings (VWAV) to acquire a 51% stake in C.M. Composite Materials Ltd., an Israeli advanced-composites manufacturer. Sadot committed to contribute $7.8 million in cash to the JV over 12 months, while VisionWave contributed its existing rights and $7.81 million in advances. Sadot issued 250,000 shares (17.2% of outstanding) to VisionWave as an entry premium. The deal carries significant risks: the acquisition of CM is contingent on a condition (Belrise Condition) that has not been satisfied, and Sadot's ownership in the JV will be reduced dollar-for-dollar if it fails to fund the full commitment by September 2027.

• · The Belrise Condition (CM and its subsidiary entering definitive JV agreements with Belrise Industries) has not been satisfied or waived; the outside closing date for the CM acquisition is December 31, 2026.
• · Sadot's capital commitment must be funded in tranches: $3.0M by Dec 30, 2026; $6.0M by Mar 30, 2027; $7.0M by Jun 30, 2027; full $7.8M by Sep 30, 2027.
• · If Sadot fails to fund fully by Sep 30, 2027, unfunded units are cancelled dollar-for-dollar, reducing its ownership pro rata.
• · If the CM acquisition fails to close, Sadot may elect to fund the balance within 30 days to avoid the True-Up.
• · VisionWave may enforce the capital commitment by specific performance; overdue amounts bear 12% interest; VisionWave may fund shortfalls for additional units at a 10% discount.
• · Distributions from CMJV are made in proportion to cash contributed (not units) until Sadot's capital commitment is fully funded, with a priority return to VisionWave for interest accrued on its advances.
• · If the CM acquisition fails but VisionWave or CMJV acquires CM equity within 12 months by other means, Sadot can reinstate its capital commitment and recover cancelled units.
• · 50% of the Entry Premium Shares are returnable to Sadot if the CM acquisition fails due to VisionWave's willful breach, failure to deliver share consideration, or fundamental title failure.
• · Haggai Ravid serves on both Sadot's and VisionWave's boards; the transaction was approved by Sadot's board excluding Ravid.
• · The Entry Premium Shares (250,000) represent approximately 17.2% of Sadot's pre-issuance outstanding shares (1,457,589).

01-10-2026

Flutter Entertainment plc announced the resignation of Don Liu as Chief Legal Officer, effective September 30, 2026. Edward Traynor, the Group Company Secretary, has been appointed as interim Chief Legal Officer effective October 1, 2026. This is a routine officer change with no financial impact.

• · Don Liu's resignation was effective September 30, 2026.
• · Edward Traynor's interim appointment began October 1, 2026.

01-10-2026

Inseego Corp. completed its acquisition of Nokia's Fixed Wireless Access (FWA) business on October 1, 2026, a transaction expected to approximately double Inseego's revenue and expand its global footprint across Europe, the Middle East, Asia, Oceania, and the Americas. Under the terms, Nokia received an equity ownership stake of approximately 1.9 million shares (about 11% interest) and warrants for up to 0.8 million shares at $4.26 per share, plus a $10 million cash investment. Nokia will also make an additional $10 million cash payment to Inseego by October 15, 2026 to support engineering investments. Approximately 250 personnel from the acquired business will support expanded operations, and Inseego has established an international headquarters in Amsterdam and a development center in Athens.

• · Inseego established an international headquarters in Amsterdam and a development center in Athens, and expanded its presence in Bangalore.
• · Nokia will provide support through the transition and refer new FWA opportunities to Inseego.
• · Technology collaboration areas include AI-RAN, converged fiber and 5G connectivity, end-to-end network optimization, and distributed edge computing.
• · Approximately 250 personnel from the acquired business will support operations, including employees joining Inseego and Nokia personnel under a transition services agreement.

01-10-2026

Vivos Therapeutics, Inc. (VVOS) dismissed its independent auditor, Baker Tilly US, LLP, effective September 29, 2026, and engaged Haynie & Company as its new independent registered public accounting firm for the fiscal year ending December 31, 2026. The change was approved by the Audit Committee and was not preceded by any disagreements or reportable events with Baker Tilly. However, both Baker Tilly's and Moss Adams' reports on the company's financial statements for the years ended December 31, 2025 and 2024, respectively, included explanatory paragraphs expressing substantial doubt about Vivos's ability to continue as a going concern.

• · Baker Tilly served as auditor from May 3, 2023 through September 30, 2026, succeeding Moss Adams after a merger on June 3, 2025.
• · The company discussed a proposed joint venture with Haynie in August 2026, but the transaction was not consummated.
• · No disagreements or reportable events occurred between the company and Baker Tilly during the two most recent fiscal years and subsequent period.

01-10-2026

Zoned Properties, Inc. entered into an Amended and Restated Asset Purchase Agreement dated September 30, 2026, to sell its business and related assets to BPB Partners, LLC. The agreement amends the original January 15, 2026 agreement to reflect changes and consummated matters since signing. The transaction involves the sale of assets related to Zoned Properties' operations, with the purchase price and specific financial terms not disclosed in the filing.

• · The agreement includes a no-shop clause restricting the seller from soliciting other acquisition proposals.
• · The transaction is subject to customary closing conditions, including third-party consents and regulatory approvals.
• · The purchase price allocation will be determined post-closing, with the agreement providing for an AS-IS/WHERE-IS sale.
• · The agreement includes representations and warranties from both seller and buyer regarding organization, authorization, and compliance.

01-10-2026

Sagimet Biosciences Inc. (SGMT) entered into an underwriting agreement on September 30, 2026, for an underwritten offering of 8,750,010 shares of Series A common stock at $10.00 per share and pre-funded warrants to purchase up to 2,750,010 shares at $9.9999 per share. The offering is expected to close on October 1, 2026, with net proceeds of approximately $107.5 million. The company plans to use the proceeds to fund a Phase 3 clinical trial for denifanstat in acne, pre-launch activities, and other clinical development programs.

• · The offering is being made pursuant to the company's effective shelf registration statement on Form S-3 (Registration No. 333-281582), filed with the SEC on August 15, 2024 and declared effective on August 26, 2024.
• · Pre-funded warrants are immediately exercisable with an exercise price of $0.0001 per share.
• · A holder of Pre-Funded Warrants may not exercise if it would beneficially own more than 4.99% (or 9.99% at election) of outstanding Common Stock; this percentage can be increased up to 19.99% with 61 days' notice.
• · The Underwriting Agreement includes customary representations, warranties, indemnification obligations, and termination provisions.

01-10-2026

LFTD PARTNERS INC. filed an 8-K on October 1, 2026, reporting the termination of a material definitive agreement (Item 1.02) and the completion of an acquisition or disposition of assets (Item 2.01). The filing also includes Regulation FD disclosure (Item 7.01) and financial statements (Item 9.01). However, the filing does not disclose the counterparty, deal value, consideration type, or any financial metrics, making it impossible to assess the strategic rationale, valuation, or shareholder impact.

• · The filing does not disclose the identity of the counterparty or the nature of the terminated agreement.
• · No financial statements, pro forma data, or exhibits are summarized in the filing text.
• · The acquisition/disposition could be either an asset purchase or a stock transaction, but no details are provided.
• · No breakup fees, termination penalties, or go-shop provisions are mentioned.

01-10-2026

Creatd, Inc. (CRTD) entered into a binding letter of intent (LOI) on September 30, 2026, to acquire the remaining outstanding equity of C2 Capital Group, Inc. (C2), in which it already holds a minority stake. The acquisition consideration consists of shares of Creatd's common stock and a new series of non-voting convertible preferred stock, equivalent to approximately 12,900,000 common shares on an as-converted basis. The transaction is subject to a definitive agreement and customary conditions, with a break-up fee provision for either party.

• · The LOI was entered into on September 30, 2026.
• · Creatd currently holds a minority equity interest in C2 Capital Group.
• · The acquisition consideration includes both common stock and a new series of non-voting convertible preferred stock.
• · Closing is subject to execution of a definitive agreement and other customary conditions.
• · Either party may be required to pay a break-up fee under specified circumstances.

01-10-2026

Neptune Insurance Holdings Inc. (NP) filed an 8-K on September 30, 2026, announcing the election of David Noble to its Board of Directors, effective immediately. The Board was expanded from six to seven members, and Mr. Noble will serve as a Class I director until the 2029 annual meeting. He will receive a restricted stock unit (RSU) award of 28,704 shares under the 2025 Equity Incentive Plan, vesting over three years. The filing also includes a press release issued under Item 7.01. No negative or declining metrics are present in this filing.

• · Mr. Noble will serve as a Class I director with a term expiring at the 2029 annual meeting.
• · The RSU award vests one-third on September 30, 2027, with the remaining two-thirds vesting quarterly thereafter.
• · Mr. Noble has no family relationships with any director or executive officer and no material interest in any transaction required to be disclosed under Item 404(a).
• · The Board has not yet determined which committees, if any, Mr. Noble will join.

01-10-2026

The Joint Corp. entered into an Asset Purchase Agreement to reacquire regional development rights in Texas from multiple sellers for $8.0 million in cash, with up to $2.0 million in additional earn-out payments based on gross sales metrics. The Texas region includes 141 franchised clinics, and the sellers will retain eight clinics through affiliates. The sellers received approximately $2.3 million in royalties from the region over the trailing twelve months.

• · The APA includes typical provisions, covenants, representations, and warranties for transactions of this size and complexity.
• · The Texas RDAs are among the Company’s earliest regional developer agreements and included renewal rights for multiple successive 10-year terms.
• · The additional consideration of up to $2.0 million is split evenly between two annual periods beginning September 1, 2026, contingent on gross sales metrics being met or exceeded.
• · The APA will be filed as an exhibit to the Company’s Annual Report on Form 10-K.

01-10-2026

VisionWave Holdings, Inc. entered into a 50/50 joint venture with Sadot Group Inc. to hold its rights and loans related to C.M. Composite Materials Ltd. (CM), contributing ~$7.81M in advances and acquisition rights in exchange for 7,814,323 units of CMJV. Sadot committed an equal $7,814,323 cash capital commitment, funded in tranches by September 30, 2027, and issued 250,000 shares of Sadot common stock to VisionWave as an entry premium. The CM acquisition remains contingent on the Belrise Condition, with the outside closing date extended to December 31, 2026, and no equity interest in CM is currently owned.

• · The Belrise Condition has not been satisfied or waived; the long-stop date and outside closing date are extended to December 31, 2026.
• · VisionWave does not currently own any equity interest in CM.
• · If Sadot fails to fund the full Capital Commitment by September 30, 2027, unfunded portion is extinguished and Sadot's units are cancelled dollar-for-dollar (True-Up).
• · The True-Up also applies if the CM Acquisition fails to close by the outside closing date, unless Sadot elects to fund the balance.
• · Haggai Ravid, a VisionWave board member, is also a director of Sadot and was designated as one of Sadot's two managers of CMJV; the transaction was approved by disinterested directors.
• · Fifty percent of the Entry Premium Shares are returnable to Sadot if the CM Acquisition fails to close due to VisionWave's willful breach or failure to deliver share consideration.
• · Units of CMJV are subject to a lock-up until the later of September 30, 2028 and full funding of the Capital Commitment.

01-10-2026

CenterPoint Energy completed the $2.62 billion sale of its Ohio natural gas business (Vectren Energy Delivery of Ohio, LLC) to National Fuel Gas Company, receiving all required federal and state approvals including from the Public Utilities Commission of Ohio. The divested assets include approximately 5,900 miles of pipeline serving about 335,000 metered customers in West Central Ohio. Proceeds will support CenterPoint's $66.7 billion, 10-year capital plan, while the company continues to serve nearly 7 million metered customers in Indiana, Minnesota, and Texas.

• · Transaction received all required federal and state approvals, including review by the Public Utilities Commission of Ohio.
• · National Fuel Gas Company is headquartered in Western New York.
• · CenterPoint is the only investor-owned electric and gas utility based in Texas.
• · CenterPoint and its predecessor companies have been in business for more than 150 years.
• · The sale closed on October 1, 2026.

01-10-2026

Kimberly-Clark Corp announced that President and COO Russell Torres will depart the company effective November 2, 2026 to pursue other opportunities. The departure was notified on September 29, 2026, and disclosed via an 8-K filing on October 1, 2026. No successor or interim appointment has been announced, and no financial impact or performance metrics were provided in the filing.

• · Russell Torres' departure is effective November 2, 2026.
• · No successor or interim appointment has been announced.
• · The filing does not include any financial data or performance metrics.

01-10-2026

Innovative Industrial Properties (IIPR) announced a $245 million mezzanine loan commitment for Alewife Park, a life science campus in Cambridge, MA, expected to yield 15.8% and generate significant earnings accretion. IIP funded $111 million at closing, with the remaining $134 million to be funded through Q4 2027. The loan matures in February 2028 with a one-year extension option, and IIP may increase its investment by up to $155 million on the same terms. The investment diversifies IIP's portfolio into the life science sector, but carries risks related to development, lease-up, and interest rate fluctuations.

• · The loan is secured by pledges of equity interests in the entities that own the Alewife Park campus.
• · Phase I is currently 78% leased to Lila Sciences, an AI-enabled scientific discovery company.
• · The loan matures in February 2028 with a one-year extension option.
• · IIP may purchase up to $155 million of other mezzanine lender's notes on the same terms.
• · IIP expects to fund the investment with cash on hand and borrowings under its revolving credit facilities.

01-10-2026

National Fuel Gas Company (NFG) completed its acquisition of CenterPoint Energy's Ohio natural gas utility, Vectren Energy Delivery of Ohio, LLC, for an undisclosed amount. The deal adds approximately 335,000 customers across 16 Ohio counties, doubling NFG's utility rate base and expanding its regulated footprint into a new state. The company's total utility customer base grows to ~1.1 million, and approximately 200 employees will join NFG, though no financial terms or expected cost synergies were disclosed.

• · The acquired entity will be renamed National Fuel Gas Distribution of Ohio, LLC.
• · Existing customer billing cycles, payment methods, and online account access will remain unchanged initially.
• · NFG plans to be an active corporate citizen through local community support and employee volunteerism.
• · The acquisition is expected to provide a platform for continued regulated investment opportunities and further balance the company's business mix.
• · No purchase price or valuation metrics were disclosed in the filing.

01-10-2026

Slam Corp. (SLAMF) consolidated approximately $15.5 million in existing promissory notes from its sponsor, Slam Sponsor, LLC, into a single amended and restated note due October 1, 2031. The new note terminates an undrawn $506,018 commitment and eliminates a warrant conversion right attached to an earlier note, while adding an option for the company to settle the debt in shares. Although the restructuring extends the maturity and provides share-settlement flexibility, it does not reduce the debt principal and the company has no obligation to reserve shares for settlement, which may limit the option's practical value.

• · The consolidated note matures on the fifth anniversary of October 1, 2026 (i.e., October 1, 2031).
• · A Business Combination does not accelerate the maturity date.
• · If Slam Corp. liquidates without completing a Business Combination, the note will be forgiven (except from funds outside the trust account).
• · Maker (Slam Corp.) may elect to settle all or part of the outstanding amount in Class A ordinary shares, valued at VWAP over 20 consecutive trading days ending 3 days before settlement, subject to sufficient authorized/unreserved shares and regulatory approvals—but the company has no obligation to reserve shares or seek approvals.
• · The warrant conversion right in the November 30, 2021 note is irrevocably terminated.
• · Interest accrues at the Wall Street Journal Prime Rate, payable on maturity, and does not compound.
• · Maker may prepay the note at any time without premium or penalty.
• · No Event of Default or acceleration has been reported.

01-10-2026

Kyntra Bio (Nasdaq: KYNB) appointed Andrew E. Singer, MBA to its Board of Directors as an independent director and Audit Committee member, effective October 1, 2026. Concurrently, Maykin Ho, Ph.D. stepped down from the Board after nearly eight years of service. The changes reflect routine board refreshment and do not indicate any financial or operational decline.

• · Mr. Singer currently serves as Founder and CEO of Fika Bio Consulting, Inc.
• · He previously served as Head of West Coast Biotechnology Investment Banking at Credit Suisse and as Managing Director at Wells Fargo.
• · He holds an MBA from Harvard Business School and a BA from Yale University.
• · Dr. Ho stepped down effective September 30, 2026.
• · Kyntra Bio's pipeline includes roxadustat for anemia in CKD (approved in multiple countries) and FG-3246 for metastatic castration-resistant prostate cancer (Phase 2).

01-10-2026

Toast, Inc. announced that Chief Revenue Officer Jonathan Vassil will step down effective December 31, 2026, due to planned retirement, with no disagreement related to company management. He will remain a non-executive employee through April 2, 2027. The departure is a routine leadership transition and does not indicate any operational or financial issues.

• · Jonathan Vassil's resignation is effective December 31, 2026.
• · He will continue as a non-executive employee through April 2, 2027.
• · The departure is not due to any disagreement with company management, policies, or practices.

01-10-2026

BBCMS Mortgage Trust 2026-5C42 filed an 8-K reporting that the Franklin 8 Pack Whole Loan, previously serviced under the original Pooling and Servicing Agreement, has been transferred to a new pooling and servicing agreement (BBCMS 2026-M1) effective September 1, 2026. The transfer involves a single mortgage loan out of 36 in the trust, with servicing terms substantially similar but differing in certain respects. This is a routine servicing transfer with no financial impact disclosed.

• · The Franklin 8 Pack Whole Loan includes two additional pari passu promissory notes not held by the issuing entity.
• · The new servicing agreement (BBCMS 2026-M1) involves different special servicer (CWCapital Asset Management LLC) and operating advisor (Pentalpha Surveillance LLC) compared to the original.
• · The transfer was effective as of September 30, 2026, with the new agreement dated September 1, 2026.

01-10-2026

Ford Credit Auto Owner Trust 2026-C filed an 8-K on October 1, 2026, announcing the entry into material definitive agreements related to the issuance of asset-backed securities (Notes) as described in the Prospectus dated September 22, 2026. The agreements include the Indenture, Trust Agreement, Receivables Purchase Agreement, Sale and Servicing Agreement, Administration Agreement, Account Control Agreement, and Asset Representations Review Agreement, all dated as of September 1, 2026. This is a routine securitization filing with no unexpected financial impacts or performance data disclosed.

01-10-2026

CNBX Pharmaceuticals Inc. (CNBX) dismissed its independent registered public accounting firm, Elkana Amitai CPA, effective September 28, 2026, and engaged Vilki & Co. as its new independent accounting firm for the fiscal year ending August 31, 2026. The change was not due to any disagreements or reportable events, though the former auditor's reports included a going concern explanatory paragraph. The company is an emerging growth company and its common stock trades on the OTCQB under the symbol CNBX.

• · The former auditor's reports for fiscal years ended August 31, 2024 and 2025 included an explanatory paragraph indicating substantial doubt about the company's ability to continue as a going concern.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new or revised financial accounting standards.
• · The new accounting firm is located in Gujarat, India.
• · The company's common stock is traded on the OTCQB under the symbol CNBX.

01-10-2026

Paramount Skydance Corporation announced that Ynon Kreiz, current Chairman and CEO of Mattel, will become Co-CEO of the anticipated combined Paramount and Warner Bros. Discovery company at closing, effective October 5, 2026. David Ellison will remain Chairman and CEO, focusing on strategy and creative, while Kreiz will oversee day-to-day operations and integration. The company projects 2026 revenue and EBITDA (pre-SBC) growth of 16-19% and expects over $6 billion in run-rate synergies from the merger, though the transaction remains subject to regulatory approvals and closing conditions.

• · Kreiz will start at Paramount effective October 5, 2026, and will join the Board of Directors at closing.
• · Kreiz has served as Chairman and CEO of Mattel since 2018, leading a transformation that included the 'Barbie' film becoming the #1 global box office film of 2023.
• · Under Ellison, Paramount has doubled its theatrical slate and greenlit more than 40 new and returning series for Paramount+ in just over a year.
• · The combined company will have four strategic priorities: win in content, become the most technologically capable media company, maximize operational efficiencies, and earn trust.
• · The merger remains subject to regulatory approvals and other closing conditions, with risks including potential failure to obtain antitrust clearances and stockholder litigation.

01-10-2026

Liquidity Services (LQDT) completed the acquisition of Auction Holdings, Inc., which operates Invaluable, AuctionZip, and RFC Auction Systems, for $80 million in cash on a debt-free, cash-free basis. The acquisition expands Liquidity Services' global footprint in the collectibles, fine art, and antiques market, adding approximately four million registered bidders and over $500 million in gross merchandise sales (GMS) for the fiscal year ended December 31, 2025. The deal is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27, but the company did not provide a reconciliation of the Non-GAAP measure due to the difficulty of estimating certain items.

• · Invaluable's platform supports multi-currency and multi-lingual transactions.
• · Invaluable offers proprietary pricing data via subscription service.
• · The acquisition is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27.
• · Liquidity Services funded the acquisition with cash on hand.
• · Invaluable's leadership team is expected to remain with the business post-closing.
• · The acquisition is part of Liquidity Services' strategy to invest in marketplace platforms in sectors ripe for innovation.
• · Liquidity Services has over $15 billion in completed transactions and serves more than six million qualified buyers and 15,000 corporate and government sellers.

01-10-2026

Gladstone Capital Corporation announced the appointment of Michael McQuigg as President, effective October 1, 2026, succeeding Robert Marcotte who stepped down as President but continues as CEO. Mr. McQuigg, previously Executive Vice President and Senior Managing Director since 2021, brings extensive middle market investment experience from his tenure at the Gladstone Companies, Deerpath Capital, and H.I.G. Capital.

• · Michael McQuigg joined the Gladstone Companies in April 2015.
• · Mr. McQuigg holds an MBA from Columbia Business School and a BA from Johns Hopkins University.
• · He serves on the Dean's Advisory Board for the Krieger School of Arts & Sciences at Johns Hopkins University and on the Advisory Council for the Center for Financial Economics.

01-10-2026

Century Communities, Inc. entered into a First Amendment to its Credit Agreement dated September 30, 2026, adding Flagstar Bank, N.A. and Morgan Stanley Senior Funding, Inc. as new lenders and increasing revolving commitments, while also extending the facility termination date for certain existing lenders. The amendment includes customary conditions, representations, and a post-closing obligation to deliver charter documents for certain subsidiaries. No financial figures were disclosed in the filing, and the amendment does not indicate any adverse financial impact.

• · The amendment adds Flagstar Bank, N.A. and Morgan Stanley Senior Funding, Inc. as new lenders, providing incremental revolving commitments.
• · Certain existing lenders extended their facility termination date, while non-extending lenders will receive payments on the original termination date.
• · BMO Bank, N.A. consented to its removal as an Issuing Bank.
• · Post-closing obligation: Borrower must deliver certified charter documents for CCC Holdings, LLC, Century Communities of Nevada Realty, LLC, and WJHID LLC within five business days after the effective date; breach constitutes an Event of Default.
• · The amendment is governed by New York law and does not constitute a novation of the existing credit agreement.

01-10-2026

LandBridge Co LLC subsidiary DBR Land Holdings LLC completed a private placement of $125M in 6.250% Senior Notes due 2030, upsized from an initial $100M offering. The proceeds will be used to repay a portion of outstanding borrowings under the revolving credit facility. The new notes are treated as part of the same series as the existing $500M in 6.250% senior notes due 2030 issued in November 2025.

• · The offering was upsized from $100M to $125M.
• · The new notes are unsecured senior obligations guaranteed by all existing subsidiaries of the issuer.
• · The notes are effectively subordinated to secured debt (including the revolving credit facility) and structurally subordinated to liabilities of non-guarantor subsidiaries.
• · Up to 40% of the notes can be redeemed prior to December 1, 2027 at 106.250% of principal using net equity offering proceeds.
• · A change of control (with ratings downgrade) triggers a purchase offer at 101% of principal.

01-10-2026

Transcode Therapeutics (RNAZ) disclosed that its stock's daily VWAP fell below the $1.72 Floor Price for 10 out of 14 trading days from September 11 to September 30, 2026, triggering a potential Amortization Event under its convertible notes with Yorkville. To avoid default, the company made a $840,975 prepayment on October 1, 2026, covering $759,000 principal, a $75,900 prepayment premium, and $6,075 accrued interest, in exchange for a waiver of any Amortization Event through October 31, 2026. Following the prepayment, the aggregate principal outstanding under the convertible notes is approximately $4.1 million, down from $6.0 million originally advanced.

• · The Floor Price triggering an Amortization Event is $1.72 per share.
• · The prepayment waived any Amortization Event that occurred on or before September 30, 2026, and through October 31, 2026.
• · If an Amortization Event occurs, the company must make monthly payments equal to 18% of outstanding principal plus 10% premium plus accrued interest until the notes are repaid or the VWAP exceeds the Floor Price for 10 consecutive trading days.
• · The company's common stock trades on the Nasdaq Capital Market under the symbol RNAZ.

01-10-2026

Gladstone Investment Corporation announced the effective appointment of Erika Highland as President, effective October 1, 2026, succeeding David Dullum who remains CEO. Ms. Highland, 46, previously served as Executive Vice President and Senior Managing Director, and has been with the Gladstone Companies since August 2005. No financial figures or period-over-period comparisons are included in this filing.

• · Erika Highland, age 46, served as Executive Vice President from March 2026 to September 30, 2026.
• · She served as Senior Managing Director from October 2023 to March 2026.
• · She joined the Gladstone Companies in August 2005.
• · Prior to Gladstone, she worked at Wells Fargo Retail Finance and A.G. Edwards in investment banking.
• · She holds a Bachelor of Science in Business Administration, with a concentration in Finance, from Boston College.

01-10-2026

Direct Digital Holdings, Inc. filed an 8-K on October 1, 2026, reporting the entry into a material definitive agreement (Item 1.01) and the creation of a direct financial obligation (Item 2.03). The filing does not disclose the counterparty, dollar value, or specific terms of the agreement, limiting the ability to assess materiality or strategic impact. No financial metrics, guidance changes, or scheduled events were provided.

• · Filing includes Item 9.01 (Financial Statements and Exhibits) but no exhibits were attached or described.
• · No counterparty, transaction value, or interest rate disclosed for the financial obligation.
• · No amendment or subsequent filing (8-K/A) referenced.

01-10-2026

Beyond Meat announced that Brijesh Krishnaswamy transitioned to full-time Chief Operating Officer on September 30, 2026, and John Boken will step down as interim Chief Transformation Officer effective October 7, 2026, with his responsibilities assumed by Krishnaswamy and other senior leaders. The filing details a leadership restructuring but provides no financial performance data or quantitative metrics.

• · John Boken had served as interim Chief Operations Officer since May 17, 2026, and as interim Chief Transformation Officer since August 6, 2025.
• · Brijesh Krishnaswamy's part-time COO role began August 24, 2026, before converting to full-time on September 30, 2026.
• · The leadership changes are effective as of September 30, 2026 (Krishnaswamy full-time) and October 7, 2026 (Boken departure).

01-10-2026

Marathon Bancorp, Inc. announced that CFO Joy C. Selting-Buchberger will retire effective July 2, 2027, providing a long transition period of over nine months. The company has not yet named a successor or disclosed any interim CFO arrangements.

• · CFO retirement effective July 2, 2027 – over nine months from the announcement date.
• · No successor or interim CFO has been announced.
• · The filing was made under Item 5.02 (Departure of Directors or Certain Officers).