US Material Events SEC 8-K Filings — October 05, 2026

05-10-2026

Trinity Capital Inc. issued $350M aggregate principal amount of 7.500% Notes due 2032, raising net proceeds of approximately $342.61M after underwriting discounts and expenses. The company intends to use the net proceeds to repay outstanding secured indebtedness under its credit agreement with KeyBank, National Association. The notes are unsecured and rank pari passu with existing unsecured unsubordinated debt, but effectively junior to secured debt and structurally junior to subsidiary obligations.

• · The notes mature on January 15, 2032, and are redeemable at the company's option at any time prior to December 15, 2031 at par plus a make-whole premium, and at par on or after December 15, 2031.
• · Interest is payable semi-annually on January 15 and July 15, commencing January 15, 2027.
• · The indenture includes covenants requiring compliance with asset coverage requirements under the Investment Company Act of 1940 and providing financial information to noteholders if the company ceases to be subject to Exchange Act reporting.
• · Upon a change of control repurchase event, the company must offer to purchase the notes at 100% of principal plus accrued interest.
• · The offering was registered under the Securities Act via a Form N-2 registration statement filed on August 11, 2025, and closed on October 5, 2026.

05-10-2026

Firy Inc. (formerly Skillz Inc.) completed the sale of its entire 10.5% stake in Exit Games for $55 million in cash, a fully realized exit that returned approximately 1.1x its original $50 million investment made in July 2021. The company highlights that this return is about 22 times the average DPI of 2021-vintage U.S. venture funds, which have distributed only 0.05x of paid-in capital at the five-year mark. While the exit provides cash and optionality, the modest 1.1x return underscores the challenging venture environment of that vintage.

• · Transaction closed on Friday, October 2, 2026, with proceeds received in full.
• · Exit Games is based in Hamburg, Germany, and is the developer of Photon multiplayer networking technology.
• · Photon is used in global hits such as Stumble Guys.
• · The 2021-vintage average DPI of 0.05x is the lowest of any vintage after five years since 1997.
• · FIRY's 1.1x return is gross cash proceeds on a single investment, while the vintage DPI is net of fees and carry.
• · The sale was made back to Exit Games, not to a third party.

05-10-2026

Aibotics, Inc. entered into a Share Exchange Agreement to acquire 100% of Empulser Enterprises LLC in exchange for up to $22,000,000 in Series C Preferred Stock, structured as a tax-free reorganization. The deal includes a 36-month earn-out with ten milestones, and the company intends to appoint Patrick Tsang as CEO upon closing. However, the transaction is subject to numerous conditions and may not close, and the company's current financial position is not disclosed.

• · The Exchange Agreement may be terminated by either party if closing has not occurred within 90 days after the agreement date, or if a closing condition has not been satisfied or waived by January 2, 2027.
• · Empulser must reimburse the Company's reasonable documented out-of-pocket expenses if the Company terminates for breach or material adverse change.
• · The Company may advance up to $2,000,000 to Empulser before closing, secured by a first priority security interest in all of Empulser's assets.
• · The Series C Preferred Stock has no voting rights except as required by law and on certain amendments; holders may not own more than 4.9% of outstanding common stock upon conversion.
• · The transaction is intended to qualify as a tax-free reorganization under Section 368 of the Internal Revenue Code, but no assurance is given.
• · The Company must be current in its SEC and/or OTC Markets filings and labeled 'Current' on OTC Markets as a condition to closing.
• · Empulser must deliver audited financial statements prepared under U.S. GAAP reasonably satisfactory to the Company and its independent registered public accounting firm.

05-10-2026

Advanced Drainage Systems (ADS) has entered into a definitive agreement to acquire StormTrap Investments LLC from PSP Capital for approximately $530 million (or ~$450 million net of present value of tax benefits). The acquisition expands ADS's addressable market in large-volume stormwater storage solutions and is expected to be accretive to adjusted EPS in the first year. StormTrap generated ~$165 million in revenue and ~$40 million in adjusted EBITDA over the last twelve months ending July 2026, implying a net purchase multiple of about 10x adjusted EBITDA including expected run-rate cost synergies.

• · Transaction expected to close in Q4 calendar 2026, subject to regulatory approvals and customary closing conditions.
• · Boards of both companies have unanimously approved the transaction.
• · Funding will come from cash on hand and existing credit line capacity at ADS.
• · StormTrap's product portfolio includes detention, retention, infiltration, treatment, and water harvesting systems.
• · ADS operates the industry's largest company-owned fleet and is one of the largest plastic recyclers in North America.

05-10-2026

Grayscale XRP Trust ETF (GXRP) filed an 8-K describing the creation and redemption mechanism for its shares, which are issued and redeemed only in Baskets of 10,000 Shares. As of September 16, 2025, each Basket requires 10,704.6148 XRP, along with Bitcoin, Ether, SOL, and ADA. Currently, only cash orders are permitted; in-kind creations and redemptions are not yet available pending regulatory approval, which could limit arbitrage and liquidity.

• · Authorized Participants must be registered broker-dealers and enter into a Participant Agreement.
• · Cash Orders are facilitated by the Transfer Agent and Grayscale Investments Sponsors, LLC acting as Liquidity Engager.
• · Variable Fee is based on Total Basket NAV and covers Liquidity Provider expenses; amount may be changed at Manager's discretion.
• · Actual Execution Cash Orders may be required by the Manager, with price differential borne by the Authorized Participant.
• · In-kind creations/redemptions are not currently available pending regulatory approval; no assurance when or if approval will be obtained.
• · The Manager may limit the number of Shares created via Cash Orders on any day, which could negatively impact liquidity and cause premiums to NAV.
• · Authorized Participants do not pay a transaction fee to the Fund, but may pay network validation fees and administrative fees.
• · The IIV per Share is updated every 15 seconds during NYSE Arca's Core Trading Session using prior day's closing NAV as base.

05-10-2026

Grayscale Zcash Trust (ZCSH) entered into a Sixth Amendment to its Master Custody Service Agreement with Anchorage Digital Bank N.A., adding Anchorage Digital as an additional custodian for a portion of its ZEC holdings. The move is part of the Sponsor's risk management approach as the Trust grows, while Coinbase Custody remains the primary custodian. The Sponsor has not yet determined how much ZEC will be moved to Anchorage Digital.

• · The Anchorage Digital Custodian Agreement was originally dated August 8, 2025, and the Sixth Amendment was entered on September 29, 2026.
• · Anchorage Digital is a national trust bank chartered by the Office of the Comptroller of the Currency.
• · Anchorage Digital will generate and retain custody of private keys for stored ZEC, with hardware security modules located in the United States.
• · In the event of a Zcash blockchain fork, Anchorage Digital may temporarily suspend services and may choose whether to support either branch, but must use commercially reasonable efforts to avoid ceasing support for both branches.
• · Fees paid to Anchorage Digital are Sponsor-paid expenses.
• · The Trust's existing custody arrangement with Coinbase Custody Trust Company, LLC remains unaffected, and Coinbase remains the primary custodian.

05-10-2026

Grayscale Sui Staking ETF (GSUI) added Anchorage Digital Bank N.A. as an additional custodian for a portion of its SUI holdings, effective September 29, 2026, under a Sixth Amendment to the Master Custody Service Agreement. Coinbase Custody Trust Company remains the primary custodian, and the Sponsor has not yet determined how much SUI will be moved to Anchorage Digital. The move reflects the Sponsor's ongoing risk management approach as the Trust grows.

• · Anchorage Digital is a national trust bank chartered by the Office of the Comptroller of the Currency (OCC).
• · Private keys for SUI held by Anchorage Digital are generated and stored in hardware security modules located in the United States.
• · The Anchorage Digital Custodian Agreement includes provisions for handling blockchain forks, allowing temporary suspension of services and discretion to support either branch.
• · Fees paid to Anchorage Digital are Sponsor-paid expenses, not borne by the Trust.
• · The Trust's existing custody arrangement with Coinbase is unaffected, and Coinbase remains the primary custodian.

05-10-2026

NRx Pharmaceuticals subsidiary NRx Defense Systems was awarded an initial $11.2 million DARPA prime contract to evaluate robotic magnetic stimulation combined with NRX-101 for treatment-resistant depression. The SPARC-TMS trial, based on prior real-world findings of 91% treatment response and 69% remission at 3 months, has FDA approval and will begin enrollment at Harvard Medical School's McLean Hospital and other sites. While the award is a significant milestone, the company notes that success is far from guaranteed in any clinical trial, and the drug remains investigational with no approved indication for this use.

• · The SPARC-TMS trial has been approved by the FDA and is registered on clinicaltrials.gov (NCT07227103).
• · The treatment protocol requires a single day in an outpatient clinic, involves no psychedelic experience, no anesthesia, and uses robotic targeting with precision of 1mm or less.
• · NRX-101 was originally conceived as a Breakthrough therapy drug for suicidal bipolar depression and has shown reduction in both suicidality and akathisia compared to lurasidone.
• · The DARPA contract preamble states current treatments require weeks of daily outpatient treatment with modest response rates of 30%-50% and are not easily deployable in military settings.
• · NRx Defense Systems maintains military-grade cybersecurity and personnel security clearances suitable for operating within military and first responder environments.
• · The company has filed an ANDA and initiated an NDA filing for NRX-100 with an application for the Commissioner's National Priority Voucher Program.

05-10-2026

SeaStar Medical announced the exercise of outstanding warrants for approximately $3.3 million in gross proceeds, issuing new warrants to purchase up to 1,708,004 shares at a reduced exercise price. The offering, expected to close on October 5, 2026, provides near-term capital but significantly dilutes existing shareholders. The company intends to use net proceeds for general corporate purposes, including working capital and capital expenditures.

• · Prior warrants were originally issued in June 2025, July 2025, and August 2025 with exercise prices ranging from $6.38 to $7.62 per share.
• · Reduced exercise price for the prior warrants was $3.866 per share.
• · New warrants have an exercise price of $3.616 per share.
• · New warrants consist of two tranches: 854,002 shares exercisable immediately and expiring five years after the effective date of the Resale Registration Statement, and 854,002 shares exercisable immediately and expiring eighteen months after that date.
• · SeaStar Medical has agreed to file a resale registration statement with the SEC within 30 days of October 2, 2026.
• · The company's first commercial product, QUELIMMUNE, was approved by the FDA in 2024 for pediatric AKI due to sepsis.
• · SCD therapy has Breakthrough Device Designation for six therapeutic indications.

05-10-2026

Profusa, Inc. entered into Amendment No. 1 to its Senior Secured Convertible Promissory Note with Ascent Partners Fund LLC, effective October 4, 2026. The amendment reduces the Floor Price to $0.338 and sets the Conversion Price at the greater of $1.20 or 95% of the lowest daily VWAP over the prior five trading days (subject to the Floor Price). Additionally, certain conversion-related provisions (Sections 5(b) and 5(c)) were waived for three other notes totaling approximately $1.43 million. The company reaffirmed all liens and guarantees, and released the holder from certain claims. No financial performance metrics are provided in this filing.

• · The amendment sets a new Floor Price of $0.338 per share for conversion of the amended note.
• · The Conversion Price is defined as the greater of $1.20 or 95% of the lowest daily VWAP over the five trading days prior to conversion, but not less than the Floor Price.
• · Waivers of Sections 5(b) and 5(c) were granted for three other notes totaling approximately $1.43 million in principal.
• · The amendment does not constitute a novation and all existing liens and guarantees remain in full force.
• · The company released Ascent and its related parties from any and all claims related to the transaction documents.

05-10-2026

Sino Green Land Corp. (SGLA) entered into a stock purchase agreement to acquire 80% of Hi-Quality Productions Inc. for a total consideration of US$1,800,000, payable in three tranches (30% cash, 70% stock at US$0.60/share). The deal includes an earn-out adjustment based on Hi-Quality's FY2026 net income, which could increase total consideration to US$1,980,000 or reduce it below US$1,800,000. The transaction is subject to due diligence and other closing conditions, with the seller retaining a 20% stake and agreeing to a 5-year non-compete in the U.S. RPET business.

• · The Hi-Quality SPA includes an earn-out adjustment: if Hi-Quality's FY2026 audited net income exceeds US$550,000, Total Consideration increases to US$1,980,000; if between US$450,000 and US$550,000, it remains US$1,800,000; if below US$450,000, it equals US$1,800,000 multiplied by net income divided by US$500,000.
• · The Third Tranche is subject to the earn-out adjustment; the adjusted Total Consideration less US$1,260,000 previously paid is payable 30% in cash and 70% in stock.
• · If the adjusted Total Consideration is below US$1,260,000, the Seller must refund the difference within 30 days.
• · If the Company uplists to Nasdaq and the VWAP during the first 20 trading days is below US$0.60, the Company must pay the Seller the per-share difference for each share issued or issuable.
• · The Company may terminate the Hi-Quality SPA if due diligence finds customer concentration exceeding 60% of Hi-Quality's revenue.
• · The Seller agreed to a 5-year non-compete in the U.S. RPET business and a 12-month full-time service commitment post-closing.
• · The securities issued under the Hi-Quality SPA are unregistered and exempt under Section 4(a)(2) and/or Rule 506 of Regulation D.
• · The closing is subject to the Company's 45-day due diligence review after September 30, 2026, and other conditions.

05-10-2026

Vistra Operations Company LLC, a subsidiary of Vistra Corp., entered into an Eleventh Amendment to its Credit Agreement dated September 30, 2026, which extends the Revolving Credit Maturity Date and amends certain provisions. The amendment increases the total revolving credit commitments to $1.75 billion, with participation from 20 lenders including Citibank, JPMorgan Chase, and Bank of America. The amendment became effective upon satisfaction of customary conditions, including payment of an upfront fee of 0.05% of each lender's commitment.

• · The amendment extends the Revolving Credit Maturity Date under the original Credit Agreement dated February 4, 2022.
• · The amendment was executed by the Borrower, the Lenders, and Citibank, N.A. as Administrative Agent and Collateral Agent.
• · New Revolving Lenders were added and automatically deemed to have purchased interests in outstanding Revolving Credit Loans ratably.
• · Conditions precedent included delivery of a solvency certificate, good standing certificate, legal opinion from Sidley Austin LLP, and compliance with know-your-customer requirements.
• · The upfront fee paid to each lender was 0.05% of their respective commitment.

05-10-2026

Curaleaf Holdings, Inc. disclosed on Form 8-K that its Compensation Committee and Board approved new compensation arrangements for Chairman and CEO Boris Jordan, effective September 28, 2026. The arrangements include an increase in his 2027 short-term incentive target from 125% to 200% of base salary, a discretionary target bonus of $1 million for strategic targets to be evaluated in March 2028, and a one-time grant of 1,344,275 time-based restricted stock units with a grant date fair value of $15,448,435, vesting in full on January 5, 2028. The changes are intended to support the company's performance and strategic objectives.

• · The RSU grant vests in full on January 5, 2028.
• · The discretionary bonus award amount will be determined in March 2028.
• · The RSU grant was made under Curaleaf's 2018 Stock and Incentive Plan.
• · The compensation changes were approved by the Compensation Committee and the Board on September 28, 2026.

05-10-2026

The filing reports a leadership change at Awaysis Capital, Inc. under Item 5.02 of Form 8-K, but no specific officer name, position, reason, or effective date is disclosed. The filing also includes Item 9.01 (Financial Statements and Exhibits), but no financial data, compensation details, or other quantitative metrics are provided. Without specific information on the departing or appointed officer, the governance implications and market impact cannot be assessed.

• · Filing date: 2026-10-05
• · AccNo: 0001493152-26-045623
• · Size: 904 KB
• · Sector: not specified
• · No officer name, title, reason, or effective date disclosed in the filing summary

05-10-2026

Public Company Management Corporation (PCMC) entered into an amendment to its Share Exchange Agreement with Physicians Capital Management Corporation and Conrad Ivie, M.D. The amendment revises the terms of preferred stock to be issued, waives the requirement for a Voting Agreement and Lock-Up Agreement, and corrects the capitalization of Physicians from 10,000 shares to 10,000,000 shares. The amendment does not introduce any new financial metrics or performance data.

• · Series A Voting Preferred Stock carries aggregate votes equal to 2x the sum of outstanding common shares and votes of other classes.
• · Series A Voting Preferred Stock converts 1:1 into common stock and auto-converts upon exchange listing.
• · Series B-1 Convertible Preferred Stock converts 1:4 into common stock, exercisable 18 months after issuance.
• · Series B-2 Convertible Preferred Stock converts 1:8 into common stock, exercisable 24 months after issuance.
• · No series of preferred stock has a liquidation preference or dividend rights prior to conversion.
• · The Voting Agreement and Lock-Up Agreement were waived and are no longer ancillary agreements.
• · Physicians' authorized common stock corrected to 10,000,000 shares (par value $0.001), with 10,000,000 issued and outstanding.

05-10-2026

DocGo Inc. (DCGO) entered into an Amended and Restated Credit Agreement and Guaranty dated October 1, 2026, among its subsidiary Hicuity Health, Inc., Ambulnz Holdings, LLC, and Perceptive Credit Holdings IV, LP, as Administrative Agent. The agreement amends and restates the existing credit facility, converts existing term loans into Term Loan A, and adds new Term Loan B, C, and D commitments. The transaction also expands the borrower/guarantor group to include DocGo and certain subsidiaries, and grants liens to secure obligations. No specific dollar amounts or financial metrics were disclosed in the filing.

• · The Credit Agreement is dated October 1, 2026, and amends and restates the Existing Credit Agreement dated December 6, 2022, as amended.
• · The Merger Agreement between Hicuity, DocGo, Ambulnz, and MergerCo was entered into on August 16, 2026.
• · The transaction includes conversion of Existing Term Loans into Term Loan A and new Term Loan B, C, and D commitments.
• · DocGo and certain subsidiaries became Guarantors and granted liens to secure obligations under the credit agreement.

05-10-2026

Quanome Technologies, Inc. (formerly Lakeside Holding Ltd) entered into two material agreements on September 29, 2026: a Purchase and Sale Agreement with Compal Electronics for 32 GPU server units at ~$18.8M, and a Token Factory Master Services Agreement via its subsidiary XDT Infrastructure I, LLC with XPERT SOFTWARE SOLUTIONS PTE. LTD. for AI inference computing capacity with aggregate committed fees of ~$100.9M over 60 months. However, the purchase is subject to conditions including payment obligations and supplier performance, and no portion of the $45.0M prepayment under the services agreement has been paid as of the filing date.

• · The down payment under Purchase Agreement No. 2 is 20% of the aggregate purchase price, payable after receipt of written order acknowledgment.
• · The remaining 80% is payable after shipment readiness confirmation and prior to shipment.
• · GPU servers are expected to be delivered to a designated data center location in the United States.
• · The services agreement includes a dedicated pool with full physical isolation of GPU capacity.
• · The monthly fee under the services agreement is fixed for the term and not reduced for usage below committed levels.
• · The prepayment of $45.0M is tied to procurement milestones for the underlying servers.
• · As of the filing date, no portion of the prepayment has become due or been paid.
• · The company was formerly known as Lakeside Holding Ltd and changed its name on October 4, 2023.

05-10-2026

Eaton Corp plc announced the departure of Adam Wadecki as principal accounting officer (Senior VP & Controller) effective October 5, 2026, as he transitions to a non-executive role. Andrea Trabacchin, 48, was appointed as the new Senior VP & Controller and principal accounting officer, effective the same date, with an annual base salary of $485,000 and a target short-term incentive of 60% of base salary. The filing contains no financial results or performance metrics.

• · Adam Wadecki accepted a new position as Senior Vice President, Finance, Electrical, effective October 5, 2026.
• · Andrea Trabacchin previously served as Senior Vice President, Finance, Industrial from April 2024 to October 2026, and as Vice President of Finance, Mobility Group from April 2022 to April 2024.
• · Prior to Eaton, Trabacchin was Vice President of Finance, Construction Equipment Segment at CNH Industrial N.V. from August 2020 to April 2022.
• · Trabacchin will receive a standard indemnification agreement and participate in the same vacation, health, welfare, and retirement plans as similarly situated officers.
• · No family relationships or material interests in transactions with the company were reported.

05-10-2026

Entergy Texas, Inc. announced the appointment of David C. Borde, age 53, as Chairman of the Board, President, and CEO effective October 5, 2026, succeeding Eliecer Viamontes who resigned. Mr. Borde will receive an annual base salary of $450,000 and is eligible for an annual cash bonus targeted at 55% of base salary, along with equity awards under Entergy's omnibus incentive plan. The filing contains no financial performance data, so no period-over-period comparisons are available.

• · David C. Borde previously served as Vice President, Utility Strategy and Regulatory Initiatives of ESL since March 2021.
• · Prior roles include Vice President, Investor Relations of ESL (March 2016 to March 2021); Director, Utility Finance Business Partner of ESL (January 2014 to March 2016); and Director, Corporate Development of ESL (2009 to January 2014).
• · Before joining Entergy, Mr. Borde worked as an investment banker and practiced law at a private firm in New York.
• · Eliecer Viamontes resigned on October 2, 2026, effective October 5, 2026.
• · Mr. Borde will participate in other compensation and benefit programs generally made available to other executives of Entergy and its subsidiaries.

05-10-2026

Ignacio J. Walker, Senior Vice President and Chief Legal Officer of Avery Dennison Corporation, notified the company on September 30, 2026 of his resignation to accept another opportunity. He is expected to continue serving through October 16, 2026. The departure is a routine officer change with no immediate financial impact disclosed.

• · Mr. Walker's resignation is effective October 16, 2026.
• · He resigned to accept another opportunity (not retirement or termination).
• · The filing was made under Item 5.02(b) of SEC Regulation.

05-10-2026

The GEO Group completed the sale of its Adelanto, California ICE Processing Center complex (three facilities totaling 2,644 beds) to the U.S. federal government for $950 million, expecting net proceeds of approximately $705 million after taxes and expenses. Concurrently, the Board increased the share repurchase authorization by $750 million to $1.25 billion, effective through December 31, 2029. The company will continue providing support services under its existing ICE contract through December 2034 and remains engaged in an active process for additional facility sales, though no definitive agreements are in place.

• · GEO expects to continue providing support services under its existing ICE contract for the sold facilities, with a full term through December 19, 2034 (current term ending December 19, 2029 plus a five-year option period).
• · The share repurchase authorization is effective through December 31, 2029 and may be extended, increased, decreased, suspended or terminated by the Board at any time.
• · GEO remains engaged in an active process for the sale of multiple other company-owned facilities to ICE, but there is no definitive agreement or precise timeline for any additional transactions.
• · GEO's worldwide operations include ownership and/or delivery of support services for 97 facilities totaling approximately 76,000 beds, with a workforce of up to approximately 20,000 employees.

05-10-2026

Insmed announced that CFO Sara Bonstein will step down on October 30, 2026, after nearly seven years of leadership during which the company raised over $4.2 billion in capital. The company reiterated its full-year 2026 revenue guidance of $1.25B–$1.40B for BRINSUPRI and $450M–$470M for ARIKAYCE, and noted it expects to reach cash flow positivity next year. The transition is not related to any accounting or operational disagreements.

• · Third-quarter 2026 earnings call scheduled for Thursday, October 29, 2026 at 8:00 a.m. ET.
• · A leading executive search firm has been engaged to identify the next CFO.
• · Insmed expects to reach cash flow positivity next year with a path to sustained top-line growth and bottom-line profitability.
• · Ms. Bonstein will continue as CFO through October 30, 2026 to ensure a smooth transition through Q3 reporting.
• · ARIKAYCE carries a boxed warning for risk of increased respiratory adverse reactions including hypersensitivity pneumonitis, hemoptysis, bronchospasm, and exacerbation of underlying pulmonary disease.

05-10-2026

Tidewater Inc. reported that, effective October 1, 2026, it replaced the legacy parent company guarantees on its BNDES Construction Loans with its own guarantee, substituting itself as the guarantor and releasing Wilson Sons and Remolcadores. The amendments raised interest rates to 3.21% for four loan agreements and 3.77% for one, increased the collateral coverage ratio to 130%, and updated acceleration provisions. Concurrently, the company cancelled the Replacement LCs (unsecured bank guarantees) that had been procured from DNB Bank ASA, with cancellation effective October 2, 2026.

• · The BNDES Construction Loans were entered into between 2007 and 2012 under Credit Facility Agreements Nos. 07.2.0417.1, 07.2.0418.1, 10.2.1621.1, 12.2.0433.1, and 12.2.0434.1.
• · The amendments updated acceleration provisions, allowing BNDES to declare outstanding balances immediately due under various conditions, including bankruptcy, change in control without consent, and certain legal violations.
• · The cancellation of the Replacement LCs became effective on October 2, 2026.
• · The company is required to use best endeavors to replace guarantees or repay loans prior to December 31, 2026.

05-10-2026

Alector entered into a License Agreement with Genentech on September 30, 2026, granting exclusive worldwide rights to its AL050 GCase program for a $100 million upfront payment and up to $1.17 billion in milestones plus tiered royalties. Concurrently, Alector exercised an option to license certain GCase patents from Spur Therapeutics, paying $15 million plus a percentage of sublicense income. Pro forma cash, cash equivalents, and marketable securities as of September 30, 2026, are estimated at $223.7 million (up from $138.7 million actual), which management expects to fund operations into 2029.

• · Alector retains ownership of its Alector Brain Carrier platform and full rights to apply it outside of GCases.
• · Genentech may terminate the License Agreement for convenience upon prior written notice.
• · Alector is subject to certain restrictions on exploitation of GCase-containing compounds for a specified period.
• · Spur Therapeutics may terminate the Spur Agreement upon certain challenges to the Spur Patents.
• · The pro forma cash runway is expected to fund operations into 2029.

05-10-2026

Schneider Electric has signed a definitive agreement to acquire PTC Inc. for $205 per share in an all-cash deal valuing PTC's equity at approximately $22.6 billion ($23.7 billion enterprise value), representing a 42.3% premium to the last closing price. The acquisition creates a leading industrial software and AI franchise with combined Software & Services revenues estimated at 24% of Group revenues, 15,000+ software employees, and 50,000+ software customers. However, the transaction is not expected to close until Q3 2027, remains subject to shareholder and regulatory approvals, and Schneider Electric expects to pause its share buyback program in 2027-2028 to fund the deal.

• · Schneider Electric expects to pause its share buyback program in 2027 and 2028, with acceleration thereafter, completing the €2.5-€3.5B program by end of 2030.
• · Schneider Electric intends to continue its €1.0-€1.5B revenue disposal program to be completed by 2030.
• · The transaction is expected to be immediately low single-digit accretive to Adj. EPS (before PPA) in the first year of full consolidation.
• · Transaction ROCE is expected to exceed WACC by Year 5 post-closing including full run-rate synergies.
• · Schneider Electric expects to retain Category A credit ratings, subject to formal confirmation.
• · Schneider Electric will bring forward the release of its Third Quarter 2026 revenues to October 16, 2026.
• · The completion of the Cognite transaction remains subject to customary closing conditions, including regulatory approvals.

05-10-2026

Fathom Holdings (FTHM) and Neighborhood Intelligence (NXH, formerly Bed Bath & Beyond) mutually terminated their proposed merger agreement, citing that current valuations do not reflect the fair value of either company. NXH will retain ownership of its blockchain and digital asset investments, including its stake in tZERO, while both companies plan to explore strategic collaboration, including data sharing. The termination reflects a cautious stance on valuation, but the companies remain optimistic about future collaboration and independent strategies.

• · The merger termination was mutual and approved by both Boards.
• · Neighborhood Intelligence will retain ownership and control of its blockchain and digital asset investments, including its stake in tZERO.
• · The companies intend to explore data sharing and other collaboration opportunities, but will remain independent.
• · Fathom has outstanding senior secured convertible note and subordinated secured bridge note to NXH, with risks related to repayment or refinancing.
• · The termination follows a review by NXH's Board and management and discussions with shareholders.

05-10-2026

Harrow, Inc. closed its acquisition of TYRVAYA® (varenicline solution) nasal spray 0.03 mg from Viatris Inc., securing worldwide rights except Japan, where Viatris retains commercialization and will pay Harrow royalties. Harrow paid $30 million in cash at closing, with up to $70 million in contingent milestone payments tied to net sales, for potential total consideration of up to $100 million. The deal adds the first FDA-approved nasal spray for dry eye disease to Harrow's portfolio, complementing its existing VEVYE® product, and is expected to contribute more than $30 million in revenue in 2027.

• · TYRVAYA is approved in the U.S., China, and Taiwan, with marketing applications pending in additional markets.
• · TYRVAYA is fully stocked in wholesale distribution channels including McKesson, Cardinal, and Cencora, and can be shipped to retail pharmacies generally within 24 hours.
• · Harrow expects to onboard approximately 40 Viatris personnel during Q4 2026.
• · TYRVAYA has an established prescription base and physician awareness, with years of real-world clinical experience.
• · VEVYE and TYRVAYA will be supported by a single Ocular Surface commercial organization to leverage shared infrastructure.
• · TYRVAYA prescriptions can be sent via EMR software directly to PhilRx or to any retail pharmacy.

05-10-2026

Matador Resources Company closed the acquisition of Paloma Permian LLC from EnCap Investments for $1.255 billion in cash, adding over 156 net drilling locations and approximately 16,500 net undeveloped acres in the Delaware Basin. The acquired production has outperformed underwriting estimates by about 10% since June 1, 2026. However, the company expects to pay down its credit facility by $350-400 million in Q4 2026, indicating significant debt was used to fund the deal, and the Ridge Runner acquisition has not yet closed.

• · The acquisition adds 59 approved drilling permits on Paloma acreage.
• · Matador expects to commence drilling on up to 25 wells associated with Paloma acreage by year-end 2027.
• · The majority of the acquired 16,500 net acres is held by production.
• · Matador's net acreage position will increase by almost 20% from 203,000 net acres in October 2025 to approximately 240,000 net acres in Q4 2026.
• · The Ridge Runner acquisition is expected to close later in October 2026.
• · Matador plans to pay down its reserves-based lending credit facility by $350-400 million in Q4 2026, depending on commodity prices.
• · Matador owns 51% of the San Mateo Midstream system.

05-10-2026

SIM Acquisition Corp. I (SIMAU) entered into a binding Letter of Intent on October 2, 2026, to acquire 100% of American Industrial Technologies, Inc. (AIT) in a business combination. Under the terms, SIM will issue approximately 50,000,000 shares of common stock to AIT equity holders, and AIT CEO John Chiorando will become CEO and Chairman of the combined company. The deal includes a $5,000,000 termination fee payable by AIT if it walks away, and the parties have extended exclusivity through December 31, 2026. The transaction is subject to due diligence, definitive documentation, and shareholder approvals.

• · The Binding LOI replaces and supersedes the non-binding LOI dated April 26, 2026.
• · AIT will merge with a newly formed, wholly-owned subsidiary of SIM and become the surviving company.
• · SIM will domesticate from the Cayman Islands to Nevada.
• · Closing conditions include completion of due diligence, execution of definitive documents, and approvals by shareholders and boards of both parties.
• · SIM can terminate and collect the $5,000,000 fee if due diligence is not completed to its satisfaction, if AIT fails to deliver audited/reviewed financials by November 15, 2026, or if definitive documents are not executed by December 31, 2026.
• · Exclusivity period extended through December 31, 2026.

05-10-2026

INNOVATE Corp. (VATE) completed the sale of its DBM Global subsidiary to IES Holdings (IESC) for total consideration of approximately $559 million, comprising $413 million in cash and 430,974 shares of IES common stock valued at ~$146 million. The company intends to use all net proceeds to reduce outstanding debt, strengthening its balance sheet and financial flexibility as it focuses on its remaining Life Sciences and Spectrum businesses.

• · The stock consideration is subject to a maximum 60-day lock-up period following the closing.
• · The purchase price remains subject to finalization after a post-closing statement and potential dispute resolution.
• · Other DBMG stockholders (holding ~8.79%) will receive their pro rata share entirely in cash.
• · INNOVATE's remaining businesses are in the Life Sciences and Spectrum markets.

05-10-2026

Immunome entered into Amendment No. 4 to its License Agreement with Bristol-Myers Squibb, removing all future milestone and royalty payment obligations and assigning full patent rights to varegacestat (AL102) and AL101 to Immunome. As consideration, Immunome paid BMS $20.0 million in cash and issued 4,425,487 shares of common stock. The company now has no further payment obligations to BMS under the agreement.

• · The original License Agreement was dated November 29, 2017, and Immunome is the assignee of Ayala Pharmaceuticals, Inc.
• · The resale registration statement for the Shares must be filed by November 16, 2026, and declared effective within 60 days of filing or 5 business days after SEC notification of no review.
• · The Shares were issued under Section 4(a)(2) of the Securities Act as an exempt transaction not involving a public offering.

05-10-2026

Phillips 66 Executive Vice President of Refining, Richard G. Harbison, has notified the company of his intention to retire effective December 31, 2026. The departure was disclosed in an 8-K filing on October 5, 2026, with the notice given on September 29, 2026. No replacement or interim appointment has been announced.

• · Richard G. Harbison's retirement is effective December 31, 2026.
• · No successor or interim appointment has been disclosed in the filing.
• · The filing was made under Item 5.02 (Departure of Directors or Certain Officers).

05-10-2026

Oxley Bridge Acquisition Ltd announced the resignation of CFO Gary Chan effective September 29, 2026, with no disagreement with the company. He will remain as a financial consultant. The Board appointed Jingjing (Jessie) Yan as the new CFO, who will continue to serve as President. This is a routine leadership change with no financial impact disclosed.

• · Gary Chan's resignation was not due to any disagreement with the company on operations, policies, or practices.
• · Jingjing Yan will serve as both CFO and President.
• · The company is a blank check company (SPAC) incorporated in the Cayman Islands with executive offices in Vancouver, Canada.
• · The company's securities trade on Nasdaq under symbols OBAWU (units), OBA (ordinary shares), and OBAWW (warrants).

05-10-2026

Jaguar Health announced a special stock dividend of Series R Convertible Preferred Stock to holders of common stock and certain warrants as of October 13, 2026, with each preferred share converting into five common shares on November 2, 2026. The dividend is intended to reward shareholders and provide dilution protection as the company continues evaluating strategic alternatives. The company also reiterated its focus on its intestinal failure program for crofelemer, with a planned NDA filing for MVID in mid-2027.

• · The CUSIP number for the Preferred Stock is 47010C847.
• · Record Date for the dividend is October 13, 2026; Payment Date is October 15, 2026; Conversion Date is November 2, 2026.
• · The dividend applies to holders of common stock and certain warrants with dividend rights.
• · Crofelemer is purified from the red bark sap of the Croton lechleri tree in the Amazon Rainforest.
• · Napo Pharmaceuticals has a sustainable harvesting program under fair trade practices.

05-10-2026

Qorvo, Inc. filed an 8-K on October 5, 2026, reporting the termination of a material agreement and the formation of a new Delaware LLC, Comet Acquisition II, LLC, on October 24, 2025. The filing includes multiple items (1.02, 2.01, 3.01, 3.03, 5.01, 5.02, 5.03, 9.01) and exhibits, indicating significant corporate restructuring or a potential acquisition vehicle. However, no financial details, transaction values, or performance metrics are disclosed in this filing.

• · The filing includes items 1.02 (Termination of a Material Definitive Agreement), 2.01 (Completion of Acquisition or Disposition of Assets), 3.01 (Notice of Delisting or Failure to Satisfy a Continued Listing Rule), 3.03 (Material Modification to Rights of Security Holders), 5.01 (Changes in Control of Registrant), 5.02 (Departure of Directors or Certain Officers), 5.03 (Amendments to Articles of Incorporation or Bylaws), and 9.01 (Financial Statements and Exhibits).
• · Comet Acquisition II, LLC was formed on October 24, 2025, under Delaware law, with a registered agent at Corporation Service Company.
• · No financial figures, transaction amounts, or performance metrics are provided in the filing.

05-10-2026

Skyworks Solutions has completed its combination with Qorvo, creating a U.S.-based global leader in high-performance RF, power management, and analog/mixed-signal semiconductor solutions. The deal is expected to deliver $500 million or more in annual cost synergies within 24-36 months and be immediately accretive to non-GAAP EPS. Legacy Skyworks shareholders own approximately 63% of the combined company, while legacy Qorvo shareholders own approximately 37%.

• · The combined company has approximately 8,000 engineers and more than 12,000 issued and pending patents.
• · Skyworks will provide financial guidance on its fiscal fourth-quarter earnings call on Nov. 3.
• · The company will continue to operate as Skyworks and trade under the SWKS ticker symbol on NASDAQ.
• · Bob Bruggeworth, Richard Clemmer and Chris Koopmans have joined the Skyworks Board of Directors.

05-10-2026

CHS Inc. disclosed that Board member Russell Kehl resigned from the Board of Directors effective December 2, 2026. Mr. Kehl had served as a Region 6 Director since 2017. The company will nominate candidates at the 2026 Annual Meeting to fill the one-year vacancy.

• · Resignation effective December 2, 2026.
• · Mr. Kehl served on the Board since 2017.
• · Region 6 covers Alaska, Arizona, California, Hawaii, Idaho, Nevada, Oregon, Utah and Washington.
• · Vacancy will be filled by election at the 2026 Annual Meeting of Members.

05-10-2026

Yunhong Green CTI Ltd. entered into Conversion Restriction and Waiver Agreements with holders of its Series E and Series F Convertible Preferred Stock, restricting conversions, warrant exercises, and transfers until 61 days after termination notice (which cannot be given before the later of the Offering's final closing/abandonment or the second anniversary). The agreements also extend the warrant expiration dates from March 11, 2027 to March 11, 2029. Separately, the Board fixed the 2026 Annual Meeting for December 30, 2026, setting deadlines for director nominations (October 15, 2026), Rule 14a-19 notices (October 31, 2026), and shareholder proposals (October 23, 2026). The company is pursuing a proposed public offering of its common stock.

• · The restricted period for conversions, warrant exercises, and transfers continues until 61 days after the Holder delivers written notice of termination.
• · Holders may not deliver termination notice before the later of (i) final closing or abandonment of the Offering and (ii) the second anniversary of the Agreement.
• · The Company waived its right to require exercise of the Warrants during the restricted period.
• · The Series F Agreement prohibits payment of dividends on Series F Preferred Stock in shares of Common Stock during the restricted period.
• · The Agreements amend the Purchase Agreements to conform conversion provisions to the applicable certificate of designation.
• · Each Holder released any claim arising from conversion provisions previously stated in the applicable Purchase Agreement.
• · The 2026 Annual Meeting is set for December 30, 2026 at 9:00 a.m. Central Time.
• · Director nomination deadline under bylaws: October 15, 2026.
• · Rule 14a-19 notice deadline: October 31, 2026.
• · Rule 14a-8 shareholder proposal deadline: October 23, 2026.

05-10-2026

Alpha Modus Holdings appointed Atlas Arman and Wenlong Tong to the Board, with Arman as Co-Chairman and Tong as Co-CEO, effective October 5, 2026. Compensation terms are still being negotiated, with definitive agreements expected upon finalization. The appointments bring Web3, AI, and blockchain expertise, but the lack of finalized compensation and the company's emerging growth status introduce uncertainty.

• · Atlas Arman, age 44, has 15+ years of experience in Fortune 500 technology, AI, and Web3 ecosystems, including roles at Intel, EMURGO, and Kima Finance.
• · Wenlong Tong, age 37, has been President of ZSS Technologies (Beijing) since January 2020 and co-founded Guangdong Etop Global Technology.
• · The company is an emerging growth company and has not elected to use the extended transition period for new accounting standards.
• · Compensation terms for the new appointees are still under negotiation, with definitive agreements expected upon finalization.

05-10-2026

Omnitek Engineering Corp. sold substantially all of its assets related to its diesel-to-alternative fuel conversion business to Omnitek Corp. on October 2, 2026. Concurrently, Werner Funk terminated his employment and forgave $632,273 in back salary and all debts owed by the company. The company has transitioned its business to ready-mix concrete operations in North Carolina following the closing of the Hard Rock Ready Mix acquisition.

• · The Asset Purchase Agreement closed on October 2, 2026, the same day it was entered into.
• · The company's new business focus is ready-mix concrete operations in North Carolina.
• · Werner Funk remains a Vice President and Director of the company after the asset sale.

05-10-2026

OFA Group announced the resignation of CFO Ernest Yeung for personal reasons, effective September 30, 2026, and the immediate appointment of Eugene M. Johnston as the new CFO. Johnston, age 62, brings experience as CFO of 1776 Acquisition Corp and Mangoceuticals, Inc., and will receive an annual base salary of $150,000, an initial option grant for 60,000 Class A ordinary shares, and eligibility for annual cash bonuses and additional option grants. The filing does not include any financial results or period-over-period comparisons.

• · CFO Agreement has an initial term of two years from October 1, 2026, extendable by mutual consent for one-year periods.
• · Johnston holds a B.S. in Business Management from the University of North Carolina at Charlotte.
• · No family relationships or material transactions between Johnston and the company were disclosed.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

05-10-2026

Armada Acquisition Corp. II filed an 8-K on October 5, 2026, reporting an amendment to its Warrant Agreement to align with its IPO prospectus, setting warrant exercisability to the later of the completion of a business combination or 12 months after the IPO closing. The filing also confirms that a registration statement for the business combination with Evernorth Holdings Inc. was declared effective on August 27, 2026, and the definitive proxy statement/prospectus was mailed to shareholders. No financial results or performance metrics are disclosed in this filing.

• · The Warrant Amendment was entered into on October 5, 2026, to conform the Warrant Agreement to the IPO prospectus description.
• · Warrants become exercisable on the later of the date of completion of a business combination or 12 months from the IPO closing date.
• · The registration statement on Form S-4 for the business combination was declared effective on August 27, 2026.
• · The definitive Proxy Statement/Prospectus was mailed to shareholders as of the record date of August 20, 2026.
• · The filing does not contain any financial results or performance metrics.

05-10-2026

Bunge Global SA announced that Chief Legal Officer Joseph Podwika will step down effective November 9, 2026, with Ignacio Walker appointed as his successor. Podwika will transition to Senior Advisor to the CEO until his retirement on November 5, 2027, with his base salary reduced to $240,000 and loss of bonus and equity award eligibility for 2027.

• · Podwika's retirement date is November 5, 2027.
• · He will no longer be eligible for annual bonus under the AIP for the 2027 performance year or receive annual equity awards in 2027.
• · Outstanding awards will continue under the long-term incentive plan.
• · Podwika remains eligible for the Bunge Executive Severance Plan in case of qualifying termination before retirement.
• · The Definitive Proxy Statement on Schedule 14A (filed April 10, 2026) and the ESP (Exhibit 10.1 to Form 10-Q filed July 27, 2022) provide further details on benefits and severance.

05-10-2026

Chiron Real Estate Inc. (formerly Global Medical REIT Inc.) completed the acquisition of The Pinnacle North Bethesda, a senior housing community in North Bethesda, Maryland, for $173.2 million on October 1, 2026. The acquisition was funded through one or more subsidiaries, and pro forma financial information will be filed by amendment within 71 days. No negative or flat metrics were reported in this filing.

• · The acquisition closed on October 1, 2026, with the 8-K filed on October 5, 2026.
• · The property is a senior housing community located in North Bethesda, Maryland.
• · Pro forma financial information will be filed by amendment no later than 71 days after the initial 8-K filing date.

05-10-2026

Granite Point Mortgage Trust Inc. amended its master repurchase agreement with JPMorgan Chase Bank, increasing the maximum facility amount from a prior amount to $727.0 million. The company also fully repurchased and paid down all obligations under repurchase facilities with Citibank, N.A. and Morgan Stanley Bank, N.A., strengthening its overall liquidity profile. While the amendment adds borrowing capacity, it also introduces a fee of $156,684.93 and the company must still diligently pursue termination of the Citibank and Morgan Stanley facilities.

• · The amendment became effective on September 30, 2026.
• · The maximum facility amount was set at $727,000,000.00.
• · All purchased assets under the Citibank facility and Morgan Stanley facility have been repurchased and obligations paid in full, with diligent pursuit of termination required.
• · The amendment was executed in counterparts and allows electronic signatures.
• · Guarantor (Granite Point Mortgage Trust Inc.) continues to be bound by the Guarantee Agreement for the obligations.

05-10-2026

WEBTOON Entertainment Inc. announced a partnership with Marvel to launch a new Marvel Comics app on November 16, 2026, developed from the ground up by WEBTOON for mobile and web. The app will feature over 35,000 digital comics, personalized discovery tools, and two subscription tiers. While this represents a significant strategic partnership with a major entertainment brand, the filing is a press release and not a financial results or regulatory action event.

• · The app will support both traditional page-based comics and vertical-scroll formats.
• · New issues available as soon as 1 month after print release for Ultimate tier, 3 months for Base tier.
• · Pre-registration available at https://marvel.webtoon.com with founding member price of $59.99 for first year of Ultimate Annual.
• · NYCC booth #2435 from October 8–11, 2026.
• · The app will include archived comics, current comic book runs, and features like dynamic cover-scroll interface, personalized recommendations, character/creator pages, Pull List, and enhanced smart panel mode.

05-10-2026

Grayscale Bittensor Trust (TAO) entered into a new custodial agreement with BitGo and added Coinbase as an additional custodian for its TAO holdings, effective September 30, 2026. The move is part of the Sponsor's risk management approach as the Trust grows, with BitGo remaining the primary custodian. The prior BitGo agreement was terminated, and the Trust now indemnifies both custodians under the new agreements.

• · The BitGo Custodian Agreement is an amendment to the Amended and Restated BitGo Custodial Services Agreement dated June 5, 2026, adding the Trust as a party.
• · The Coinbase Prime Broker Agreement was amended on September 29, 2026, to add the Trust as a party.
• · The Trust's prior custodial services agreement with BitGo, dated March 12, 2025, was terminated on September 30, 2026.
• · The Sponsor has not yet determined the amount of TAO to be moved to Coinbase.
• · Both custodians are required to maintain insurance coverage, and the Trust must indemnify them against certain losses.
• · In the event of a Bittensor blockchain fork, both BitGo and Coinbase may suspend operations and decide whether to support either branch.

05-10-2026

Consensus Cloud Solutions, Inc. entered into an Amended and Restated Credit Agreement on September 30, 2026, providing a senior secured revolving credit facility of $225 million and a senior secured delayed-draw term loan facility of $300 million, maturing September 30, 2031. The new credit facility is intended to retire its existing 6.50% senior notes due 2028 (approximately $348.2 million outstanding), with the DDTL draw expected around October 15, 2027, when the notes become redeemable at par. No amounts were drawn at closing other than to transfer existing obligations. The facility includes leverage and coverage covenants and restrictions on dividends, investments, and asset sales.

• · The Credit Agreement amends and restates an existing Credit Agreement dated July 9, 2025.
• · DDTL Facility borrowing period ends October 15, 2028, and prepaid amounts may not be reborrowed.
• · Voluntary prepayments and commitment reductions are permitted without penalty (excluding customary breakage).
• · The Credit Facility is guaranteed by all material domestic subsidiaries and secured by substantially all assets.
• · Interest rate options are Base Rate or SOFR plus a margin that varies with the total net leverage ratio (0.75%-1.50% for base rate; 1.75%-2.50% for SOFR).
• · The company may enter into swap arrangements to manage interest rate exposure.

05-10-2026

Aterian, Inc. dismissed UHY LLP as its independent auditor and appointed Haskell & White LLP, effective October 2, 2026. The prior auditor's reports included a going concern qualification due to recurring losses and negative cash flows. Separately, former CEO Arturo Rodriguez's employment ended September 30, 2026, and he entered a consulting agreement with a $250/hour fee, capped at $77,000, through November 20, 2026 (or month-to-month until March 31, 2027).

• · UHY's reports for FY2024 and FY2025 contained a going concern explanatory paragraph due to recurring losses and negative operating cash flows.
• · No disagreements or reportable events occurred between Aterian and UHY during the relevant periods.
• · The consulting agreement with Arturo Rodriguez runs from October 2, 2026 through November 20, 2026, then month-to-month until March 31, 2027.