US Material Events SEC 8-K Filings — October 06, 2026

06-10-2026

AMC Entertainment Holdings, Inc. completed a $3.97 billion comprehensive refinancing of its existing debt, including a $2,000 million first lien notes offering due 2031, a new $850 million first lien term loan facility, and a new $1,120 million second lien term loan facility from Deutsche Bank Special Situations Group. The company successfully tendered 98.8% of its outstanding 7.500% Senior Secured Notes due 2029, extending debt maturities to 2031 and 2033. While the refinancing simplifies the capital structure and reduces cost of capital, the company still carries approximately $4 billion in debt and faces risks including potential need for restructuring if operating revenues do not normalize.

• · The Notes and New Term Loan Facilities are guaranteed on a senior secured basis by certain subsidiaries including Muvico, LLC and Odeon Cinemas Group Limited.
• · Proceeds will also fund the redemption on or about February 15, 2027 of any AMC Secured Notes not tendered.
• · AMC has paid down nearly $2 billion of long-term debt and COVID-related lease deferrals since 2020.
• · The company has received credit rating upgrades from all three major credit rating agencies.
• · Risk factors include potential need for in-court or out-of-court restructuring if operating revenues do not normalize, and limitations on interest expense deductions under the One Big Beautiful Bill Act of 2025.

06-10-2026

Adia Med, Inc. (ADIA) completed the sale of a 30% membership interest in its subsidiary Adia Labs LLC to Live Oak Health LLC (QCM Biologics) for $1.5M on September 30, 2026. The deal includes $1M in cash and a $500K promissory note, and grants the buyer an option to purchase an additional 10% for $500K. While Adia retains 70% economic ownership, voting power is split 50/50 between the parties, creating a governance deadlock risk.

• · The promissory note is secured by a first-priority pledge of the Purchased Units until paid in full.
• · The Option to purchase up to 10 additional units expires on September 30, 2028.
• · If the Option is exercised in full, Adia would own 60% and Buyer 40% of the units, but voting power remains 50/50.
• · Deadlock resolution requires mediation in Seminole County, Florida; if mediation fails within 30 days, either member may pursue a buy-sell remedy.
• · Neither member may dissolve the Labs Company solely because of deadlock without a court order or written agreement.
• · The Labs Company has a first right of refusal on any proposed transfer of units to a third party.
• · Quarterly distributions: after expenses, taxes, and a 10% reserve, 90% of remaining cash is distributed pro rata to members within 30 days after quarter-end.
• · The Purchase Agreement is governed by Florida law, except Nevada law governs Adia's internal corporate affairs; venue is in Seminole County, Florida or Middle District of Florida.
• · The Purchased Units and option units are restricted and not registered under the Securities Act of 1933.

06-10-2026

Barnwell Industries Inc. (BRN) announced a definitive agreement to sell its Canadian oil and gas business for C$9 million (C$4M cash + C$5M gross overriding royalty). The company also separately announced the termination of its overfunded defined benefit pension plan to reclaim surplus assets. While these actions simplify the company and reduce legacy obligations, the sale is subject to shareholder and regulatory approvals, and the future royalty income and a C$5M buyout option on the royalty are uncertain and discretionary.

• · The buyer has paid a C$1M deposit into escrow, credited toward the purchase price at closing.
• · An affiliate of the buyer has the right to purchase the 5% royalty at any time after closing for C$5M; any royalty payments received before exercise do not reduce the C$5M purchase price.
• · Barnwell will retain specified assets including excess cash and near-cash assets outside the sale.
• · The buyer will assume the Canadian business's future site restoration and abandonment obligations, removing them from Barnwell's balance sheet.
• · Certain representations and warranties survive for 12 months after closing.
• · If Barnwell terminates the agreement for a superior proposal, it must pay a C$500,000 termination fee and return the deposit.
• · The company expects a limited tax impact on the C$9M base consideration due to available tax attributes.

06-10-2026

WSFS Financial Corporation announced executive leadership appointments, including Charles Mosher as EVP, Chief Audit Executive; Michael Thompson as SVP, Interim Chief Accounting Officer; and Lisa Washington's promotion to EVP, Chief Legal Officer and Corporate Secretary. The appointments reflect internal promotions and continuity in governance and risk management roles. As of June 30, 2026, WSFS had $22.7 billion in assets and $101.7 billion in assets under management and administration.

• · Charles Mosher is a Certified Public Accountant and has been with WSFS for over 25 years.
• · Michael Thompson has nearly 30 years of banking experience and came to WSFS via the acquisition of Bryn Mawr Trust.
• · Lisa Washington has over 25 years of experience and joined WSFS in 2019, assuming the Corporate Secretary role in 2023.
• · WSFS operates from 114 offices across Pennsylvania (58), Delaware (38), New Jersey (14), Florida (2), Nevada (1), and Virginia (1).
• · WSFS Bank is one of the ten oldest banks in the United States continuously operating under the same name, serving since 1832.

06-10-2026

Rocky Mountain Chocolate Factory (RMCF) announced a $6.6 million sale-leaseback of its Durango, Colorado property to American Heritage Legacies, LLC, a related party controlled by the family of Interim CEO Allen Harper. The company will use net proceeds to repay its existing $6.6 million promissory note bearing 12% annual interest, and will lease back the facility for an initial 10-year term with a 10-year renewal option. Annual rent starts at $624,000 (9.45% of purchase price) with 2% annual increases. The transaction was approved by the Audit Committee and disinterested board members, with Mr. Harper recusing himself, and was supported by an independent appraisal.

• · The transaction is a related party transaction because American Heritage Legacies is controlled by the family of Interim CEO Allen Harper.
• · The lease allows RMCF to continue using the Durango facility as corporate headquarters and production/warehouse facility.
• · The purchase price was supported by an independent appraisal.
• · RMCF operates approximately 250 locations across the U.S. and internationally.
• · The company is ranked among Entrepreneur's Franchise 500 for 2026.

06-10-2026

NextNRG, Inc. amended its Securities Purchase Agreement with an institutional investor on September 30, 2026, modifying terms for up to 3,000,000 shares of Series C Convertible Non-Voting Preferred Stock originally priced at $27.2 million. The amendment ties additional mandatory closings to a daily VWAP exceeding 200% of the Floor Price and the highest Conversion Price, and introduces Trigger Events that automatically increase the stated value by 25% (plus 10% every 30 days thereafter). However, the company faces a Nasdaq delisting determination, with a hearing scheduled for October 22, 2026, and there is no assurance of continued listing.

• · The amendment requires stockholder approval for issuance of all Conversion Shares.
• · The Certificate of Designation removes any optional redemption by a holder of Series C Preferred Stock.
• · Dividends on Series C Preferred Stock are payable at the Company's option in shares of Common Stock, in cash, or by increasing pro rata the stated value, but Common Stock dividends are prohibited if an Equity Condition Failure exists.
• · The Company's 1-for-10 reverse stock split became effective on September 14, 2026.
• · The Nasdaq delisting hearing is scheduled for October 22, 2026.

06-10-2026

Entravision Communications Corporation amended its Station Affiliation Agreement with TelevisaUnivision affiliates, extending the term from December 31, 2026 to March 31, 2027. The amendment also extends related proxy and marketing and sales agreements on the same terms. TelevisaUnivision owns approximately 10% of Entravision's common stock on a fully-converted basis.

• · The amendment extends the term from December 31, 2026 to March 31, 2027.
• · The term renews automatically for successive three-month periods unless either party gives 30 days' notice of non-renewal.
• · The amendment also extends related proxy and marketing and sales agreements on the same terms.
• · TelevisaUnivision owns approximately 10% of Entravision's common stock on a fully-converted basis.

06-10-2026

On October 1, 2026, Nakamoto Inc. (formerly Kindly MD, Inc.) entered into a Second Addendum and an Amended and Restated Warrant Agent Agreement with Odyssey Transfer and Trust Company, appointing Odyssey as successor warrant agent, effective October 1, 2026, replacing VStock Transfer, LLC. The changes are administrative and do not alter the exercise price, number of shares issuable, expiration date (June 3, 2029), or any economic terms of outstanding warrants. The company also changed its name to Nakamoto Inc., converted to a Delaware corporation, and effected a 1-for-40 reverse stock split effective May 22, 2026.

• · Effective October 1, 2026, Odyssey appointed as successor warrant agent; VStock removed and has no further duties or liabilities under the original agreement.
• · All outstanding warrants are held in book-entry form through The Depository Trust Company and evidenced by global certificates; no warrant is certificated.
• · The A&R Warrant Agent Agreement does not amend, modify, or waive any term of outstanding warrants; the original warrant terms govern unless amended.
• · The company's registration covenant now runs to its Form S-3 (File No. 333-294958), declared effective April 24, 2026.
• · The company's name change to Nakamoto Inc., conversion to Delaware corporation, and 1-for-40 reverse stock split were effective May 22, 2026.
• · The warrant expiration date remains June 3, 2029.

06-10-2026

Box, Inc. announced the appointment of Omer Yuhjtman as Vice President, Finance and Chief Accounting Officer, effective October 19, 2026, succeeding Eli Berkovitch who is resigning effective October 23, 2026. Mr. Yuhjtman, a former Box employee from 2016 to 2025, will receive an annual base salary of $330,000, a discretionary bonus of up to 35% of base salary, and restricted stock units covering 80,000 shares. The filing does not contain any financial results or performance metrics, so no positive or negative trends are reported.

• · Omer Yuhjtman previously served at Box from June 2016 to December 2025, most recently as Vice President, Assistant Controller.
• · He holds a B.A. in Business Economics with an emphasis in Accounting from UC Santa Barbara and is a CPA in California.
• · The company also entered into a Change of Control and Severance Agreement with Mr. Yuhjtman.
• · There are no family relationships or material interests in transactions requiring disclosure.

06-10-2026

On October 5, 2026, Werner Enterprises director Jack A. Holmes resigned from the Board and its Compensation and Governance Committees to accept an executive leadership role at another transportation company, avoiding potential conflicts. The resignation is amicable and not due to any disagreement with the company. No financial metrics or performance data are included in this filing.

• · Jack A. Holmes resigned effective October 5, 2026.
• · He also resigned from the Compensation and Governance Committees.
• · His departure is amicable and not due to any disagreement with the company.

06-10-2026

CareView Communications entered into the Sixteenth Amendment to its Credit Agreement with PDL Investment Holdings, extending the maturity date to December 31, 2026. The amendment continues a long series of prior amendments to the original 2015 credit facility. No new financial commitments or changes to principal amounts were disclosed.

• · The Sixteenth Amendment to Credit Agreement was entered into as of September 30, 2026.
• · The amendment extends the Maturity Date to December 31, 2026.
• · The filing references over 30 prior amendments to the Modification Agreement and Credit Agreement dating back to 2015.
• · No financial amounts or changes to interest rates, covenants, or principal were mentioned.

06-10-2026

HighPeak Energy announced a comprehensive refinancing involving a $450 million preferred equity investment from PT Danantara Investment Management and PT Energi Mega Persada Tbk, and a new $800 million reserve-based credit facility from Citibank and Fifth Third Bank. The proceeds will repay its existing $1.17 billion term loan, materially strengthening the balance sheet and reducing annual interest expense. However, the preferred stock carries a 6% cumulative dividend and a conversion price of $9.50, which could dilute common shareholders, and the transaction is subject to customary closing conditions with no guarantee of completion.

• · Preferred Stock has no maturity date; cumulative dividends payable quarterly.
• · Conversion price is $9.50 per share; mandatory conversion can be triggered after third anniversary if stock price exceeds 150% of Conversion Price for 30 of 40 consecutive trading days.
• · Company may redeem Preferred Stock on or after third anniversary at a price yielding 10.0% IRR.
• · DIM and EMP will each appoint one director to HighPeak's Board.
• · Advisors: Vinson & Elkins for HighPeak, Milbank for Investors, Barclays for DIM, Citigroup for EMP, Bracewell for Citibank.

06-10-2026

Professional Diversity Network (IPDN) announced an order for one NVIDIA B300-based AI computing system from AMAX Engineering for its subsidiary PDN Intelligence, paying 50% of the purchase price with the balance due before shipment. This marks the company's initial investment in GPU infrastructure, intended for commercial AI compute services at a third-party data center. The company has no operating history in AI infrastructure and faces risks including delivery delays, reliance on third parties, and competition, but management emphasizes a disciplined, market-driven expansion approach.

• · The order is for one NVIDIA B300-based AI computing system.
• · IPDN has paid 50% of the purchase price; the remaining balance is payable before shipment.
• · The system is expected to be deployed at a third-party data-center facility and made available for commercial AI compute services.
• · The company has no operating history in AI infrastructure and GPU-powered computing, and faces risks including delivery delays, reliance on third-party suppliers, export-control laws, and competition from well-capitalized companies.
• · The company intends to evaluate future expansion based on market demand, utilization, and economics.

06-10-2026

Innventure, Inc. entered into an At The Market Offering Agreement with Lucid Capital Markets, LLC to sell up to $60 million of its common stock, primarily to fund working capital, general corporate purposes, and a strategic shift toward its Accelsius Holdings subsidiary. Separately, the company issued 2,454,689 shares to Yorkville under a prior Standby Equity Purchase Agreement for approximately $1.69 million, but announced it does not intend to issue any additional shares under that SEPA. While the new ATM facility provides potential liquidity for the company's transformation, there is no guarantee any shares will be sold through it, and the company has capped the use of the earlier dilutive SEPA facility.

• · The ATM Agreement commission structure: 3.0% on the first $15M, then 2.17% on the next $45M.
• · The shares issued to Yorkville were sold at a weighted-average effective price of $0.6869 per share.
• · The SEPA with Yorkville was originally entered on October 24, 2023, for up to $75 million.
• · Proceeds from Yorkville sale are expected to fund operating expenses and limited deferred payables of AeroFlexx and Refinity.
• · The company filed a prospectus supplement on October 6, 2026, in connection with the ATM offering.
• · Legal opinion from Jones Day is attached as Exhibit 5.1.

06-10-2026

Ludwig Enterprises, Inc. (LUDG) disclosed in an 8-K filed October 6, 2026, that its independent registered public accounting firm, Stephano Slack LLC, resigned effective June 22, 2026. The resignation was not due to any disagreements or reportable events, and the prior audit report contained a going-concern explanatory paragraph. As of the filing date, no successor accounting firm had been engaged.

• · Stephano Slack was appointed as the Company's independent registered public accounting firm on April 18, 2025.
• · The resignation was effective June 22, 2026.
• · The audit report for the fiscal year ended December 31, 2025 contained an explanatory paragraph expressing substantial doubt about the Company's ability to continue as a going concern.
• · No successor independent registered public accounting firm had been engaged as of the filing date.
• · The Company is an emerging growth company and has elected not to use the extended transition period for complying with new or revised financial accounting standards.

06-10-2026

Benchmark 2026-V23 Mortgage Trust filed an 8-K on October 6, 2026, reporting the entry into a material definitive agreement (Pooling and Servicing Agreement) dated August 1, 2026, for the issuance of $1.5B in commercial mortgage pass-through certificates. The trust's assets consist of 30 fixed-rate commercial mortgage loans secured by 58 properties, with a specific note that the Franklin 8 Pack Whole Loan is serviced under a separate but similar pooling and servicing agreement. No financial results or performance metrics are provided in this filing.

• · The Pooling and Servicing Agreement is dated as of August 1, 2026, with a closing date of August 28, 2026.
• · The Franklin 8 Pack Whole Loan includes companion loans that are not assets of the Issuing Entity.
• · The servicing terms for the Franklin 8 Pack Mortgage Loan are similar in all material respects to those for other Mortgage Loans but will differ in certain respects as described in the Prospectus.
• · The filing includes Exhibit 4.1, the BBCMS 2026-M1 Pooling and Servicing Agreement dated September 1, 2026.

06-10-2026

Beauty Health Co (SKIN) filed an 8-K on October 6, 2026, disclosing the termination of a material agreement (Item 1.02) and a Regulation FD disclosure (Item 7.01). The filing is furnished under Regulation FD and is not deemed an admission of materiality. No specific financial figures or performance metrics were provided in the filing.

• · Filing includes Item 1.02 (Material Agreement Termination) and Item 7.01 (Regulation FD disclosure).
• · The information in Item 7.01 is not to be incorporated by reference into any other filings.
• · The filing explicitly states it is not an admission of materiality of the disclosed information.

06-10-2026

Golub Capital Private Income Fund I, through its subsidiary GPIF I Funding, entered into a third amended and restated side letter to its existing BANA Credit Facility on September 30, 2026. The side letter modifies the minimum utilization level for calculating the unused commitment fee through December 31, 2026. No financial amounts or performance metrics were disclosed in this filing.

• · The side letter modifies the minimum utilization level for calculating the unused commitment fee through December 31, 2026.
• · The original credit agreement was amended and restated on December 31, 2025.
• · The filing is a routine disclosure of a material agreement amendment with no financial impact disclosed.

06-10-2026

Sidus Space, Inc. (SIDU) announced the expansion of its Board of Directors from five to six members and the appointment of Larry G. Swets, Jr. as a new director, effective October 5, 2026. Mr. Swets will also serve on the Audit Committee as its financial expert. No related-party transactions or arrangements were disclosed in connection with his appointment.

• · Mr. Swets will serve until the 2027 annual meeting of stockholders or until his successor is elected and qualified.
• · The Board expanded from five to six directors.
• · No arrangements or understandings existed for Mr. Swets's election, and no Item 404(a) transactions were disclosed.

06-10-2026

VivoSim Labs held its 2026 Annual Meeting on September 30, 2026, with a quorum of 37.26% (6,180,635 shares). Stockholders approved all six proposals, including the election of directors Keith Murphy and Adam Stern, ratification of auditors, an advisory say-on-pay vote (76.33% for), a reverse stock split authorization (74.12% for), an amendment to the 2022 Equity Incentive Plan increasing shares by 3,165,000 (72.52% for), and approvals related to a July 2026 private placement transaction (77.87% for). However, the low quorum and relatively modest approval percentages (e.g., 72.52% for the equity plan and 74.12% for the reverse split) indicate notable shareholder dissent, with significant broker non-votes on several proposals.

• · The reverse stock split authorization allows the Board to effect a split at a ratio between 1-to-5 and 1-to-20 at any time on or before September 30, 2027, without further stockholder approval.
• · The private placement transaction approvals included reducing the exercise price of warrants issued on May 13, 2024 from $9.60 to $0.85 per share.
• · Broker non-votes totaled 3,731,634 on director elections, say-on-pay, equity plan, and private placement proposals, representing a significant portion of shares present.
• · The advisory say-on-pay proposal received 533,207 votes against (23.7% of votes cast excluding broker non-votes).
• · The equity incentive plan amendment received 623,037 votes against (27.5% of votes cast excluding broker non-votes).

06-10-2026

Firefly Aerospace Inc. (FLY) disclosed the resignation of director Thomas Zurbuchen effective September 30, 2026, and the appointment of Rick Ambrose as a Class III director on October 5, 2026. Mr. Ambrose, a former Lockheed Martin Executive Vice President of Space who led a $12 billion space business, was appointed to the Audit and Compensation Committees and deemed independent under Nasdaq and SEC rules. He will receive an annual cash retainer of $100,000, additional committee retainers, and a one-time restricted stock unit grant valued at $150,000, plus annual equity grants of $150,000.

• · Thomas Zurbuchen's resignation was not due to any disagreement with the company or management.
• · Rick Ambrose's term as Class III director expires at the 2028 annual meeting.
• · Mr. Ambrose was also appointed to the Audit Committee and Compensation Committee.
• · The Board determined Mr. Ambrose is independent under Nasdaq and SEC rules, including Rule 10A-3 for Audit Committee service.
• · Mr. Ambrose currently serves on the board of Textron Inc. and has been a Senior Director at SDR Ventures since December 2022.
• · He retired in March 2022 as EVP of Space at Lockheed Martin, leading its $12 billion space business.
• · Equity grants under the Policy vest fully on the first anniversary of the grant date, subject to continued board service, with full acceleration upon a Change in Control.
• · Mr. Ambrose will enter into the company's standard indemnification agreement for directors.
• · There are no family relationships between Mr. Ambrose and any director or executive officer of the company.

06-10-2026

Accuray Incorporated announced stockholder approval of all proposals at its October 6, 2026 Special Meeting, enabling the completion of a financing transaction with TCW Asset Management Company LLC. The transaction includes the exchange of $40 million of term loan debt for convertible preferred stock, a $15 million equity investment by TCW, access to a delayed draw term loan of up to $5 million, and covenant relief through December 31, 2027. Additionally, Richard A. “Randy” Meier was appointed as an independent director effective immediately. While the financing strengthens the company's balance sheet and provides liquidity, the need for a reverse stock split (at a ratio between 1-for-15 and 1-for-40) and the company's substantial outstanding indebtedness highlight ongoing financial challenges.

• · The reverse stock split ratio range is 1-for-15 to 1-for-40, with the board retaining discretion on exact ratio and timing.
• · Covenant relief is provided through December 31, 2027.
• · Mr. Meier will serve on the Compensation Committee.
• · The company's Annual Report on Form 10-K was filed on August 27, 2026, and includes risk factors related to substantial outstanding indebtedness and financial covenants.

06-10-2026

Liqtech International Inc (LIQT) announced the appointment of Mr. Schrøder as an officer, effective September 30, 2026, as disclosed in an 8-K filing. The filing confirms Mr. Schrøder has no family relationships with other officers or directors and no material interest in any reportable transactions. No financial details or performance metrics were provided in this filing.

• · Mr. Schrøder has no family relationships with any of the Company’s other officers or directors.
• · Mr. Schrøder has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
• · The appointment is effective September 30, 2026.
• · Exhibit 10.1 is the Interim Chief Financial Officer Consultancy Agreement between LiqTech Holding A/S and LMMM Holding ApS.

06-10-2026

Amphenol Corporation announced a leadership transition in its Harsh Environment Solutions Division. Luc Walter, after 43 years with the company, will step down as President of the division effective January 1, 2027, and move into a new role as Senior Vice President, Strategic Programs. Ryan Fisher, currently Group General Manager of the North American Military Group, will succeed him as President of the Harsh Environment Solutions Division. The change is a routine succession and does not involve any financial metrics or performance data.

06-10-2026

IES Holdings completed the acquisition of DBM Global for approximately $691 million, funded with cash and stock, establishing a new Structural line of business. DBM Global generated about $1.5 billion in revenue for the twelve months ended June 30, 2026, and adds approximately 4,000 employees. The transaction is IES's largest acquisition to date and is expected to generate substantial cash flow to repay acquisition-related borrowings.

• · IES acquired 100% of DBM Global common stock, including ~91.2% held by INNOVATE Corp.
• · The stock split (two-for-one) was effected on August 21, 2026, and share count was adjusted accordingly.
• · Cash consideration includes $35M payment to INNOVATE for joint Section 338(h)(10) election.
• · DBM Global operates brands including Schuff Steel, Banker Steel, GrayWolf, DBM Vircon, and Aitken.
• · DBM Global has more than 2 million square feet of fabrication and operating facilities across the U.S.
• · IES expects substantial cash flow from both IES and DBM Global to rapidly repay acquisition-related borrowings.

06-10-2026

Fossil Group, Inc. held its 2026 Annual Meeting on October 2, 2026, where stockholders approved the First Amendment to the 2024 Long-Term Incentive Plan (Proposal 3) with 25,772,703 votes in favor, though 9,297,555 voted against. All seven director nominees were elected, and the advisory say-on-pay vote (Proposal 2) passed with 31,811,253 in favor but faced notable opposition of 2,309,066 votes. The appointment of Deloitte & Touche LLP as independent auditor was ratified with 42,881,357 votes in favor.

• · Proposal 3 (LTIP Amendment) received 9,297,555 votes against, representing a significant minority opposition.
• · Proposal 2 (Say-on-Pay) had 2,309,066 votes against, indicating some shareholder dissatisfaction with executive compensation.
• · Director nominee Marc Rey received the lowest support with 33,164,382 votes in favor and 1,968,370 against.
• · Proposal 4 (Auditor ratification) had no broker non-votes, with 42,881,357 votes in favor.
• · The 2026 Annual Meeting was held on October 2, 2026, and the 8-K was filed on October 6, 2026.

06-10-2026

Fortress Credit Realty Income Trust, through its subsidiary FCR CRE CONA SELLER LLC, entered into a Master Repurchase and Securities Contract Agreement with Capital One, National Association dated September 30, 2026. The agreement establishes a secured financing facility with an availability period through September 30, 2027, under which the seller can transfer eligible assets (primarily senior mortgage loans) to Capital One in exchange for funds, with a simultaneous agreement to repurchase them. The facility includes margin maintenance requirements, various fees, and standard representations and warranties, but no specific dollar amounts or pricing terms are disclosed in the filing.

• · The agreement has an availability period expiring on September 30, 2027, with a possible extension.
• · The facility is structured as a master repurchase agreement, not a traditional loan, meaning transactions are treated as sales with repurchase obligations.
• · Margin maintenance (Article 4) and various covenants (negative, affirmative, single-purpose entity) are included.
• · Events of default and remedies are detailed in Article 13, including accelerated repurchase rights.
• · The agreement is governed by New York law (Article 20).

06-10-2026

Oglethorpe Power Corporation entered into Amendment No. 3 to its Amended and Restated Credit Agreement dated October 2, 2026, with lenders including CoBank, ACB, Regions Bank, Mizuho Bank, U.S. Bank, Fifth Third Bank, and Goldman Sachs Bank USA. The amendment modifies the terms of the existing credit facility, with the company reaffirming its obligations and representing that no Material Adverse Effect has occurred since December 31, 2025. No specific financial amounts or performance metrics were disclosed in the filing.

• · The amendment was effective as of October 2, 2026.
• · The Borrower represented that no event or condition has occurred since December 31, 2025 that has had or would be reasonably expected to have a Material Adverse Effect.
• · The amendment was governed by the laws of the State of Georgia.
• · The filing includes a jury trial waiver.

06-10-2026

Acura Pharmaceuticals, Inc. filed an 8-K to amend the loan schedule to its Secured Promissory Note with Abuse Deterrent Pharma, LLC, increasing the aggregated principal from $2,319,279 to $11,294,279 as of October 2, 2026. The amendment reflects additional loans totaling $8,975,000 made between December 2022 and October 2026, including 16 new loans in 2026. This is a routine debt schedule update, not a merger or acquisition.

• · Loan #62 dated 6/24/2026 was $200,000, larger than the typical $100,000 loans.
• · Loan #63 dated 7/17/2026 was $200,000.
• · Loan #64 dated 8/14/2026 was $200,000.
• · Loan #65 dated 9/18/2026 was $100,000.
• · Loan #66 dated 10/02/2026 was $100,000.
• · The amendment was signed on October 6, 2026.

06-10-2026

Simulations Plus, Inc. (Nasdaq: SLP) announced the completion of its acquisition by affiliates of Altaris, LLC for $18.50 per share in cash, taking the company private. The transaction, originally announced on June 16, 2026, results in Simulations Plus being combined with Altaris portfolio company Chemical Computing Group (CCG) to create a broader drug development platform. Simulations Plus will continue to operate under its own name and brand within the combined organization.

• · Altaris manages $10 billion of equity capital and has invested in more than 50 healthcare companies since 2003.
• · The combined organization will span drug discovery, modeling, simulation, and development.
• · Simulations Plus common stock will no longer trade on the Nasdaq Global Select Market.

06-10-2026

Expand Energy Corporation entered into Amendment No. 1 to its Amended and Restated Credit Agreement, extending the Maturity Date from September 30, 2025 to September 30, 2031. The amendment was executed with multiple lenders and issuing banks, including JPMorgan Chase, Bank of America, and others, and became effective upon satisfaction of customary conditions. No financial figures or performance metrics were disclosed in the filing.

• · Maturity Date extended to September 30, 2031, from the prior date of September 30, 2025.
• · Amendment No. 1 to the Amended and Restated Credit Agreement dated as of September 30, 2025.
• · Amendment effective as of October 6, 2026.
• · Conditions precedent include receipt of legal opinions from Kirkland & Ellis LLP and McAfee & Taft, and certification of no Default or Event of Default.
• · Borrower agreed to pay all reasonable out-of-pocket expenses of the Administrative Agent, including legal fees of Simpson Thacher & Bartlett LLP.

06-10-2026

Rank One Computing Corp (ROC) appointed Dr. Anil K. Jain, a pioneer in biometrics and pattern recognition, to its Board of Directors effective October 5, 2026. The appointment strengthens ROC's Vision AI strategy with Dr. Jain's foundational expertise in biometrics, computer vision, and machine learning. No financial metrics were disclosed in this filing.

• · Dr. Jain is a University Distinguished Professor at Michigan State University, where he has been since 1974.
• · He served as editor-in-chief of IEEE Transactions on Pattern Analysis and Machine Intelligence.
• · He was elected to the U.S. National Academy of Engineering and served on the U.S. Defense Science Board.
• · He holds a Bachelor of Technology from IIT Kanpur and M.S. and Ph.D. in electrical engineering from The Ohio State University.
• · ROC is headquartered in Denver, Colo., with additional hubs in Grand Rapids, Mich., and Morgantown, W.V.

06-10-2026

SLB Limited announced the election of Ms. Jing Ulrich to its Board of Directors, effective October 5, 2026. Ms. Ulrich, a former Vice Chairman of Investment Banking at JPMorgan Chase, will also serve on the Audit and Finance Committees. Her appointment is effective immediately and she will stand for re-election at the next annual general meeting.

• · Ms. Ulrich served as Vice Chairman of Investment Banking at JPMorgan Chase from 2021 to July 1, 2026.
• · She previously held senior leadership roles at JPMorgan Chase, including Vice Chairman of Global Banking and Asia Pacific, from 2005 to 2021.
• · Earlier career: Managing Director at Deutsche Bank AG (2003-2005) and Managing Director at CLSA (1996-2003).
• · Current board memberships: adidas AG (since 2019), Swarovski International Holding (since 2025), and The Wella Company (since April 2026).
• · She holds a Bachelor of Arts from Harvard University and a Master of Arts from Stanford University.
• · No reportable transactions under Item 404(a) of Regulation S-K.
• · Compensation will be prorated under the company's current director compensation program.

06-10-2026

Better Home & Finance Holding Company (BETRW) experienced a boardroom shakeup after Vishal Garg's consent solicitation succeeded on September 30, 2026, removing five directors (Daniel Lewis, Arnaud Massenet, Bhaskar Menon, Prabhu Narasimhan, Harit Talwar) without cause. Hugh Frater resigned effective upon the removal, and the sole remaining director, Vishal Garg, appointed Bing Gordon, Steven Sarracino, Paula Tuffin, and Nicholas Calamari to the Board on October 5, 2026. The new Board then removed Daniel Lewis as Interim CEO, leaving the company without a permanent CEO and with a newly constituted board that includes two employees (Tuffin and Calamari) who will not receive additional compensation.

• · The consent solicitation was approved by a majority of voting power as of the Record Date of August 21, 2026.
• · Proposal 1 (Bylaw repeal) received 13,638,803 consents, 24,594 against, 0 abstentions.
• · Each of the five director removals received 13,633,243 consents, 30,154 against, 0 abstentions.
• · Hugh Frater resigned effective upon the removal, citing the outcome of the consent solicitation.
• · New directors Bing Gordon and Steven Sarracino are expected to receive compensation under the Company's Director Compensation Policy.
• · Paula Tuffin and Nicholas Calamari will not receive additional compensation for board service.
• · The Board has commenced a process to identify and appoint a successor Interim CEO.

06-10-2026

Southland Holdings, Inc. (SLND-WT) entered into the First Amendment to its Financial Assistance Agreement with sureties including Berkshire Hathaway Specialty Insurance Company, extending the deadline for issuing senior non-voting preferred shares from September 30, 2026 to November 13, 2026. The amendment involves conversion of certain Non-Bonding Financing into preferred shares under the existing agreement. The company is classified as an emerging growth company and has common stock (SLND) and redeemable warrants (SLND WS) listed on NYSE American LLC.

• · The First Amendment was entered into on September 30, 2026, and the 8-K was filed on October 6, 2026.
• · The original deadline for issuing preferred shares was September 30, 2026; the amendment extends it to November 13, 2026.
• · The company is designated as an emerging growth company under SEC Rule 405 / Rule 12b-2.
• · Sureties party to the amendment include Berkshire Hathaway Specialty Insurance (also collateral agent), Zurich American, Hartford Fire, Euler Hermes North America, Markel Insurance, Western Surety, and Federal Insurance.

06-10-2026

Powerus Corporation (PUSA) appointed Colin Chisholm as COO effective October 12, 2026, with a $325,000 base salary, 300,000 RSUs, and a target annual incentive of 30-40% of base salary. Separately, the company completed its merger with Autonomous Power Corporation on October 1, 2026, issuing approximately 134.6 million shares, resulting in 163,838,861 shares outstanding. No negative or flat metrics are present in this filing.

• · Colin Chisholm has over 20 years of leadership experience in defense technology, manufacturing, industrial automation, and military operations.
• · He was most recently COO of Forterra (2024-2026) and previously Director of Production Operations at Tito's Handmade Vodka (2019-2024).
• · He served in the U.S. Marine Corps from 2003 to 2014, attaining the rank of Major, with combat deployments to Iraq and Afghanistan, and received the Bronze Star Medal.
• · He holds a Doctor of Education in Organizational Leadership, an MBA, and a BA.
• · The employment agreement has an initial term of two years.
• · RSUs vest in six-month increments over four years starting six months after start date.
• · No family relationships or material interests requiring disclosure under Item 404(a).
• · The merger with Autonomous Power Corporation was previously disclosed and completed on October 1, 2026.

06-10-2026

Cognizant Technology Solutions Corporation entered into a $2.4 billion credit agreement on October 5, 2026, with a syndicate of lenders including JPMorgan Chase, Bank of America, BNP Paribas, and others. The facility provides substantial liquidity for general corporate purposes, including potential acquisitions and working capital needs. No prior-period comparison is available as this is a new agreement, so no period-over-period metrics are reported.

• · The credit agreement includes a financial covenant (Section 7.04) requiring the borrower to maintain a maximum leverage ratio.
• · The agreement permits additional designated borrowers, including Cognizant Worldwide Limited, to access the facility.
• · The facility can be increased through an accordion feature (Section 2.12) subject to lender consent.
• · The agreement contains standard representations, affirmative and negative covenants, and events of default typical for an investment-grade credit facility.

06-10-2026

Aviat Networks appointed Khashayar "Hash" Pakbaz as Senior Vice President and Chief Operations Officer, effective October 5, 2026. Mr. Pakbaz, previously VP and Chief Digital & Information Officer since June 2026, brings experience from ONEDigital AI, JSR, and Lam Research. His compensation includes a $365,000 base salary, target annual bonus of 50% of base salary, and a one-time RSU award of $200,000 with a two-year vesting period.

• · Mr. Pakbaz's employment agreement has an initial term from October 5, 2026 to one year anniversary, with automatic one-year extensions unless notice of non-renewal is given.
• · Severance for a Qualifying Termination (without Cause, death/disability, or Good Reason resignation) includes a lump sum of 1.0 times base salary plus prorated target annual bonus, plus COBRA premiums for up to 12 months.
• · Severance for a CIC Termination (Qualifying Termination within 3 months before or 12 months after a change in control) includes a lump sum of 1.0 times base salary plus target annual bonus, full vesting of outstanding equity awards, and COBRA premiums for up to 18 months.
• · The Employment Agreement includes a 12-month non-solicit covenant and ongoing confidentiality obligations.
• · Mr. Pakbaz holds a Ph.D. in Physics and a Bachelor of Science in Physics from the University of California, Santa Barbara.

06-10-2026

Penguin Solutions appointed Stephen Cumming as Senior Vice President and CFO, effective immediately, succeeding interim CFO Aaron Johnson, who returns to his prior role. The company also reported Q4 and full-year fiscal 2026 results with multiple company records and raised its full-year fiscal 2027 outlook, though the press release does not disclose specific financial figures.

• · Cumming previously served as CFO of Edgio, Cambium Networks, Kenandy, and Atmel Corporation, with 21 years in the semiconductor industry.
• · Aaron Johnson, interim CFO since July 2026, returns to his role as VP of Finance and Accounting.
• · Q4 and full-year fiscal 2026 results reported in a separate release; conference call/webcast held October 6, 2026 at 1:30 p.m. PT.
• · Company raised full-year fiscal 2027 outlook, citing strong AI-driven momentum and operating leverage.
• · Risks include dependence on a limited number of customers, memory market volatility, and the winding down of the Penguin Edge business.

06-10-2026

Walker & Dunlop, Inc. announced that EVP and COO Stephen P. Theobald will retire effective March 31, 2027, with his duties being divided among other employees. The departure is not due to any disagreement with the company.

• · Retirement effective March 31, 2027
• · No disagreement with company cited
• · Duties to be divided among other employees

06-10-2026

Quest Diagnostics announced that EVP Catherine T. Doherty will retire in July 2027 and transition to a new role overseeing health systems, the Corewell Health joint venture, and Project Nova effective November 1, 2026. Her compensation remains unchanged with a $650,000 base salary and 80% target bonus, plus a new $1,200,000 equity award in restricted stock units. This is a routine leadership transition with no negative financial implications.

06-10-2026

BeyondSpring Inc. completed the sale of its ownership interests in BeyondSpring Ltd. (including its subsidiaries Bulin and SEED Technology) and SEED Therapeutics Inc. to Biolin Investment Limited on September 30, 2026, in exchange for noncash consideration — a license to use data from the DUBLIN-4 clinical trial and the investor's commitment to fund the trial. The deconsolidation of the two disposal groups resulted in a preliminary estimated gain of $52.9M on the pro forma balance sheet, but the company recognized no value for the contingent consideration (future trial data and a clawback provision). Pro forma net loss from continuing operations attributable to BeyondSpring Inc. improved from $(3.1M) to $(3.7M) for the six months ended June 30, 2026, and from $(8.5M) to $(8.0M) for FY2025, reflecting the removal of the disposal groups' losses; however, the company still has no revenue and continues to report significant operating losses.

• · No cash consideration was received for the sale; consideration is entirely noncash (license to DUBLIN-4 data and funding commitment).
• · The contingent consideration (Bulin Data and Clawback) is accounted for under the gain-contingency model (ASC 450-30) and no value has been recognized in the pro forma financials.
• · If patient enrollment target is not met within 3 years, the investor must return a portion of equity interests; if shortfall is 90% or greater, 100% of equity must be returned.
• · The company retained approximately 29% voting power in SEED (via one common share and Series A-1 preferred shares) and the right to elect two directors, but no longer controls SEED.
• · Pro forma total assets decreased from $14.6M to $21.1M (increase due to equity investment remeasurement), while total liabilities dropped from $50.6M to $3.8M.
• · Pro forma shareholders' deficit improved from $(36.0M) to $17.3M (positive equity).
• · Revenue remains zero in all periods presented (as reported and pro forma).
• · The company waived approximately $3.7M in intercompany debt owed by a Bulin subsidiary before closing.

06-10-2026

Sonoma Pharmaceuticals filed an 8-K on October 6, 2026, amending and restating its Series B Preferred Stock Certificate of Designation. The amendment, effective immediately, sets the Formula Number at 1,000 votes per share (subject to adjustment) and includes provisions on dividends, liquidation preferences, and anti-dilution adjustments. No shares of Series B Preferred Stock have been issued to date, and the filing does not include any financial results or operational updates.

• · The Formula Number is set at 1,000 votes per share, subject to adjustment for stock dividends, splits, or combinations.
• · Series B Preferred Stock is not convertible or exchangeable into other securities.
• · The Company may not redeem Series B Preferred Stock, but may purchase shares in the open market or via offers.
• · No shares of Series B Preferred Stock have been issued as of the filing date.
• · The amendment was adopted by the Board on October 6, 2026, and signed by CEO Amy Trombly.

06-10-2026

Clarivate completed the sale of its Life Sciences & Healthcare segment to Altaris for $600 million, sharpening its focus on Academia & Government and Intellectual Property segments. Proceeds will be used to reduce debt and strengthen the balance sheet. The company will report Q3 2026 results on November 3, 2026, and update full-year 2026 guidance to reflect the divestiture.

• · Transaction was previously announced on July 6, 2026.
• · Clarivate will report Q3 2026 financial results on November 3, 2026.
• · Full year 2026 guidance will be updated to reflect the divestiture.
• · Proceeds intended to reduce debt and strengthen balance sheet.
• · Post-divestiture portfolio consists of Academia & Government and Intellectual Property segments.

06-10-2026

Oceanhawk Acquisition Corp. (OHAC), a SPAC, issued a $1,550,000 convertible promissory note to its sponsor, Oceanhawk Acquisition I Sponsor, LLC, dated September 30, 2026. The note is non-interest bearing and will mature upon the consummation of a business combination, at which point it will automatically convert into private placement units at $10.00 per unit, unless the sponsor elects cash. The note is unsecured and the sponsor waives any claims against the trust account, indicating funding for working capital while the SPAC seeks a merger target.

• · The note is non-interest bearing and cannot be prepaid before maturity.
• · The note automatically converts into private placement units, each consisting of one ordinary share and one right to receive one-quarter of an ordinary share.
• · The sponsor may elect to receive cash instead of conversion by providing notice at least two business days before closing.
• · The sponsor waives all claims against the trust account funds, and if no business combination occurs, the note will be repaid only from non-trust account funds.
• · The note is governed by New York law and includes standard events of default and remedies.

06-10-2026

On October 1, 2026, the Board of Directors of Rhinebeck Bank, the wholly owned subsidiary of Rhinebeck Bancorp, Inc., provided notice of non-renewal to all employees with change in control agreements, including Executive Vice President and CFO Kevin Nihill. The agreements will expire on December 31, 2027. The company stated the decision is part of a broader shift in corporate philosophy to revise change in control contracts and does not reflect any individual's performance or anticipated management changes; the Bank intends to develop new replacement arrangements.

• · The non-renewal notice was given to each employee who has a change in control agreement with the Bank.
• · The term of each agreement will expire on December 31, 2027.
• · The decision is part of a broader change in corporate philosophy aimed at revising and updating the terms of change in control-related contracts.
• · The Bank intends to develop a new change in control benefit arrangement to replace the agreements for each affected employee.

06-10-2026

Curtiss-Wright Corporation announced that CFO K. Christopher Farkas is retiring effective year-end 2026, and has stepped down as CFO immediately. Gary Ogilby, SVP and Corporate Controller, has been appointed interim CFO while the Board conducts a search for a permanent successor. The company emphasized the decision is unrelated to financial performance, with earnings scheduled for November 4, 2026.

• · Farkas joined Curtiss-Wright in 2009 and served as CFO since 2020.
• · Ogilby joined in 2010, became VP and Corporate Controller in 2020, and SVP in 2026.
• · Ogilby is a CPA and AICPA member with a B.S. in Accounting from The College of New Jersey.
• · Company reports earnings on November 4, 2026.

06-10-2026

Sysco Corporation and Sysco Holdings Corporation issued and sold approximately $14.65 billion in USD Senior Notes, $3.9 billion in USD Junior Subordinated Notes, and €1.0 billion in Euro Junior Subordinated Notes on October 6, 2026. The net proceeds, after deducting underwriters' discounts and expenses, were approximately $10.64 billion, $3.8 billion, and €0.99 billion, respectively. The funds will be used to finance the pending acquisition of JRD Unico, Inc. and Warehouse Realty, LLC, or for special mandatory redemption if the acquisition is not consummated.

• · The USD Senior Notes are unsecured and rank equally with other unsecured senior indebtedness, but are effectively junior to secured debt and senior to the junior subordinated notes.
• · The USD Junior Subordinated Notes are unsecured, junior subordinated obligations, ranking junior to all senior indebtedness including the USD Senior Notes and CAD Senior Notes.
• · Interest on the USD Junior Subordinated Notes can be deferred for up to ten consecutive years per deferral period at the Issuers' option.
• · The Euro Junior Subordinated Notes carry a 6.000% interest rate and mature in 2056.
• · The USD Senior Notes were issued under a Base Indenture dated September 25, 2026, supplemented by a Second Supplemental Indenture dated October 6, 2026.
• · The USD Junior Subordinated Notes were issued under a separate Base Indenture dated October 6, 2026, with a Second Supplemental Indenture also dated October 6, 2026.

06-10-2026

Nuo Therapeutics, Inc. entered into an Assignment, Joinder, and Amendment No. 1 to its Amended and Restated Loan and Security Agreement, effective September 30, 2026. The amendment extends the Second Closing Date from September 30, 2026 to October 6, 2026, and involves a partial assignment of a $150,000 Second Funding commitment from an existing lender to new and assuming lenders. The company also consented to the admission of new lenders and the issuance of related notes and warrants.

• · The Second Closing Date was extended from September 30, 2026 to October 6, 2026, superseding a prior Consent and Extension that had set the date to October 9, 2026.
• · The Assigning Lender retains a $50,000 commitment and assigns a $100,000 portion to Assuming Lenders.
• · New Lenders are joining the Agreement as Lenders and will assume funding obligations.
• · No Lender is deemed a Nonperforming Lender solely due to the delayed Second Closing, unless they fail to fund on the new date.
• · The Company consented to the assignment and joinder, and the amendment includes the issuance of Second Notes and modification of applicable Warrants.

06-10-2026

Quince Therapeutics, Inc. filed an 8-K on October 6, 2026, announcing a 1-for-20 reverse stock split effective at 5:00 p.m. Eastern Time on the same day. The reverse split was approved by the Board and stockholders, and any fractional shares will be rounded up to the next whole share. The filing also covers Items 5.02, 5.03, and 5.07, indicating director/officer changes and amendments to the certificate of incorporation.

• · The reverse stock split was originally approved by stockholders and the Board, with an effective time of 11:59 p.m. Eastern on June 29, 2026, but the filing amends the effective time to 5:00 p.m. Eastern on October 6, 2026.
• · The company's authorized capital stock is 285,000,000 shares, consisting of 275,000,000 shares of Common Stock and 10,000,000 shares of Preferred Stock.
• · Fractional shares resulting from the reverse split will be rounded up to the next whole share.