US Material Events SEC 8-K Filings — October 07, 2026

07-10-2026

First Digital, the group behind the FDUSD stablecoin, has signed a definitive business combination agreement with SPAC CSLM Digital Asset Acquisition Corp III (KOYN) to become a publicly listed Nasdaq company. The transaction values First Digital at $250 million on a pre-money equity basis, with closing expected in the first half of 2027. While First Digital generated approximately $87 million in revenue in FY2025 and FDUSD has recorded over $4.7 trillion in cumulative trading volume, its new Finance District ecosystem for the agentic economy does not yet contribute material revenue, and the transaction remains subject to shareholder and regulatory approvals.

• · FDUSD reached $1 billion in market capitalization within four months of launch.
• · FDUSD reserves are held by First Digital Trust Limited, a Hong Kong-licensed custodian, in segregated accounts with monthly independent attestations.
• · First Digital holds a Trust or Company Service Provider (TCSP) license in Hong Kong and two Money Services Business (MSB) registrations in Canada; a license application is pending with the Abu Dhabi Global Market (ADGM).
• · First Digital plans to open a branch office in Korea in Q1 2027.
• · Vincent Chok will receive Class B ordinary shares of the Listed Company, carrying ten votes per share, while other shareholders receive Class A shares with one vote per share.
• · The transaction contains no minimum cash condition.
• · First Digital initiated a defamation action against Justin Sun (Sun Yuchen) in the High Court of Hong Kong on April 3, 2025.
• · Finance District does not yet contribute material revenue to First Digital.

07-10-2026

W&T Offshore announced the conversion of its $50.0 million revolving credit facility into a conventional reserve-based lending (RBL) structure, effective October 1, 2026. The amendment removes restrictive features such as the cash sweep, quarterly clean-down, and asset coverage test, and increases the annual restricted payments basket by 50% to $15.0 million, with no change to pricing, financial covenants, or amendment fees. The company enters Q4 2026 with total liquidity of approximately $234 million, providing a solid base for its 2026 and 2027 goals.

• · The borrowing base will be redetermined semi-annually each May 1 and November 1, beginning November 1, 2026.
• · The amendment eliminates the 75% excess cash flow sweep, the quarterly clean-down requirement, and the $100.0 million minimum PDP PV-10 asset coverage covenant.
• · Financial covenants remain unchanged: maximum net leverage ratio of 2.50x and minimum current ratio of 1.00x.
• · CIBC rejoined the bank group with a $10.0 million commitment, replacing an exiting lender.
• · As of June 30, 2026, the company had working interests in 48 fields (41 federal, 7 state) and approximately 591,000 gross acres (457,000 net acres) under lease.

07-10-2026

Vylor Inc. completed exchange offers and consent solicitations on October 1, 2026, exchanging $1,438,218,000 aggregate principal amount of EIDP senior notes for newly issued Vylor senior notes. The exchange involved three series of notes (2.300% due 2030, 5.125% due 2032, and 4.800% due 2033) and resulted in the retirement and cancellation of the tendered EIDP notes. Vylor also entered into a registration rights agreement with Morgan Stanley, J.P. Morgan, and BofA Securities to file a registration statement for an exchange offer or shelf registration within 366 days.

• · The exchange offers were not registered under the Securities Act of 1933 or any state or foreign securities laws.
• · Vylor Notes are senior unsecured obligations of Vylor and are not guaranteed by any other person.
• · The Vylor Indenture includes customary events of default, including nonpayment, breach of covenants, and bankruptcy/insolvency.
• · Registration rights agreement requires Vylor to use commercially reasonable efforts to file a registration statement within 366 days from the Settlement Date.
• · The exchange offers were conducted by Vylor on behalf of EIDP to adopt proposed amendments to the indentures governing the EIDP Notes.

07-10-2026

Nuvve Holding Corp. reduced the exercise price of Outstanding AIR Warrants to $1.00 and removed the floor price, leading to the immediate exercise of 253,954 warrants for gross proceeds of approximately $253,954. The action was taken under the terms of the existing securities purchase agreement originally entered into on October 31, 2024, and follows prior exercises of Additional Investment Rights in 2025.

• · The exercise price reduction and floor price removal were made pursuant to Section 2(h) of the Outstanding AIR Warrants.
• · The resale of shares issuable upon exercise of the Additional Notes and Additional Warrants has been registered under Form S-1 (File No. 333-292624).
• · Prior exercises of the Additional Investment Right occurred in May 2025, September 2025, November 2025, and December 2025.

07-10-2026

Greenlane Holdings, Inc. filed an 8-K reporting that four of its subsidiaries made assignments for the benefit of creditors under Florida law on September 30, 2026, transferring substantially all assets to an assignee for liquidation. As a result, the company will deconsolidate these entities, removing $594,573 in assets and $3,754,180 in liabilities from its balance sheet. The pro forma financials show a dramatic reduction in revenue—from $4.355M to $225,000 for FY2025—while net loss improves from $85.580M to $48.117M for the same period, though the company continues to report significant operating losses and unrealized losses on digital assets.

• · The Assignments do not release the Assignors or Assigned Subsidiaries from their liabilities; liabilities are removed due to deconsolidation, not payment.
• · The company did not receive any consideration in connection with the Assignments.
• · Pro forma net loss per share for FY2025 improved from $(91.39) to $(51.38) on 936,445 weighted average shares.
• · Pro forma net loss per share for H1 2026 improved from $(10.60) to $(9.04) on 4,075,852 weighted average shares (adjusted for 1-for-8 reverse stock split effective April 6, 2026).
• · The preliminary gain on deconsolidation of $3,159,607 is nonrecurring and will be determined using balances as of September 30, 2026.
• · Substantially all employees of the Assignors were terminated when payroll ended on September 30, 2026.
• · The company still holds $16.442M in digital assets and $8.057M in stablecoin-related protocol instruments on a pro forma basis.
• · Unrealized losses from digital asset holdings were $31.147M for FY2025 and $32.011M for H1 2026, and are not removed in the pro forma adjustments.

07-10-2026

Ocean Power Technologies (OPTT) announced the departure of CFO Robert Powers effective September 30, 2026, and the appointment of Victoria Hay as interim CFO through an engagement with Flexible Consulting, LLC. The company is searching for a permanent CFO. The changes reflect a transition in financial leadership but no financial results or material operational changes were disclosed.

• · Robert Powers will receive six months of base salary and the balance of his agreed fiscal 2026 bonus, plus continued health benefits through October 31, 2026.
• · Powers will remain employed through October 14, 2026 to assist with transition.
• · Victoria Hay, 43, is co-owner and President of Flexible Consulting since May 2021; previously Senior Director - Global Accounting and Reporting Services at Weatherford International plc.
• · Hay is a CIMA chartered accountant with a BSC (Hon) in Biotechnology and Management from Edinburgh University.
• · The company is conducting a search for a permanent CFO.

07-10-2026

Boston Scientific announced the appointment of Joseph M. Fitzgerald as Executive Vice President and Chief Operating Officer (COO), effective January 1, 2027, and the establishment of three new reportable segments—Interventional Therapies, Rhythm Solutions, and MedSurg—to increase efficiency and support continued growth. The new operating structure is designed to enable faster decision-making and strategic allocation of investments. The filing also notes that Lance Bates will lead Interventional Therapies, Nick Spadea-Anello will lead Rhythm Solutions, and Stephen Morse will lead MedSurg and Asia Pacific, all reporting to Fitzgerald.

• · The new segments are effective January 1, 2027.
• · Interventional Therapies will include the Penumbra business after the acquisition closes.
• · Fitzgerald currently serves as Executive Vice President and Group President, Cardiovascular.

07-10-2026

On October 6, 2026, TE Connectivity plc disclosed that Director William A. Jeffrey has decided to retire from the Board and will not stand for re-election at the Company's 2027 Annual General Meeting in March 2027. Mr. Jeffrey confirmed his decision did not involve any disagreement with the Company. The filing also lists the company's registered securities, including ordinary shares (TEL) and three series of senior notes (due 2028, 2029, and 2033) issued by a subsidiary.

• · Mr. Jeffrey's retirement is effective upon the 2027 Annual General Meeting in March 2027.
• · The 0.00% Senior Notes due 2029 (TEL/29) carry a zero percent coupon rate.
• · All senior notes are issued by Tyco Electronics Group S.A., an indirect wholly-owned subsidiary of TE Connectivity plc.

07-10-2026

Beam Global (BEEM) has entered into a definitive agreement to acquire 100% of ScoutDI AS, a Norwegian drone and industrial inspection solutions provider for the oil & gas and maritime sectors, for a base purchase price plus earn-out consideration. The transaction is structured with a mix of cash and stock, with up to 4,622,400 shares of Beam common stock issuable under the Nasdaq share cap, and includes an escrow holdback of 15% of the base purchase price. The acquisition expands Beam's clean technology portfolio into drone-based inspection services, but introduces integration and cross-border execution risks.

• · The acquisition is structured as a share sale and purchase agreement under Norwegian law for ScoutDI AS, a company registered in Trondheim, Norway.
• · The Long-Stop Date for closing is November 4, 2026, unless mutually extended.
• · The agreement includes an earn-out consideration mechanism detailed in Schedule 4.1, tied to future revenue performance of ScoutDI.
• · The Base Purchase Price will be adjusted based on a Closing Balance Sheet prepared under Norwegian GAAP (with US GAAP for Revenue), including adjustments for Net Debt and Normalized Working Capital.
• · The stock consideration is subject to a Nasdaq share cap of 4,622,400 shares, which may limit the number of shares issuable if the stock price is low.
• · The agreement includes extensive representations and warranties, including fundamental warranties on power, authority, share capital, and no violations.
• · The Convertible Loan Amount of NOK 15M (approx. USD 1.4M at current rates) is a debt item that will be factored into the purchase price adjustment.
• · The filing does not disclose the exact Base Purchase Price or Earn-Out Consideration amounts, which are material omissions for valuation.

07-10-2026

Pine Tree Acquisition Corp. (PAXG), a blank check company led by CEO Wei Qian, priced its $100,000,000 initial public offering of 10,000,000 units at $10.00 per unit. The units are expected to begin trading on Nasdaq on October 6, 2026 under the ticker 'PAXGU', with the offering expected to close on October 7, 2026. The company has granted underwriters a 45-day option to purchase up to an additional 1,500,000 units to cover over-allotments.

• · The company is a Cayman exempt company formed as a blank check company for the purpose of entering into a merger or similar business combination.
• · Each unit consists of one Class A ordinary share and one right entitling its holder to receive three-fourths (3/4) of one Class A ordinary share upon consummation of an initial business combination, subject to adjustment.
• · The registration statement on Form S-1 (SEC File Number 333-292289) was declared effective on October 5, 2026.
• · Maxim Group LLC is acting as lead book-running manager, and the prospectus can be obtained from their New York office.

07-10-2026

BKV Corp announced an equipment supply contract with a Tier 1 Supplier for ~1,200 MW of natural gas-fired power generation equipment for a Texas project, backed by a backstop agreement with an investment-grade hyperscaler covering ~90% of payments through March 31, 2027. The hyperscaler is the intended off-taker, but if no offtake agreement is reached by that date, BKV can terminate the contract without further payment obligations. This supports BKV's closed-loop strategy, though the project remains contingent on final offtake arrangements.

• · Equipment deliveries begin in September 2028.
• · BKV may terminate the equipment supply contract on March 31, 2027 if no offtake agreement is reached, with no further payment obligations.
• · The backstop agreement covers approximately 90% of payments owed by BKV through March 31, 2027.
• · The hyperscaler is the intended off-taker for the prospective power generation project.
• · BKV is the largest natural gas producer by gross operated volume in the Barnett Shale.

07-10-2026

Crane NXT, Co. (NYSE: CXT) announced the appointment of Dr. Jeong H. Kim to its Board of Directors, effective October 29, 2026. Dr. Kim brings extensive leadership experience from roles including Executive Chairman of Kiswe Mobile and former President of Bell Labs, and has served on the board of Samsung Electronics. The appointment is a routine board addition with no financial terms disclosed, and no negative or flat metrics are present.

• · Dr. Kim holds a Ph.D. in reliability engineering from the University of Maryland, a master's degree in technical management, and a bachelor's degree in electrical engineering and computer science from Johns Hopkins University.
• · He is a member of the National Academy of Engineering and a recipient of the National Medal of Technology and Innovation, France’s Legion of Honor, and the Horatio Alger Award.
• · The appointment is effective October 29, 2026.

07-10-2026

Incordex Corp. appointed Mr. Chen Wang, age 54, as a new member of its Board of Directors, effective September 29, 2026. Mr. Wang brings extensive e-commerce and health management experience, including a prior role where he delivered annual revenue of RMB1 billion. The appointment is a routine governance update with no disclosed compensation or related-party transactions.

• · Mr. Wang founded his own brand and has served as Founder and Chairman of Yunnan Jinshengchang Technology and Trade Co., Ltd. since October 2024.
• · Mr. Wang obtained an MBA in Health Management from Tsinghua University in 2015.
• · No family relationships exist between Mr. Wang and other directors or executive officers.
• · Mr. Wang is not a party to any transaction requiring disclosure under Item 404(a) of Regulation S-K.
• · The appointment is effective September 29, 2026, and the Director Offer Letter is dated the same day.

07-10-2026

Matternet, Inc. (formerly Los Altos Ventures Corp.) disclosed the departure of CFO Jason Secore, effective September 29, 2026, under a separation agreement dated October 1, 2026. The company will pay $156,146 in separation cash and extend the post-termination exercise period for vested stock options (ES-238 and ES-291) until 18 months after a Nasdaq/NYSE listing. The departure was not related to any disagreement with the company's operations, policies, or practices.

• · Separation Date: September 29, 2026
• · Separation agreement dated October 1, 2026
• · COBRA premium payments by company through October 31, 2026
• · Post-termination exercise period extended to 18 months after first Nasdaq/NYSE listing
• · No accrued vacation or PTO payout due to nonaccrual policy
• · Departure not related to any disagreement with company operations, policies, or practices

07-10-2026

GridAI Technologies Corp. (ENTO) entered into a Second Amended and Restated Secured Convertible Note with Pronghorn Resources, LLC on October 1, 2026, increasing its total loan commitment to $3.5 million. The amendment reflects a third loan of $536,000, bringing the aggregate principal amount to $3.5 million. The company also entered into a corresponding Second Amendment to Security Agreement.

• · The Second Amended Note amends and restates the prior Amended and Restated Secured Convertible Promissory Note dated September 4, 2026.
• · The Second Amendment to Security Agreement updates the definition of 'Note' to refer to the Second Amended Note.
• · The filing was made on October 7, 2026, but the agreements were entered into on October 1, 2026.

07-10-2026

lululemon announced a new Senior Leadership Team structure effective October 26, 2026, appointing Maggie Gauger as President & Chief Product Officer and Joseph Godsey as Chief Operating Officer in newly created roles. The company also announced that Nikki Neuburger (Chief Brand & Product Activation Officer) and Ted Dagnese (Chief Supply Chain Officer) will depart on November 6, 2026. Searches are underway for a Chief Brand Officer, Chief Communications Officer, Chief Technology Officer, and Chief Strategy Officer, while CFO Meghan Frank takes on expanded interim oversight of brand and technology functions.

• · Maggie Gauger joins from Athleta where she was President & CEO; previously spent over 20 years at Nike.
• · Joseph Godsey joins from Walmart Canada where he was Chief Growth Officer; previously spent 15 years at adidas.
• · CFO Meghan Frank will have interim oversight of global brand and technology functions until new Chief Brand Officer and Chief Technology Officer are hired.
• · André Maestrini continues as President & Chief Commercial Officer; Shannon Higginson as Chief Legal & Compliance Officer; Susan Gelinas as Chief People & Culture Officer.
• · Departing executives Nikki Neuburger and Ted Dagnese will leave on November 6, 2026, and assist with transition.

07-10-2026

Hims & Hers Health, Inc. appointed Jonathan M. Franklin as chief accounting officer and principal accounting officer, effective October 9, 2026, succeeding Irene Becklund, who will transition to an advisory role until July 10, 2027. Mr. Franklin brings experience from Rivian and PwC and will receive a compensation package including a $425,000 base salary, a $150,000 signing bonus, and $3,000,000 in restricted stock units. The transition appears orderly, with no negative financial metrics reported.

• · Jonathan M. Franklin, 43, previously served as Vice President, Corporate Controller at Rivian from April 2024 to October 2026.
• · Mr. Franklin is a certified public accountant in Michigan and holds a BBA in Accounting and a Master of Accounting from the University of Michigan.
• · The signing bonus of $150,000 is payable in installments and subject to continued service for nine months.
• · The restricted stock unit grant of $3,000,000 vests 25% on the first quarterly vesting date after the one-year anniversary, with the remaining 75% vesting quarterly over three years.
• · Mr. Franklin is eligible for an annual discretionary bonus with a target of 50% of his base salary.
• · Severance benefits include nine months of salary and target bonus continuation (or twelve months in a change in control), plus health coverage and equity vesting.
• · Irene Becklund will support the Company under an advisory agreement from October 10, 2026, until July 10, 2027.

07-10-2026

EQT Corporation entered into a Commercial Paper Dealer Agreement dated October 7, 2026, establishing a 4(a)(2) private-placement commercial paper program. The program allows EQT to issue short-term promissory notes with maturities up to 397 days and a minimum face amount of $250,000, sold only to qualified institutional buyers and institutional accredited investors. The agreement includes standard representations, warranties, and restrictions on integration with other offerings, but does not disclose the maximum program size or any specific dealer names.

• · Notes may be interest-bearing or sold at a discount
• · Notes are issued under an Issuing and Paying Agent Agreement dated October 2026
• · Notes are exempt from registration under Section 4(a)(2) of the Securities Act
• · Issuer represents it is not currently issuing Section 3(a)(3) commercial paper
• · Proceeds are not currently intended for buying, carrying or trading securities under Regulation T
• · No Maximum Amount for the program is disclosed in the filing

07-10-2026

Columbus Acquisition Corp (Cayman Islands) filed an 8-K on October 7, 2026, announcing the completion of a business combination, triggering a comprehensive set of corporate actions including delisting from its exchange, changes in control, and board changes. The filing is a standard post-transaction disclosure for a Special Purpose Acquisition Company (SPAC), but the filing does not disclose the specific target company, deal value, or financial terms of the transaction.

• · The filing is a standard 8-K for a SPAC business combination completion.
• · The transaction resulted in a change of control and a complete overhaul of the board and management.
• · The company will be delisted from its current exchange, indicating a transition to a new listing or private status.
• · The filing does not disclose the identity of the target company or the financial terms of the deal.

07-10-2026

Armstrong World Industries announced that Jill A. Crager, Senior Vice President of Sales and Marketing, will retire effective December 31, 2026, after 28 years of service. The company will begin a search for her successor, and Ms. Crager will continue leading her teams and assist with the transition until her retirement date.

• · Retirement effective December 31, 2026
• · Successor search process to be initiated
• · Ms. Crager will remain in role until retirement and assist with transition

07-10-2026

Skyworks Solutions completed exchange offers on October 7, 2026, exchanging $779.4M of Qorvo 4.375% Senior Notes due 2029 and $647.1M of Qorvo 3.375% Senior Notes due 2031 for new Skyworks notes of similar terms, while also paying cash for consent solicitations to amend the Qorvo indentures. The exchange reduces Qorvo's outstanding notes by over 95% for each series, leaving only $70.6M and $52.9M outstanding, respectively. The new Skyworks notes are senior unsecured obligations and structurally subordinated to subsidiary debt.

• · The exchange offers expired at 5:00 p.m. New York City time on October 5, 2026.
• · The new Skyworks notes are not obligations of any of Skyworks' subsidiaries and are structurally subordinated to all subsidiary obligations.
• · The Proposed Amendments to the Qorvo indentures became operative either immediately upon the Settlement Date or immediately prior to the closing of the merger of Qorvo into a Skyworks subsidiary.
• · The Base Indenture was filed on August 10, 2026.

07-10-2026

Richardson Electronics reported strong Q1 FY2027 results with net sales up 18.9% YoY to $64.9M and net income surging 112.6% to $4.1M. All three business units grew, led by PMT (+19.7%) and GES (+27.1%). However, other expense swung to a loss of $0.1M from income of $1.4M, and foreign exchange losses increased, partially offsetting gains. The company also declared a $0.06 per share quarterly dividend.

• · Gross margin improved to 34.6% from 31.0%, aided by a 1.7% IEEPA Tariff Refund.
• · Operating expenses increased to $17.4M from $16.0M, but improved as a percentage of net sales to 26.8% from 29.2%.
• · The company had no outstanding debt on its revolving line of credit with PNC Bank at quarter end.
• · Capital expenditures were $1.7M in Q1 FY2027, up from $1.0M in Q1 FY2026.
• · The dividend of $0.06 per share is payable on November 25, 2026 to holders of record as of November 6, 2026.

07-10-2026

Stoneridge, Inc. announced the appointment of Vivek Anand as Vice President, Commercial Strategy & Global Sales, effective November 2, 2026. He will report directly to CEO Natalia Noblet and lead the global commercial organization. The filing contains no financial results or period-over-period comparisons, so no quantitative performance data is available.

• · Vivek Anand previously served as Managing Director, Nordics and Global Vice President, Strategic Accounts at ZF.
• · He led a €500 million global business as Business Unit Leader and Global Business Head for Driveline Systems at ZF.
• · He holds a bachelor’s degree in mechanical engineering and an MBA with a concentration in Marketing.
• · He completed the Leadership Development Program at Saïd Business School, University of Oxford, and is a Six Sigma Green Belt.

07-10-2026

Magnite completed the third repricing of its $358 million Term Loan due 2031, reducing the interest rate by 50 basis points to Term SOFR + 2.50%, and repriced its $175 million Revolving Credit Facility due 2029, reducing the margin by 100 basis points to a range of 2.5%–3.0%. These actions will generate approximately $1.8 million in annualized cash interest savings and represent a cumulative 250 basis point reduction since February 2024. The repricing reflects the company's strong balance sheet and cash flow, with no changes to loan maturities or other material terms.

• · The Term Loan matures in February 2031 and the Revolving Credit Facility matures in February 2029.
• · The new Term Loan interest rate is Term SOFR + 2.50% (down from Term SOFR + 3.00%).
• · The Revolving Credit Facility margin was reduced from 3.5%–4.0% to 2.5%–3.0%.
• · All other material terms of both facilities remain substantially unchanged.

07-10-2026

loanDepot, Inc. entered into a Master Repurchase Agreement with Nomura Corporate Funding Americas, LLC, dated October 2, 2026, establishing an uncommitted financing facility for mortgage loans and REO properties. The agreement allows loanDepot to sell assets to Nomura for funding, with repurchase obligations, and includes provisions for margin maintenance, events of default, and servicing. No specific dollar amounts or financial terms were disclosed in the filing.

• · The agreement is uncommitted, meaning Nomura is not obligated to fund transactions.
• · loanDepot.com, LLC owns 100% of the equity interests in loanDepot Multi Asset NC, LLC, the REO subsidiary.
• · The facility covers non-agency mortgage loans, agency mortgage loans, HELOCs, and REO properties.
• · The agreement includes standard provisions for margin maintenance, events of default, and remedies.
• · Certain confidential information was omitted from the exhibit pursuant to Regulation S-K.

07-10-2026

TTEC Holdings entered into the Twelfth Amendment to its Credit Agreement on October 1, 2026, reducing aggregate revolving credit commitments by $15M to $960M and capping outstanding loans and letters of credit at $950M. The amendment extends the lower applicable margin period (3.250% for SOFR loans, 2.250% for base rate loans) through November 15, 2026, delaying a potential increase to 6.250% and 5.250% respectively, and eliminates a 1.50% extension fee that would have been due on October 1, 2026. The company paid lenders an upfront fee of $2.4M (0.25% of the reduced commitments).

• · The amendment eliminates a 1.50% extension fee that would have been payable on October 1, 2026.
• · The lower applicable margin period is extended by 46 days to November 15, 2026, after which margins would increase to 6.250% (SOFR) and 5.250% (base rate) unless further amended.
• · The upfront fee of $2.4M represents 0.25% of the post-reduction revolving credit commitments.

07-10-2026

ExchangeRight Income Fund entered into an amendment to its operating partnership agreement to create two new series of NLP Common Units (NLP 51 and NLP 53) to facilitate future acquisitions of net-leased portfolios organized as Delaware statutory trusts. The new series have no conversion or redemption rights unless the general partner later grants them, and distribution amounts are at the general partner's sole discretion. This is a structural update with no financial results or regulatory action.

• · The amendment was effective October 5, 2026, and did not require limited partner approval.
• · The new series are junior units with no conversion or redemption rights unless the general partner later grants redemption rights.
• · Distribution amounts for each series are determined solely by the general partner and may differ from other series.
• · The amendment supports anticipated future growth through DST acquisitions.

07-10-2026

Nutanix disclosed that board member Craig Conway will not stand for re-election at the 2026 annual meeting, with no disagreement with the company. Separately, the company entered a Transition Advisory Services Agreement with Tarkan Maner, who stepped down as President and Chief Commercial Officer, under which he will receive a monthly advisory fee of $37,500 for a twelve-month term. The filing reflects orderly board and executive transitions without financial surprises or negative performance metrics.

• · Craig Conway's decision not to stand for re-election is not due to any disagreement with Nutanix.
• · The Advisory Agreement has a twelve-month term, may be terminated for cause or by either party with 30 days' notice.
• · The Advisory Agreement does not provide severance, make-whole payments, new equity awards, or accelerated vesting.
• · Mr. Maner remains eligible to satisfy vesting requirements on outstanding equity awards during the advisory term.

07-10-2026

Clearway Energy LLC entered into a Membership Interest Purchase Agreement dated October 1, 2026, between Honeycomb 2 CE Seller LLC and Honeycomb 2 Purchaser LLC, to acquire membership interests in a renewable energy project. The agreement includes redacted commercial terms and omitted schedules, with the company agreeing to furnish supplemental details to the SEC upon request.

• · The filing is an 8-K under Items 1.01 (Material Agreement Entry) and 9.01 (Financial Statements and Exhibits).
• · Schedules and similar attachments have been omitted per Item 601(a)(5) of Regulation S-K; redactions were made per Item 601(b)(10)(iv) for information that is not material and would cause competitive harm if disclosed.
• · The agreement was executed on October 1, 2026, and the filing was made on October 7, 2026.

07-10-2026

Clearway Energy, Inc. (CWEN-A) filed an 8-K on October 7, 2026, disclosing the entry into a Membership Interest Purchase Agreement dated October 1, 2026, between Honeycomb 2 CE Seller LLC and Honeycomb 2 Purchaser LLC. The agreement involves the purchase of membership interests, but the filing does not disclose the purchase price, the assets involved, or the expected impact on Clearway's financials. The exhibit is redacted and schedules are omitted, limiting visibility into the transaction's terms.

• · The agreement is dated October 1, 2026, and the 8-K was filed on October 7, 2026.
• · The exhibit (10.1) is redacted under Item 601(b)(10)(iv) of Regulation S-K, with omitted information deemed not material and likely to cause competitive harm if disclosed.
• · Schedules and attachments to the exhibit are omitted under Item 601(a)(5) of Regulation S-K, with the company agreeing to furnish copies to the SEC upon request.

07-10-2026

BCB Bancorp, Inc. announced the appointment of Steven E. Gallotta and Denny Kim to its board of directors, and Patricia M. Schaubeck as EVP, Chief Legal Officer and Corporate Secretary, as part of a C-suite reorganization. The appointments aim to strengthen governance and legal functions during a transition period. No financial metrics or performance data were disclosed in the filing.

• · Steven E. Gallotta will serve on the Audit Committee; Denny Kim will serve on the Nominating and Corporate Governance Committee.
• · Patricia M. Schaubeck's appointment is part of a reorganization of the legal department and C-suite.
• · The bank operates 22 branches in New Jersey and 4 branches in New York.

07-10-2026

Corteva, Inc. completed its separation into two independent companies, spinning off its seed operating segment as Vylor Inc. effective October 1, 2026. In connection with the separation, four directors (Charles V. Magro, Kerry J. Preete, Marcos M. Lutz, Karen H. Grimes) resigned from the board, and Luther "Luke" Kissam was appointed as a director and CEO. Additionally, four officers resigned and four new officers were appointed, including Jeff Rudolph as CFO, Brook Cunningham as CCO, and Ralph Ford as CIOO.

• · Separation effective at 12:03 a.m. New York City time on October 1, 2026.
• · New board committees: Audit (Chair: Patrick J. Ward), Governance and Compliance (Chair: Janet P. Giesselman), People and Compensation (Chair: David C. Everitt), Science and Innovation (Chair: Klaus A. Engel, Ph.D.).
• · No director or officer appointments are based on arrangements with other persons or transactions requiring disclosure under Item 404(a).
• · Biographical details and employment agreement for Mr. Kissam were previously filed in the April 8-K.

07-10-2026

Host Digital Inc. entered into a registration rights agreement on October 1, 2026, covering up to 342,864 shares of Class A common stock held by certain stockholders. Concurrently, the company granted 342,864 shares of restricted stock to employees, including 74,286 shares to CFO John Ollet, vesting fully on November 30, 2026 subject to continued employment. The filing reflects routine post-merger integration steps and compensatory arrangements.

• · The registration rights agreement is in the same form as one dated September 17, 2026, previously filed.
• · Company must file a shelf registration statement within 30 calendar days following September 17, 2026 (i.e., by October 17, 2026).
• · Restricted stock vests on November 30, 2026, subject to no voluntary resignation or termination for cause.
• · The grant was made pursuant to the Agreement and Plan of Merger dated May 27, 2026, among Host Digital Inc., Healthy Choice Wellness II Corp., and Host Digital Infrastructure LLC.

07-10-2026

Healthcare Services Group (HCSG) acquired NEXDINE Hospitality for an upfront purchase price of $93.5 million, with potential additional contingent consideration based on performance targets. The transaction, funded with cash on hand, is expected to contribute over $150 million in annual revenue and expands HCSG's capabilities in senior living and hospitality-driven care markets. NEXDINE will operate as a wholly-owned subsidiary, retaining its brand and leadership team, including Founder and CEO David Lanci.

• · NEXDINE is a privately held leader in dining and hospitality service management with a strong presence in the senior living market.
• · NEXDINE will remain headquartered in Mansfield, Massachusetts and continue to be led by its current leadership team.
• · The transaction was funded with cash on hand.
• · HCSG has 50 years of experience in managing Environmental and Dietary services within the healthcare industry.

07-10-2026

Northann Corp. appointed Vincent La Scala as an independent director and Audit Committee Chair, replacing Umesh Patel. Separately, former CEO Lin Li agreed to sell all his beneficial securities (1,803,750 common shares and 625,000 Series A Preferred shares) to a third-party investor, which will result in Mr. Li holding no company securities after closing.

• · Vincent La Scala has over 30 years at Citigroup, most recently as Director, Independent Commercial Risk Management (2021-2023).
• · La Scala previously rebuilt Citi's Know Your Customer program across Latin American markets following severe regulatory criticism.
• · The sale of Lin Li's securities is pending completion of certain paperwork.
• · No familial or other relationships exist between La Scala and any director or management of the company.

07-10-2026

CTT Pharmaceutical Holdings, Inc. (OTCQB:CTTH) disclosed in an 8-K filing that it has parted ways with its certifying accountant, effective October 2, 2026. The company stated there were no disagreements on accounting practices, and the auditor is ceasing to handle SEC reporting companies. CTT Pharma will begin searching for a new auditor and plans to contact a previously used auditor. This change introduces uncertainty regarding the timing of future financial reporting and audit services.

• · The auditor change was reported under Item 4.01 of Form 8-K.
• · The filing date is October 7, 2026, with the event date of October 2, 2026.
• · The company's principal executive offices are located at 1646 W Snow Ave. Suite 138, Tampa, FL 33606.
• · The company has not yet identified a replacement auditor.
• · The 8-K includes Exhibit 16.1 (Letter) and a Cover Page Interactive Data File.

07-10-2026

SRX Global Inc. (formerly SRx Health Solutions, Inc.) entered into a Stock Purchase Agreement on October 6, 2026 to acquire all outstanding capital stock of CERo Therapeutics, Inc. from CERo Therapeutics Holdings, Inc. The consideration includes issuing shares valued at $1,000,000, forgiving a Consolidated Note with an outstanding principal balance of $8,249,643.77, and assuming approximately $1,562,000 in liabilities. The agreement includes a 30-day go-shop period during which Holdings may solicit alternative proposals, and reciprocal termination fees of $750,000. Completion is subject to conditions including the acquisition of Holdings' Series C, D, and E preferred stock and waivers or conversions of Series A preferred stock.

• · The Purchase Agreement includes a 30-day go-shop period during which Holdings may solicit alternative acquisition proposals, with Joseph Gunnar & Co., LLC retained to conduct the process.
• · Reciprocal termination fees of $750,000 apply to both Holdings and SRX under specified circumstances.
• · Closing is conditioned on the Company acquiring Holdings' Series C, D, and E preferred stock and on waivers or conversions of Series A preferred stock.
• · The Company has unconditionally guaranteed all indemnification, advancement, and exculpation obligations of the Subsidiary, and a comprehensive mutual release extinguishing pre-closing claims is agreed upon.
• · The Consolidated Note maturity date is extended to five business days after the earlier of Closing or valid termination of the Purchase Agreement.

07-10-2026

Dalrada Financial Corp (DHTI) entered into a Settlement Agreement and Mutual Release with IBS Equity Fund III, LLC and IBS Private Credit Fund IV, LLC to resolve all disputes related to the Project RX financing. Under the agreement, Dalrada will pay a single lump sum of $20,000 to fully settle all covered claims, terminate all financing documents, and release all liens and security interests. The settlement is contingent on payment being received as cleared funds within 24 hours of the effective time, with the closing occurring automatically upon receipt.

• · The settlement resolves all claims related to the Project RX financing relationship, including amounts asserted in multiple notices from September 2026.
• · All financing documents, including the Master Performance Standby Letter of Credit and Guaranty Agreement and Master Credit, Security, and Account Purchase Agreement dated December 31, 2025, are terminated upon closing.
• · The Warrant and all equity-linked rights held by IBS Released Parties are cancelled and extinguished.
• · All liens, security interests, and control over deposit accounts are released within 2-5 business days after closing.
• · The payment obligation is solely Dalrada's and is not guaranteed by Brian Bonar or any other Company Party.
• · The settlement offer expires unless the effective time occurs by 1:00 p.m. Eastern Time on October 2, 2026.

07-10-2026

WillScot Holdings Corp announced the election of Donald Slager as an independent director, effective October 7, 2026, as part of its ongoing board refreshment. Slager, former CEO of Republic Services, brings extensive public company leadership and governance experience. He will serve on the Audit and Compensation Committees.

• · Slager served as President and CEO of Republic Services from 2011 to 2021.
• · He currently serves on the boards of Martin Marietta Materials and Eastman Chemical Company.
• · WillScot operates from approximately 240 branch locations in the U.S., Canada, and Mexico.

07-10-2026

Spyre Therapeutics, Inc. entered into an underwriting agreement on October 5, 2026, to sell 4,117,648 shares of common stock at $85.00 per share, with an option for underwriters to purchase an additional 617,647 shares. The offering is expected to close on October 7, 2026, generating gross proceeds of approximately $350.0 million. Net proceeds will be used to advance programs in Gastroenterology, Rheumatology, and Dermatology, including a new program for SPY072 in hidradenitis suppurativa, as well as for general infrastructure and potential acquisitions.

• · The offering is made under a shelf registration statement on Form S-3 (File No. 333-297063) filed on June 26, 2026.
• · A final prospectus supplement dated October 5, 2026, was filed with the SEC on October 6, 2026.
• · The underwriting agreement includes customary representations, warranties, indemnification provisions, and termination conditions.
• · The company may use a portion of net proceeds to in-license, acquire, or invest in additional businesses, technologies, or assets.

07-10-2026

FuelCell Energy announced the departure of CFO Michael S. Bishop effective October 6, 2026, and the appointment of Matthew Latino as the new Executive Vice President, CFO, and Treasurer effective October 7, 2026. Bishop will remain as Senior Advisor to the CEO through April 6, 2027, receiving a base salary of $461,591 during the transition and severance benefits. Latino brings experience from Xylem Inc. and Deloitte, with an annual base salary of $460,000, a target bonus of 70% of base salary, a sign-on bonus of $120,000, and a one-time RSU grant valued at $400,000.

• · Michael Bishop's transition period ends April 6, 2027 (Separation Date).
• · Bishop will receive a pro-rated performance bonus during transition (not to exceed 100% of target) but no new equity awards.
• · All unearned performance stock units and other unvested equity awards held by Bishop as of Separation Date will be forfeited, except for pro-rata PSUs and accelerated RSUs.
• · Matthew Latino, age 41, previously served as SVP, Finance & Segment CFO at Xylem Inc. from November 2025 to June 2026.
• · Latino's target long-term incentive award for FY2027 is $1,000,000, split 50% performance share units (3-year cliff vest) and 50% time-vesting RSUs.
• · Latino's severance in case of termination without cause (non-change-in-control) includes 12 months base salary plus COBRA premiums for up to 12 months.
• · In a change-in-control termination, Latino receives one year base salary plus target annual bonus, plus COBRA premiums for up to 12 months.

07-10-2026

CERO Therapeutics Holdings, Inc. entered into a Stock Purchase Agreement on October 6, 2026, to sell its wholly owned operating subsidiary, CERo Therapeutics, Inc., to SRX Global Inc. (Buyer). The transaction provides Holdings with shares of SRX common stock valued at $1,000,000, forgiveness of an outstanding debt of $8,249,643.77 (plus accrued interest), and assumption of approximately $1,562,000 in liabilities. However, the deal is subject to several closing conditions, including the acquisition of Holdings' Series C, D, and E preferred stock by SRX and waivers or conversions from Series A preferred stockholders, and a 30-day go-shop period allows Holdings to solicit alternative proposals, creating uncertainty about the final outcome.

• · The Purchase Agreement includes a 30-day go-shop period during which Holdings may solicit alternative acquisition proposals, with Joseph Gunnar & Co., LLC retained to conduct the process.
• · Holdings may terminate the agreement to accept a Superior Proposal, subject to a $750,000 termination fee and notice procedures.
• · The transaction is structured as a sale of pledged collateral under Section 272 of the Delaware General Corporation Law, so no vote or consent of common stockholders is required.
• · Closing conditions include SRX acquiring Holdings' Series C, D, and E preferred stock and waivers/conversions from Series A preferred stockholders.
• · The Purchase Agreement includes 180-day lock-up agreements for specified recipients of consideration shares and registration rights for SRX shares.
• · Buyer has unconditionally guaranteed indemnification obligations of the subsidiary and agreed to a comprehensive mutual release extinguishing pre-closing claims against Holdings and its officers/directors.

07-10-2026

Charlton Aria Acquisition Corp (CHARU) announced a definitive business combination agreement with KQC Quantum, Inc., the parent of Korea Quantum Computing Co., Ltd., valuing KQC at a pre-money equity value of $80 million ($11.00 per share). The combined company is expected to list on Nasdaq under the ticker 'KQC,' with Charlton Aria's trust account holding approximately $93.5 million as of September 25, 2026. However, the transaction faces a tight deadline—Charlton Aria must complete its initial business combination by October 25, 2026, unless shareholders approve an extension, and the cash available at closing depends on shareholder redemptions, with a minimum cash condition of $30 million.

• · KQC was founded in 2021 and is headquartered in Busan, South Korea, with an office in Seoul.
• · KQC has completed quantum computing projects with POSCO Holdings (battery materials) and Busan Transportation Corporation (urban rail scheduling), and paid post-quantum security proofs of concept with Industrial Bank of Korea and LS ITC.
• · Qubiteer demo launched in June 2026; initial application areas include industrial optimization and scheduling.
• · KQC has a memorandum of understanding with GEM in Southeast Asia (announced September 2026).
• · The transaction is expected to close in the first half of 2027, subject to shareholder approval, SEC effectiveness of Form S-4, Nasdaq listing, and minimum cash condition.
• · Charlton Aria must complete its initial business combination by October 25, 2026, unless shareholders approve an extension.
• · Existing KQC shareholders will roll 100% of their equity into the combined company.

07-10-2026

BioNexus Gene Lab Corp. (BGLC) announced a definitive agreement with Ruanyun Edai Technology Inc. (RYET) for an exclusive Malaysian healthcare licence to RYET's CogniAI AI platform, with a term of up to 20 years (10 years plus two 5-year renewals). The licence consideration is US$3.5 million, payable in 410,000 BGLC shares, with no cash payment, and BGLC will also issue 150,000 shares in exchange for 500,000 RYET shares. The agreement targets Malaysia's RM1 billion public healthcare digitalization programme covering 150 hospitals and over 2,000 clinics, but BGLC has not been awarded any government contract and closing remains pending. The deal is structured to preserve cash, with a 10% royalty on technology receipts only, but carries execution risks including technology delivery, acceptance testing, and regulatory approvals.

• · Licence term: 10 years from closing, with two 5-year renewal options (up to 20 years).
• · Exclusivity in added industries requires a customer contract within 12 months.
• · Closing deadline: March 31, 2027, unless extended; either non-defaulting party may terminate if closing not occurred.
• · RYET must deliver technology by December 4, 2026 (60 days after signing).
• · Personal data must be hosted in Malaysia, with no RYET Group access from outside the country.
• · BGLC retains ownership of applications it develops.
• · BGLC has not been awarded any government contract; public-sector work depends on procurement.
• · Agreement includes milestone, cure and termination provisions affecting exclusivity.
• · No minimum royalty or annual platform fee; testing and clinical fees excluded from royalty.
• · BGLC's prior investments: Ascension Innovation (Aug 2024), Fidelion Diagnostics (Nov 2025), and exclusive ASEAN rights to VitaGuard.

07-10-2026

Alkami Technology, Inc. announced the resignation of Chief Accounting Officer Prerna Sachdeva, effective November 2, 2026, to pursue other opportunities. CFO Cassandra Hudson will serve as interim principal accounting officer starting November 3, 2026, without additional compensation, while the company conducts a search for a permanent replacement. The resignation was personal and not due to any disagreement with the company.

• · Ms. Sachdeva will assist with transition through November 2, 2026.
• · Ms. Hudson will assume the principal accounting officer role on an interim basis starting November 3, 2026.
• · Ms. Hudson will not receive additional compensation for the interim role.
• · No family relationships or related-party transactions requiring disclosure were noted.

07-10-2026

Ultragenyx Pharmaceutical Inc. entered into an asset purchase agreement on October 6, 2026 to sell a Rare Pediatric Disease Priority Review Voucher (PRV) for $210 million in cash. The PRV was awarded by the FDA on August 19, 2026 upon approval of GENGLYCOS (pariglasgene brecaparvovec-opnr) for glycogen storage disease type Ia. Under a 2018 patent license agreement with the NIH, 20% of the gross proceeds ($42 million) will be payable to the NIH after closing, leaving net proceeds of $168 million for Ultragenyx.

• · The PRV was awarded on August 19, 2026 upon FDA approval of GENGLYCOS for glycogen storage disease type Ia (GSDIa) in patients eight years and older.
• · The transaction is subject to customary closing conditions, including expiration or termination of the HSR Act waiting period.
• · The PRV Asset Purchase Agreement contains customary representations, warranties, covenants, and indemnification provisions.
• · A copy of the agreement will be filed with Ultragenyx's Annual Report on Form 10-K for the year ended December 31, 2026.

07-10-2026

VIP Play, Inc. (VIPZ) entered into a Third Amendment to its Convertible Note Purchase Agreement with The Access Fund I, LP, effective September 1, 2026. The amendment extends the maturity date of the outstanding convertible notes to August 31, 2027, and updates the schedule of purchasers to reflect only those with a principal balance as of September 14, 2026. The amendment also removes Section 10.10 of the original agreement and allows amendments and waivers with the consent of the company and applicable noteholders only.

• · The amendment was executed on September 14, 2026, and is effective as of September 1, 2026.
• · The original Convertible Note Purchase Agreement was dated September 1, 2023, with a First Amendment around July 25, 2024, and a Second Amendment around September 8, 2025.
• · The maturity date for the outstanding principal and accrued interest is extended to August 31, 2027, as a single balloon payment.
• · The amendment removes Section 10.10 of the original agreement entirely.
• · The amendment allows amendments and waivers with written consent of the company and applicable noteholders only, without requiring notice or approval of other noteholders.
• · The schedule of purchasers now includes only Rick Hackel (two notes totaling $300,000) and Access Fund I, LP ($150,000).

07-10-2026

On October 7, 2026, Morgan Stanley Capital I Inc. filed an 8-K reporting that the BANK5 2026-5YR24 commercial mortgage pass-through certificates were issued on August 31, 2026, under a Pooling and Servicing Agreement. The filing details that the 1351 Jerome Avenue mortgage loan, an asset of the issuing entity, is now being serviced under a separate pooling and servicing agreement (BBCMS 2026-M1) following the securitization of its lead servicing companion loan on September 30, 2026. The servicing terms under the new agreement are substantially similar but differ in fee structures and operating advisor consultation rights, with no financial performance metrics provided in this filing.

• · The lead servicing Companion Loan for the 1351 Jerome Avenue Whole Loan was securitized on September 30, 2026, under BBCMS Mortgage Trust 2026-M1.
• · The BBCMS 2026-M1 Pooling and Servicing Agreement is dated September 1, 2026.
• · The servicing fee for the Non-Serviced Master Servicer is 0.00125% per annum.
• · The special servicing fee accrues at the greater of 0.25000% per annum or a rate resulting in $3,500 per month.
• · The workout fee is 1.00% of each collection, with a minimum of $25,000.
• · The liquidation fee is the lesser of 1.00% (minimum $25,000) and a rate resulting in $1,000,000.
• · The BBCMS 2026-M1 Pooling and Servicing Agreement does not provide certain nonbinding consultation rights to a representative of credit risk retention interest holders.
• · The operating advisor under BBCMS 2026-M1 can consult on major decisions when the eligible horizontal residual interest or senior-most control eligible certificates balance is 25% or less of initial balance.
• · The operating advisor under BBCMS 2026-M1 can recommend termination of the special servicer under certain conditions, subject to certificateholder vote.

07-10-2026

Tessera Defense and Homeland Security Inc. (formerly BiomX Inc., NYSE American: HLSQ) announced an employment agreement with CEO Michael Oster, including options for 1,000,000 shares at $1.15, 1,000,000 RSUs vesting over three years, 400,000 fully vested shares, and performance-based awards tied to EBITDA per share for FY2027 and FY2028. The company has raised over $6 million in net proceeds from its ATM offering and secured a $5 million line of credit, but the awards are subject to stockholder and NYSE American approvals, and the company faces risks including a going concern qualification and potential delisting from NYSE American.

• · The employment agreement is with Tessera's wholly owned Israeli subsidiary.
• · Mr. Oster was appointed CEO as of March 4, 2026.
• · For FY2028, the performance award structure applies above a threshold of $0.10 EBITDA per share, also up to a maximum of 500,000 shares.
• · All equity awards are subject to stockholder approval of an increase in shares under the 2026 Equity Incentive Plan and NYSE American approval of listing.
• · The Special Meeting of Stockholders is scheduled for October 20, 2026.
• · The company has a going concern qualification and risks of not regaining compliance with NYSE American continued listing standards.
• · The company transitioned from biotechnology to defense and homeland security technology and completed acquisitions of Zorronet and DFSL.