US Material Events SEC 8-K Filings — October 08, 2026

08-10-2026

TETRA Technologies, Inc. entered into a First Amendment to its Term Loan Credit Agreement on October 2, 2026, securing improved terms including a reduced interest rate (from SOFR + 5.75% to SOFR + 5.00% per annum) and an extended maturity date (from January 12, 2030 to December 31, 2030). The amendment also eliminates amortization payments until June 30, 2028, providing near-term cash flow relief, but requires TETRA Bromine Project LLC to become a guarantor. While the lower interest rate and deferred amortization are positive for liquidity, the extension of maturity and addition of a guarantor reflect ongoing leverage management needs.

• · The First Amendment modifies certain covenant baskets set forth in the original Term Loan Credit Agreement.
• · Quarterly amortization payments will commence on June 30, 2028 at 0.625% of the original principal balance, rising to 1.25% per quarter from June 30, 2029.
• · The amendment requires TETRA Bromine Project LLC to become a guarantor under the Term Loan Credit Agreement.
• · The original Term Loan Credit Agreement was dated January 12, 2024.

08-10-2026

Bain Capital Private Credit issued $350 Million (M) aggregate principal amount of 7.600% notes due October 8, 2031 in a private placement under Rule 144A and Regulation S, closing on October 8, 2026. Interest is payable semiannually from April 8, 2027, and proceeds are earmarked for general corporate purposes and/or repaying indebtedness, including revolving credit facilities. Concurrently, the company entered into a $350 Million (M) notional interest rate swap that receives fixed 7.60% and pays 3-month compounded SOFR plus 2.8515%, aligning its liabilities with a predominantly floating-rate loan portfolio.

• · Notes are direct unsecured obligations and may be redeemed in whole or part at the company's option
• · Change of control repurchase event requires both a change of control and a below investment grade rating from Fitch and Moody's
• · Company must file a registration statement for an exchange offer; failure triggers additional interest payable to holders
• · Indenture covenants require compliance with Section 18(a)(1)(A) as modified by Section 61(a) of the Investment Company Act of 1940
• · An affiliate of the trustee also serves as the company's custodian for customary fees

08-10-2026

X4 Pharmaceuticals entered into a senior secured term loan facility of up to $150 million with K2 HealthVentures LLC, with an initial $80 million tranche funded at closing that fully repaid the prior $75 million principal loan plus fees and closing costs. An additional $70 million may be drawn at the company's request, subject to K2HV approval and other conditions, and the new facility offers a larger total size, a longer interest-only period, and a 48-month maturity. Management reiterated expectations to complete enrollment in the Phase 3 4WARD trial by year-end 2026 and report topline data in H1 2028, while the forward-looking risks flagged include tranche access, covenant compliance (minimum cash and minimum revenue), and prime-rate exposure on interest expense.

• · Interest-only period extension is tied to achieving first commercial U.S. sales of mavorixafor in chronic neutropenia on the anticipated timeline
• · The facility carries minimum cash and minimum revenue covenants that X4 must satisfy
• · The mavorixafor chronic neutropenia indication has FDA Fast Track designation
• · Filing lists Items 1.01, 1.02, 2.03, 3.02, and 7.01 and 9.01, indicating a new material agreement, termination of the prior agreement, creation of a direct financial obligation, and unregistered equity sales disclosure may be included in the full filing

08-10-2026

Digital Asset Acquisition Corp. (Nasdaq: DAAQ), a SPAC, entered a merger agreement with Titan Strategics Holdings Ltd. (Cayman Islands), the parent of Titan Strategics AS, which holds exploration licenses over the former Ranstad uranium mine and roughly 207 km² of the Billingen uranium district in Sweden. The combined company would be renamed Renaissance Nuclear, Inc., with a pro-forma enterprise value of $318 million and approximately $65 million in gross transaction proceeds (assuming no redemptions, including a minimum $15 million PIPE), with closing expected in early 2027 subject to shareholder and regulatory approvals. The historical drilling results cited have not been verified by a Qualified Person under SK-1300, and the transaction remains conditional and subject to redemption and listing risks.

• · Titan's licenses (Billingen nr 100 and nr 200) were granted January 16, 2025, run to January 16, 2028, and are extendable subject to Swedish Mining Inspectorate approval
• · Historical uranium assays have not been verified by a Qualified Person under SK-1300; an SK-1300 Technical Report Summary is in preparation
• · Sweden lifted its uranium mining ban effective January 1, 2026
• · Ranstad mine closed in the late 1960s due to low uranium prices; LKAB later co-managed plans to restart it
• · Transaction is expected to close in early 2027 and is subject to shareholder and regulatory approvals and customary closing conditions
• · Redemptions by DAAQ public shareholders could reduce the $65M proceeds figure and affect Nasdaq listing eligibility; the filing flags failure to meet minimum cash and initial listing requirements as risks
• · Titan has no SK-1300 Mineral Resource yet; the company's stated goal is to define one, so the project remains at the exploration stage
• · Titan's existing equity holders will convert 100% of their equity into 25,000,000 Pubco shares

08-10-2026

Shimmick Construction Company, Inc. entered into a Master Loan and Security Agreement dated October 2, 2026 with Sixty-First Commercial Finance, LLC, under which the lender agreed to fund an initial advance of $14,285,255.00 to repay existing Borrower indebtedness, with further equipment financings secured by a first-priority/purchase-money security interest in Appraised Borrower Equipment and related collateral. The filing does not provide enough detail in the excerpt to assess comparative period performance, and no negative or flat operating metrics are disclosed.

• · Lender's obligation to fund each Advance is conditioned on Section 4 closing deliverables, including lien searches, UCC filings, board/officer resolutions, and original executed Equipment Notes
• · Borrower's payment obligations are absolute and unconditional, waive setoff and defenses, and prepayment is generally not permitted except as expressly provided
• · Late Payment Rate interest applies to overdue amounts; payments are made by pre-authorized ACH
• · Failure to deliver original certificates of title within 120 days (extendable for DMV delays) constitutes an Event of Default
• · Borrower may not lease, rent, dispose of, or surrender possession of collateral without Lender's prior written consent

08-10-2026

Valion Bio, Inc. (formerly Tivic Health Systems, Inc.) entered into a Third Side Letter with 3i, LP on October 7, 2026, agreeing to issue 50 Series B Preferred Shares and warrants for 1,539 common shares at $2.5520 per share for $50,000, under the existing Series B Preferred Purchase Agreement. This is a small incremental closing within a larger financing structure, with 3i retaining options to purchase additional Series B and Series C preferred shares. The company continues to rely on related-party financing, indicating ongoing capital needs.

• · The securities were issued under an exemption from registration pursuant to Section 4(a)(2) of the Securities Act and/or Rule 506(b).
• · The closing is subject to conditions including compliance with Nasdaq listing requirements and delivery of price adjustment notices.
• · 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.
• · The company changed its name from Tivic Health Systems, Inc. to Valion Bio, Inc. (name change date: September 10, 2019).

08-10-2026

Eva Live Inc. entered into a Securities Purchase Agreement with Dune Equity Holdings LLC on October 2, 2026, for the sale of securities (likely a convertible note). The agreement includes covenants requiring the company to purchase D&O insurance within 60 days of closing, maintain irrevocable transfer agent instructions, and not assert that the buyer is a broker-dealer. Breach of covenants constitutes an event of default under the Note, and the company must pay $3,000 per day if it fails to file an 8-K after disclosing material non-public information to the buyer.

• · Company must purchase D&O insurance within 60 days of closing for 18 months with 2-year tail coverage.
• · Company covenants not to assert that Buyer is a broker-dealer under the Securities Exchange Act of 1934.
• · Breach of covenants is an Event of Default under Section 3.3 of the Note.
• · Transfer agent instructions are irrevocable; company must provide resolutions within 6 hours of each conversion.
• · Arbitration of claims in Delaware; exclusive venue for litigation is state or federal court in Delaware.
• · Conditions to Buyer's obligation include no Material Adverse Effect, no trading suspension by SEC/FINRA, and delivery of good standing certificates.

08-10-2026

XWELL, Inc. subsidiary XpresTest repurchased 279.5 restricted stock awards for ~$2.7M ($9,634.09/share) on October 8, 2026, including shares held by Chairman Bruce T. Bernstein ($1.03M), CEO Ezra T. Ernst ($529,874.94), and CFO Ian Brown ($96,340.90). The repurchases simplify XpresTest's capitalization ahead of the previously announced sale of XpresSpa and XpresTest to Express Wellness Group, LLC. After the repurchases, XWELL owns 100% of XpresTest's outstanding capital stock.

• · The repurchase price of $9,634.09 per share matches the per-share price agreed with the Buyer under the Securities Purchase Agreement dated July 6, 2026.
• · The repurchases were completed early with the Buyer's consent to simplify XpresTest's capitalization in preparation for the Sale.
• · All amounts paid for the repurchased RSAs would have reduced the purchase price dollar-for-dollar as sale expenses; since paid early, they will not be included in unpaid sale expenses.
• · After the repurchases, no XpresTest RSAs remain outstanding.
• · XWELL now owns all issued and outstanding shares of XpresTest capital stock.

08-10-2026

New ERA Energy & Digital, Inc. (NUAIW) entered into a Letter of Credit Reimbursement Agreement with Macquarie Bank Limited on October 7, 2026, securing a $116.0 million standby letter of credit for its subsidiary PowerCo's obligations under a Power Purchase Agreement with Luminant. The obligations are secured by cash collateral of at least $118.3 million (102% of the undrawn amount), funded partly by $60.0 million in new borrowings under an existing Term Loan Agreement and $58.3 million from cash on hand. The company also issued warrants to the lender for 413,055 shares at ~$7.26 per share and has shifted its strategy for the Texas Critical Data Center project from a joint venture to direct leasing with hyperscale tenants, though no leases have been secured yet.

• · The company has shifted its strategy for the TCDC Project from a joint venture with a data center developer to directly negotiating leases with hyperscale tenants.
• · The company expects to refinance the outstanding borrowings under the Term Loan Agreement in the near future.
• · The Reimbursement Agreement contains standard representations, warranties, covenants, and events of default.
• · The warrants were issued under an exemption from registration pursuant to Section 4(a)(2) of the Securities Act of 1933.

08-10-2026

NextNRG, Inc. filed an 8-K on October 8, 2026, disclosing the adoption of its Articles of Incorporation under Nevada law (NRS Chapter 78), appointing Michael D. Farkas as incorporator and Corporate Creations Network Inc. as registered agent. The filing is a routine corporate formation document with no financial results, operational metrics, or forward-looking guidance. No monetary amounts, revenue figures, or performance data are disclosed in this filing.

• · Incorporator: Michael D. Farkas, 407 Lincoln Rd. #9F, Miami Beach, Florida 33190
• · Registered agent: Corporate Creations Network Inc., 8275 South Eastern Avenue #200, Las Vegas, NV 89123
• · Corporation formed under Nevada Revised Statutes (NRS), Chapter 78

08-10-2026

Marquie Group, Inc. filed a multi-item 8-K on October 8, 2026, reporting entry into a material definitive agreement (Item 1.01), unregistered sales of equity securities (Item 3.02), material modifications to security holder rights (Item 3.03), a change in control (Item 5.01), director/officer departures and appointments (Item 5.02), and amendments to articles of incorporation (Item 5.03). The filing indicates a comprehensive corporate restructuring involving a change of control, new leadership, and equity issuance, but no specific financial metrics, transaction values, or named parties are disclosed. The lack of quantitative data limits assessment of materiality and market impact.

• · Filing includes 6 separate 8-K items, indicating a complex event
• · No financial statements or pro forma data provided (Item 9.01 exhibits not detailed)
• · No specific names of new directors/officers or departing individuals disclosed in summary
• · No transaction value, share count, or percentage changes mentioned
• · No scheduled events (e.g., shareholder meeting, earnings call) referenced

08-10-2026

Texas Ventures Acquisition III Corp (TVACW) entered into a $250,000 promissory note with its sponsor, Yorkville Acquisition Sponsor II, LLC, on September 30, 2026. The note is non-interest bearing, due upon the earlier of the initial business combination or winding up, and is convertible into units of the post-combination entity at $10.00 per unit at the payee's option. The sponsor has waived any claim against the trust account, with repayment to come from trust proceeds only upon consummation of the business combination.

• · The note is non-interest bearing and the principal is due on the earlier of the initial business combination or winding up.
• · Conversion option allows the payee to convert all or part of the note into New Units at $10.00 per unit, with terms identical to private placement units from the IPO.
• · The sponsor waives any claim against the trust account; repayment is only from trust proceeds released upon the business combination.
• · Default triggers include failure to pay within 5 business days, voluntary bankruptcy, or involuntary bankruptcy with a 60-day grace period.

08-10-2026

PRA Group, Inc. (PRAA) completed a $400 million aggregate principal amount debt offering on October 2, 2026, as previously announced. The offering was disclosed under Items 1.01 (Material Definitive Agreement), 2.03 (Creation of a Direct Financial Obligation), and 9.01 (Financial Statements and Exhibits) of Form 8-K. No specific financial performance metrics were provided in this filing.

• · Debt offering of $400M aggregate principal amount completed on October 2, 2026
• · Filing is an 8-K with Items 1.01 (Material Definitive Agreement), 2.03 (Creation of Financial Obligation), and 9.01 (Financial Statements)

08-10-2026

Oil-Dri Corp of America (ODC) entered into a Ninth Amendment to its existing Credit Agreement with BMO Bank N.A., dated October 7, 2026. The amendment modifies the terms of the January 27, 2006 credit agreement, with the Company representing no Default or Event of Default exists and reaffirming its guarantees. No new borrowing amounts or financial figures were disclosed in the filing.

• · Amendment dated October 7, 2026 to the existing Credit Agreement originally dated January 27, 2006
• · Amendment is between Oil-Dri Corporation of America and BMO Bank N.A.
• · Amendment amends the Existing Credit Agreement, excluding schedules and exhibits other than Exhibit A (Revolving Note) and Exhibit B (Compliance Certificate)
• · Company represents no Default or Event of Default exists under the Existing Credit Agreement, the Amended Credit Agreement or any other Loan Document

08-10-2026

DT Cloud Star Acquisition Corporation (DTSQU) filed an 8-K on October 8, 2026, disclosing the adoption of its Fourth Amended and Restated Memorandum and Articles of Association, passed by special resolution on October 1, 2026. The amendment updates the company's constitutional documents under Cayman Islands law, including provisions on the registered office, objects, corporate capacity, and licensed business restrictions. No financial results or operational metrics were disclosed in this filing.

• · Fourth Amended and Restated Memorandum and Articles of Association adopted by special resolution on 1 October 2026
• · Registered office: Ogier Global (Cayman) Limited, 89 Nexus Way, Camana Bay, Grand Cayman, KY1-9009, Cayman Islands
• · Company is a Cayman Islands exempted company limited by shares with unrestricted objects and corporate capacity
• · Company restricted from banking, insurance, and company management businesses without proper licensing

08-10-2026

General Dynamics announced that its board elected Danny Deep, currently president, to become CEO effective January 1, 2027, succeeding Phebe Novakovic, who will transition to executive chairman after serving as CEO since 2013. Deep has been with the company for 25 years and became president in 2025. The company employs more than 120,000 people worldwide and generated $52.6 billion in revenue in 2025.

• · Danny Deep has been with General Dynamics for 25 years, serving in roles including president (2025), EVP of Global Operations, EVP of Combat Systems, and president of Land Systems
• · Phebe Novakovic has served as CEO since 2013 and will transition to executive chairman
• · General Dynamics generated $52.6 billion in revenue in 2025
• · General Dynamics employs more than 120,000 people worldwide

08-10-2026

Drilling Tools International Corp. (DTI) announced a definitive agreement to acquire Saltire Energy Limited and Foxley Energy Limited for approximately $80 million in cash and 17.4 million shares of DTI common stock. The transaction is expected to close in Q1 2027 and is projected to be immediately accretive to Adjusted EBITDA margins and Adjusted Free Cash Flow per share. While the acquisition significantly expands DTI's Eastern Hemisphere presence from ~18% to ~40% of pro forma revenue, it introduces integration risks and increased indebtedness, and the fixed share consideration may dilute existing shareholders.

• · Saltire was founded in 1986 and has operating bases in the UK, Norway, UAE, Singapore, and Malaysia.
• · The share consideration is fixed at 17.4 million shares and will not be adjusted for changes in DTI's stock price before closing.
• · The sellers' shares will be subject to lock-up arrangements described in the Form S-4 registration statement.
• · DTI expects to fund the cash consideration through new debt financing and borrowings under its existing credit facility.
• · The transaction is subject to customary regulatory approvals, closing conditions, and DTI stockholder approval.
• · Mike Loggie and all members of Saltire's management team will remain with the combined company post-close.
• · DTI will file a registration statement on Form S-4 with the SEC containing additional transaction details.
• · A conference call is scheduled for October 8, 2026, at 9:00 a.m. ET to discuss the acquisition.

08-10-2026

Atrium Therapeutics announced a $50 million private placement with institutional investors, issuing 5,170,384 shares at $7.93 per share and pre-funded warrants for 1,134,930 shares at $7.929 each. The company expects to close the deal on October 9, 2026, and use proceeds to fund operations through 2028. While the financing provides near-term liquidity, it also dilutes existing shareholders, and the company continues to face significant clinical and regulatory risks.

• · The private placement is priced at-the-market under Nasdaq rules.
• · The company expects to file a registration statement with the SEC for the resale of the shares and shares issuable upon exercise of the pre-funded warrants.
• · The company's lead product candidate ATR 1072 has received FDA clearance for its IND application for PRKAG2 syndrome.
• · The company's pipeline includes ATR 1086 for PLN cardiomyopathy and two undisclosed research targets.
• · The company's technology was designed at Avidity Biosciences, Inc.

08-10-2026

Crescent Energy (NYSE: CRGY) announced a definitive agreement to acquire Eagle Ford assets from Devon Energy for an estimated net purchase price of approximately $3.85 billion. The transaction adds ~68 Mboe/d of net production and more than 600 Tier 1 net locations, with approximately $140 million in annual synergies identified. The deal is expected to close in Q4 2026 or early 2027, subject to customary closing conditions.

• · Transaction expected to close in Q4 2026 or early 2027, subject to customary closing conditions
• · Approximately $140 million in annual synergies identified across D&C, LOE and marketing
• · Acquired assets include approximately 68 Mboe/d of net production and more than 600 Tier 1 net locations normalized to 10,000 feet
• · Crescent's longstanding minerals ownership across the acquired assets provides differentiated insight

08-10-2026

Vontier Corp disclosed that Kathryn Rowen, EVP, will depart the company effective October 2, 2026. The filing is a routine 8-K disclosure under Item 5.02 for an officer departure; no financial impact or replacement details were provided.

• · Filing date: October 08, 2026
• · Event date: October 2, 2026
• · Item 5.02 - Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
• · Kathryn Rowen, EVP, departed

08-10-2026

AngioDynamics announced the appointment of Eric Honroth as President and CEO, effective November 2, 2026, succeeding Jim Clemmer, who will retire after ten years and remain as a consultant. Honroth brings over 20 years of medical device leadership, including roles at Abbott Vascular, Becton Dickinson, CareFusion, Boston Scientific, and most recently as Global President, Life Science at Getinge, where he led a $1.2 billion North American business. The company highlights momentum in its high-growth Med Tech segment, a strong balance sheet with no debt, and an ongoing operational transformation.

• · Eric Honroth will also join the Board of Directors effective November 2, 2026.
• · Jim Clemmer will depart the Board on November 2, 2026, and remain in a consulting capacity.
• · The appointment follows a Board-led search prioritizing medical technology experience, commercial execution, and operational discipline.
• · AngioDynamics has no outstanding debt.
• · The company's fiscal year ends May 31.

08-10-2026

Henry Schein announced that Emmanuel Caprais, former CFO of ITT, will become its CFO effective November 4, 2026, joining in an advisory capacity on October 12, 2026. Current CFO Ronald N. South will transition to a senior advisor role on the same date after 18 years with the company. The company also plans to add two new leadership positions (Chief Strategy and Transformation Officer and a technology leadership role) to its leadership team.

• · Emmanuel Caprais has over 25 years of global leadership experience, including as CFO of ITT from 2020 to May 2026.
• · Ronald N. South has been with Henry Schein for 18 years, including the past four years as CFO.
• · The company plans to add two new positions to the Henry Schein Leadership Team: a Chief Strategy and Transformation Officer and a technology leadership role covering AI, data, and broader technology needs.
• · Henry Schein is a FORTUNE 500 company and member of the S&P 500 index, headquartered in Melville, N.Y.

08-10-2026

Kirby Corporation disclosed that Vice President, Controller and Assistant Secretary Ronald A. Dragg (age 62) intends to retire in Q1 2027 after filing the 2026 10-K. Mr. Dragg will remain in his roles during the transition to ensure an orderly handoff. The retirement is not due to any disagreement with the company, and compensatory terms have not yet been finalized.

• · Mr. Dragg is 62 years old.
• · Retirement is expected in Q1 2027, after the 2026 10-K filing.
• · No compensatory arrangement has been determined yet; a future 8-K amendment may follow if a material arrangement is approved.

08-10-2026

On October 6, 2026, Braemar Hotels & Resorts entered a Cooperation and Settlement Agreement with Al Shams Investments Limited (and Wafic Rida Said for limited purposes) under which Al Shams withdrew its proxy nomination of director candidates, agreed to standstill and voting commitments, and received the opportunity to consult on one additional director seat, with the board retaining sole discretion. Braemar agreed to pay Al Shams $25,000,000 plus expenses, but expects its net contribution to be $4,000,000 to $6,000,000 after insurance proceeds and a 50% cost share from Ashford under a companion Allocation Agreement; recovery of insurance is not assured. The settlement resolves securities-law claims and defamation/libel disputes through mutual releases.

• · Settlement resolves claims under securities laws and claims sounding in defamation and libel, with mutual releases and non-disparagement provisions
• · Braemar states the expected contribution would likely be less than the cost of potential litigation it would otherwise have incurred
• · No assurance Braemar will recover all anticipated insurance proceeds
• · Ashford and Braemar are each pursuing insurance recovery on the applicable payments
• · Filing is furnished under Rule 14a-12 (soliciting material), tied to the 2026 Annual Meeting proxy solicitation
• · Forward-looking statements flag risks including insurance collection, completion of the shareholder value creation plan, activist stockholder actions, debt repayment/refinancing, and dividend policy

08-10-2026

Domino's Pizza, Inc. (DPZ) disclosed that director Patricia E. Lopez has decided to retire from the Board of Directors effective October 7, 2026, citing personal reasons and stating the decision is not the result of any disagreement with the Company's operations, policies or practices. The Board thanked Ms. Lopez for her years of service. The filing involves no financial figures, no change in executive officers, and no compensatory arrangements.

• · Notice of retirement was given on October 2, 2026; the retirement is effective October 7, 2026.
• · The Company states the departure is not due to any disagreement with its operations, policies or practices.
• · The filing is signed by Ryan K. Mulally, EVP, General Counsel and Corporate Secretary, dated October 8, 2026.

08-10-2026

Hercules Capital, Inc. (NYSE: HTGC) closed a $400 million public offering of 6.700% unsecured Notes due October 8, 2029, under its twelfth supplemental indenture with U.S. Bank Trust Company, N.A., as trustee. Net proceeds are earmarked to repay unsecured and/or secured indebtedness, fund investments, and for general corporate purposes. The filing reports no earnings or period-over-period performance data, so there is no offsetting positive or negative operating metric to balance the debt issuance.

• · Notes are unsecured, rank senior to subordinated debt, pari passu with other unsubordinated liabilities, and are effectively and structurally subordinated to secured debt and subsidiary liabilities
• · Notes are not guaranteed by any current or future subsidiaries
• · Notes are redeemable at par plus a make-whole premium, if applicable
• · Indenture covenants require compliance with Investment Company Act of 1940 Section 18(a)(1) asset coverage provisions (as modified) and, if no longer SEC-reporting, delivery of certain financial information to holders and the trustee
• · Offering was registered on Form N-2 (Registration No. 333-283735, filed December 11, 2024) with preliminary and final prospectus supplements dated October 5, 2026 (final filed October 6, 2026)
• · Underwriting agreement dated October 5, 2026 with Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc. as representatives; transaction closed October 8, 2026
• · Filing references an existing 6.25% Notes due 2033 on the cover page, indicating an additional outstanding debt tranche

08-10-2026

Gartner, Inc. disclosed under Item 5.02 that Thomas Kim, Executive Vice President, Chief Legal Officer & Secretary, notified the Company on October 3, 2026 that he will step down effective October 16, 2026 to pursue a new senior executive opportunity. The filing states there was no disagreement between Mr. Kim and Gartner on any matter relating to financials, operations, policies, or practices. No successor or interim appointment is disclosed in this filing.

• · Notice given October 3, 2026; departure effective October 16, 2026
• · Reason stated as pursuit of a new senior executive opportunity
• · Explicit statement of no disagreement with the Company on financials, operations, policies, or practices
• · Filing was signed October 8, 2026 by CFO Craig W. Safian

08-10-2026

Aardvark Therapeutics appointed David Zhang, Ph.D., MBA, as an independent member of its Board of Directors, effective October 7, 2026, bringing more than 25 years of experience in clinical strategy, biostatistics and regulatory submissions. The announcement notes Aardvark faces important decisions for ARD-101 amid an ongoing FDA clinical hold, and no financial results or quantitative performance metrics were disclosed.

• · Dr. Zhang currently serves as Chief Strategy Officer of Abivax S.A. and previously led biometrics for CAMZYOS (mavacamten) pivotal trial design, readout and NDA submission at MyoKardia
• · Aardvark is under an FDA clinical hold on ARD-101, which is cited as a key forward-looking risk factor
• · ARD-101 is being developed for Prader-Willi Syndrome; the company is evaluating the regulatory path forward, including design of any future Phase 3 study

08-10-2026

Payoneer Global Inc. (PAYO) disclosed that director Barak Eilam resigned from the Board and from the Audit and Risk Committees, effective October 5, 2026, reducing the Board to seven members. The Compensation Committee also approved a $5,250,000 cash retention award for Chief Legal and Governance Officer Tsafi Goldman, to be formally granted in February 2027, tied to the pending merger under the June 12, 2026 Agreement and Plan of Merger with Neon Maple Parent Inc. and Panda Acquisition Sub Inc.

• · Eilam's resignation was tendered October 2, 2026 and became effective October 5, 2026; he also left the Audit and Risk Committees.
• · The Goldman retention award vests in two equal installments: at merger closing and on the first anniversary of closing, subject to continued employment.
• · Unvested retention award accelerates on termination without Cause or resignation for Good Reason under the Change in Control Severance Plan.
• · The full letter agreement with Goldman will be filed as an exhibit to the Form 10-Q for the quarter ending September 30, 2026.

08-10-2026

GEO Group delivered notice to redeem all $650 million of its 8.625% Senior Secured Notes due 2029 at $1,043.13 per $1,000 principal (approximately $678 million plus accrued interest), with redemption on October 15, 2026, funded from recent asset sale proceeds. It also closed an amendment extending its $550 million Revolving Credit Facility to July 14, 2031 and expanding restricted payments capacity, while its Board approved a $750 million increase in the share repurchase authorization to $1.25 billion through December 31, 2029.

• · Redemption funded by net proceeds from recently announced asset sales, with deposit to trustee by October 14, 2026
• · Unlimited restricted payments (including buybacks) permitted under Amended Credit Agreement if pro forma total leverage is at or below 2.25x and no default exists
• · Unlimited restricted payments permitted under 10.25% Senior Unsecured Notes indenture if consolidated total leverage is at or below 2.00x and no default exists
• · Share repurchases remain discretionary and subject to market conditions, regulatory requirements, and existing credit agreement obligations; authorization does not obligate purchases

08-10-2026

Better Home & Finance Holding Company filed a Certificate of Elimination to remove its Series A Junior Participating Preferred Stock from its Amended and Restated Certificate of Incorporation under DGCL Section 151(g). No shares of this series were outstanding and none will be issued, so the previously designated shares revert to authorized but unissued preferred stock. The certificate was signed on October 6, 2026 by General Counsel Paula Tuffin and filed as Exhibit 3.1 to the 8-K dated October 8, 2026.

• · Par value of the eliminated series is $0.0001 per share
• · The underlying Series A Junior Certificate of Designations was filed with Delaware's Secretary of State on August 20, 2026
• · Eliminated shares revert to authorized but unissued preferred stock
• · Certificate is effective upon filing with Delaware's Secretary of State

08-10-2026

OGE Energy Corp.'s board of its regulated utility subsidiary, Oklahoma Gas and Electric Company (OG&E), named Chief Commercial Officer John Laws as Chief Operating Officer effective January 4, 2027. Laws, 52, has served as OG&E's Chief Commercial Officer since January 2026 and previously held state and private-sector finance leadership roles. His COO compensation will be set in the standard December 2026 officer review.

• · Laws previously served as Secretary of Budget and State Chief Financial Officer for the State of Oklahoma (October 2022 to December 2024)
• · Laws was Executive Vice President, Chief Financial Officer and Treasurer of Enable Midstream Partners (January 2016 to December 2021)
• · Compensation for the COO role will be determined during the standard December 2026 annual officer compensation review

08-10-2026

Super Micro Computer appointed Shesha Krishnapura, former Chief Technology Officer of Intel IT and Intel Fellow, as an independent director effective October 9, 2026. Director Judy Lin, Chair of the Nominating and Corporate Governance Committee since joining the Board in April 2022, notified the Company on October 7, 2026 of her decision to retire, effective October 9, 2026, stating the departure was not due to any disagreement with the Company. The filing contains no quantitative financial data.

• · Krishnapura brings a 35-year career at Intel with expertise in high-performance computing, AI infrastructure and data center operations
• · Krishnapura will receive standard non-employee director compensation as described in the FY2026 Form 10-K (fiscal year ended June 30, 2026)
• · Judy Lin's Nominating and Corporate Governance Committee chair role will need to be filled following her departure

08-10-2026

The Children's Place (PLCE) announced that Elizabeth A. LaPuma has been appointed to its Board of Directors and Audit Committee as an independent director who qualifies as an audit committee financial expert. The appointment is a governance enhancement, bringing more than 25 years of experience in financial advisory, capital markets, and corporate governance; the filing does not disclose financial results or performance metrics.

• · LaPuma is an independent director and qualifies as an 'audit committee financial expert' under SEC and Nasdaq rules
• · LaPuma currently serves as Chair of the Board and Chair of the Audit Committee of Ionic Digital Inc.
• · Prior public company board roles include Big Lots, ContextLogic, Ebix, WeWork, and Surgalign Holdings
• · Prior roles include Managing Director and Head of Balance Sheet Advisory at UBS and Managing Director and Head of Asset Management Services at Alvarez & Marsal
• · Education: M.B.A. and B.S. in Finance from the Wharton School (University of Pennsylvania) and B.A. in International Relations from the University of Pennsylvania

08-10-2026

OpenWorld, Inc. (formerly VerifyMe, Inc.; Nasdaq: OPNW) dismissed MaloneBailey, LLP as its independent registered public accounting firm on October 2, 2026, and approved RSM Cayman Ltd. as its auditor for fiscal year 2026. The filing states that MaloneBailey's reports on fiscal 2025 and 2024 contained no adverse opinion, disclaimer, or qualification, and that there were no disagreements or reportable events during the two most recent fiscal years through October 2, 2026. MaloneBailey's letter (Exhibit 16.1) agrees with the company's statements pertaining to it.

• · Auditor change was approved by the Audit Committee of the Board.
• · RSM Cayman Ltd. previously served as auditor for the wholly-owned subsidiary Open World Ltd., a Cayman Islands exempted company, before the September 30, 2026 merger.
• · The company did not consult RSM on any Item 304(a)(2) matters during the relevant periods.
• · Filing is made under Items 4.01 and 9.01; Exhibit 16.1 is the MaloneBailey letter dated October 8, 2026.

08-10-2026

Lifeward Ltd. (LFWD) disclosed that Rami Aviram, previously appointed as Chief Financial Officer effective November 1, 2026, has informed the Company he will not join and will not assume the CFO role. Josh Hexter continues as interim principal financial officer and principal accounting officer, receiving no additional compensation, while the Company searches for a permanent CFO successor.

• · Aviram's appointment had been previously reported in Form 8-K filings dated August 31, 2026 and October 1, 2026
• · Originally scheduled CFO start date was November 1, 2026
• · Hexter will receive no additional compensation for his interim role
• · Hexter will serve in the interim capacities until a successor is appointed
• · Company will announce a permanent CFO successor at the conclusion of its search

08-10-2026

Terra Innovatum Global N.V. (NKLR) disclosed that Cesare Frepoli notified the company on October 2, 2026 of his intention to resign from the Board of Directors, effective that date. He will remain as Chief Operating Officer and Co-Chief Executive Officer of the company's U.S. Subsidiary. The company states the resignation is solely to keep the Board majority independent as required by NASDAQ Listing Rule 5605(b).

• · Resignation is governance-driven (NASDAQ Listing Rule 5605(b) majority-independence requirement), not tied to a disagreement or performance issue disclosed in the filing
• · Frepoli retains his operating roles, so the change is limited to board seat rather than executive departure
• · Filing date October 8, 2026; event date October 2, 2026

08-10-2026

MFA Financial announced a CEO succession plan: CEO Craig Knutson retires effective June 30, 2027 and will remain on the Board, while President and CIO Bryan Wulfsohn becomes CEO effective July 1, 2027 and joins the Board effective January 1, 2027. The company also named Andrew P. Kail as Senior Vice President and Chief Investment Officer effective January 1, 2027. The announcement is a planned, internally driven transition with no financial results disclosed, so no period-over-period performance figures are reported.

• · Knutson's retirement is effective June 30, 2027; Wulfsohn's CEO appointment is effective July 1, 2027, leaving a one-day gap in the timeline
• · Knutson will stand for reelection to the Board at MFA's 2027 annual meeting
• · Kail previously was Managing Director, Head of Residential Lending at Starwood Capital Group (2022 to early 2026) and Director of Business Development at Aspen Capital (2019 to 2022)
• · Wulfsohn has served as President since September 2024 and as CIO or Co-CIO since January 2019

08-10-2026

Vivos Inc (RDGL) filed a Certificate of Elimination under Section 151(g) of the Delaware General Corporation Law, eliminating the designation of its Series C Convertible Preferred Stock after all such shares were converted and none remain outstanding. The Board approved the resolution by unanimous written consent on October 7, 2026, and the certificate was executed by CEO Michael Korenko. The action is a housekeeping cleanup of the capital structure, with no new financing, acquisition, or cash flow impact disclosed in the exhibit.

• · Board action taken by unanimous written consent dated October 7, 2026
• · Certificate filed under Delaware General Corporation Law Section 151(g) with the Delaware Secretary of State
• · Upon effectiveness, Series C shares return to undesignated preferred stock status

08-10-2026

Cass Information Systems, Inc. entered into an Independent Contractor Agreement with retiring executive Dwight Erdbruegger, effective October 7, 2026, to provide general consulting services through December 31, 2026, terminable on 30 days' notice. Mr. Erdbruegger will be paid $150.00 per hour, payable monthly, and his 2,318 time-based restricted stock units were fully vested under the agreement. The arrangement is routine retirement transition terms, with no financial results or guidance disclosed in this filing.

• · Consulting term runs from October 7, 2026 to December 31, 2026, terminable by either party on 30 days' notice
• · Agreement includes non-competition, non-solicitation, confidentiality, and intellectual property covenants
• · Agreement was previously approved by the Compensation Committee of the Board of Directors
• · Full vesting of RSUs is a notable compensatory feature tied to the retirement transition

08-10-2026

I-ON Digital Corp. (IONI) disclosed that Director John Jubilee notified the Company on October 5, 2026 of his intention to resign from its Board, effective immediately. The filing states the resignation is not the result of any disagreement with the Company regarding its operations, policies, or practices. No replacement director or other financial or operational information was disclosed in this filing.

• · Resignation notice dated October 5, 2026; effective immediately
• · Filing states no disagreement with the Company on operations, policies, or practices
• · Company is a Delaware corporation headquartered in Chicago, Illinois; Commission File Number 000-54995

08-10-2026

Hess Midstream LP (NYSE: HESM) has entered a definitive agreement with Chevron to acquire Chevron's DJ Basin crude oil and gas gathering and storage assets, pay Chevron $200 million in cash, and absorb Chevron's ownership interests in Hess Midstream and its general partner, making the company an independent multi-basin midstream operator. Bakken commercial agreements will be amended to reduce tariffs through 2033 and extend terms to 2045, while Bakken throughput is expected to decline about 5% in 2027 as Chevron drops from three to two rigs. The transaction is expected to close by year-end 2026, with 2027 Adjusted EBITDA guidance of $850-950 million, though 2027 leverage of 3.75x-4.0x is elevated relative to the long-term 3.5x-3.75x target.

• · Chevron's DJ Basin assets include about 400 thousand barrels per day of oil gathering capacity, 300 MMcf/d gas gathering capacity and 420 thousand barrels of storage
• · Saddlehorn pipeline is an approximately 600-mile, 300 thousand barrels per day FERC-regulated crude line connecting the DJ Basin to Cushing, Oklahoma
• · Bakken commercial agreements convert from cost-of-service to fixed-fee basis with inflation escalators
• · Adjusted Free Cash Flow definition will deduct changes in deferred revenue beginning at closing
• · Hess Midstream does not expect to pay material taxes on the transaction or material income taxes in 2027
• · Hess Midstream plans to operate under a new name, to be finalized before closing
• · Two-year transition services and secondment agreements with Chevron post-closing
• · Transaction approved unanimously by the Board and a conflicts committee of independent directors with a fairness opinion

08-10-2026

Twin Vee PowerCats (Nasdaq: VEEE) and privately held USFM Corporation amended their July 12, 2026 merger agreement, changing the post-closing ownership split of the combined company, Twin Vee Holdco Inc. (Pubco), from 90% USFM / 10% Twin Vee to 93% USFM / 7% Twin Vee. The amendment also adds a requirement that USFM use reasonable best efforts to seek to close an up to $5 million PIPE, and Twin Vee's marine business will be moved into a CVR Trust operated separately for pre-closing Twin Vee stockholders. Closing is expected in Q4 2026 or Q1 2027, subject to Twin Vee disinterested shareholder approval and regulatory conditions, and the dilution to Twin Vee holders means the transaction is more favorable to USFM holders than the original terms.

• · Original July 12, 2026 merger agreement gave pre-closing Twin Vee stockholders 10% of Pubco; amendment reduces this to 7%
• · Twin Vee's marine business will be transferred to the CVR Trust, with CVRs non-transferable and distributions expected from operations or sale of that business
• · Closing requires approval by Twin Vee's disinterested shareholders and applicable regulatory approvals
• · Pubco is a newly formed Texas corporation and intends to file a Form S-4 registration statement with a joint proxy statement
• · Houlihan Capital provided a fairness opinion to Twin Vee's Board; both boards approved the amended agreement

08-10-2026

Silver Bow Mining Corp. entered into a Note Purchase Agreement dated October 2, 2026 with Ocean Partners UK Limited for a $5,000,000 secured promissory note maturing March 31, 2027, bearing interest at 12-month SOFR plus 6.75%, secured by a first-priority interest in the MTGF Note. Proceeds are earmarked for the Rainbow Block project in Butte, Montana and the pending acquisition of the Jefferson County Metallurgical Complex and Montana Tunnels Mine under the August 21, 2026 Asset Purchase Agreement. The filing contains no period-over-period financial results, so no balanced performance comparison is available; the financing carries substantial default, change-of-control, and repayment-penalty exposure.

• · Note matures March 31, 2027; if the Final Closing of the Complex does not occur before maturity, the full $5.00M plus accrued interest is due in a lump sum.
• · If the Final Closing occurs, the Note is netted against the Tranche A Draw under a concentrate prepayment facility and deemed paid.
• · A change of control in which the Company is not the surviving entity lets the investor accelerate the full amount in cash.
• · Note is secured by a first-priority interest in the MTGF Note, the Company's receivable from Montana Goldfields tied to the $28.58M purchase price.
• · Investor is a non-U.S. entity; the Note is restricted under Rule 144 and unregistered under the Securities Act.

08-10-2026

FibroBiologics, Inc. (Nasdaq: FBLG) entered into a Securities Purchase Agreement dated October 7, 2026 with Peak One Opportunity Fund, L.P., under which the Company issues a convertible debenture and related conversion shares in a private placement exempt from registration under Rule 506 of Regulation D. The filing includes extensive Company and Buyer representations covering authorized shares, non-contravention, absence of litigation and liens, and Rule 144 status, with the Company representing no material adverse change since June 30, 2026 apart from items disclosed in its SEC filings. The excerpt does not disclose the principal amount, interest rate, conversion price, or proceeds of the debenture.

• · The debenture is convertible into Common Stock, and interest may be paid in Shares, implying potential dilution to existing shareholders.
• · The Company represents it has reserved sufficient authorized but unissued shares to cover conversion of the debenture.
• · The Company represents it satisfies Rule 144(i)(2) and must continue doing so while Securities remain outstanding and unregistered.
• · Items 1.01 (material agreement), 2.03 (creation of a direct financial obligation), 3.02 (unregistered sale of equity securities), and 9.01 (exhibits) are reported in this 8-K.
• · The Company's Common Stock is listed on the Nasdaq Capital Market and the Company represents it has received no listing-eligibility notices.

08-10-2026

Byline Bancorp (NYSE: BY) announced a succession-planning leadership reshuffle effective January 1, 2027: Sean H. McGuire becomes EVP and newly created Chief Commercial Banking Officer, Darrin Bacon becomes EVP and Head of Commercial Banking, and Scott E. Hawthorne becomes EVP and Chief Credit Officer. Brogan Ptacin (EVP, Head of Commercial Banking) and Mark Fucinato (EVP, Chief Credit Officer) retire effective December 31, 2026, after a combined 25 years of service, and will remain in non-executive, part-time advisory roles. The filing reports no financial results, so no change in performance metrics is disclosed.

• · Chief Commercial Banking Officer is a newly created position with an expanded mandate across the commercial banking platform
• · Darrin Bacon joined Byline via the 2018 First Bank & Trust acquisition and has led commercial banking group since 2019
• · Scott Hawthorne was promoted to Deputy Chief Credit Officer in August 2026 after joining as Senior Credit Officer in 2023
• · Mark Fucinato joined Byline in 2019 and served as Chief Credit Officer since 2020
• · Brogan Ptacin oversaw C&I lending, Leasing, and Wealth Management and will remain as a part-time advisor
• · Management stated the retirements were known in advance, supporting an orderly transition

08-10-2026

Hallador Energy's subsidiary executed six-year capacity and energy agreements with an investment-grade MISO Zone 6 utility for the Merom Generating Station, covering June 2029 through May 2035. The capacity agreement is priced at a record $80+/MWh, more than 20% above the March 2026 contract, and lifts total forward sales to $3 billion at the segment level. While the agreements boost contracted revenue and pricing, the company's forward sales book shows declining contracted capacity and energy volumes in later years, and the energy agreement is unit-contingent with volume reduction options, introducing variability.

• · The agreements require no regulatory approval and are effective upon signing.
• · The energy agreement includes a fuel price floor and recovery of qualifying excess fuel costs, protecting margins against higher fuel costs.
• · Approximately 95% of Merom's accredited capacity is under contract through 2035, and about two-thirds for 2036-2040.
• · The capacity agreement is Hallador's third announced in 2026.
• · The company submitted an air permit application for Turtle Creek on September 25, 2026.
• · The forward sales table shows a decline in average daily contracted accredited capacity from 727 MW in 2026 to 697 MW in 2030, a decrease of about 4%.
• · Contracted coal revenue from third parties is zero from 2029 onward, while intercompany coal revenue continues through 2030.
• · The energy agreement includes a volume option allowing the counterparty to reduce base quantity to zero for up to 90 days per year.
• · The forward sales position as of September 30, 2026, includes the impact of the October 7, 2026 contract.
• · Certain contracted forward sales positions are subject to approval by the Indiana Utility Regulatory Commission.

08-10-2026

Viatris Inc. has agreed to acquire Pacira BioSciences for $36.50 per share in cash, representing an aggregate equity value of $1.65 billion. The deal adds two marketed, patent-protected, high-margin non-opioid pain therapies—EXPAREL and ZILRETTA—to Viatris' portfolio and is expected to close by the end of 2026. The transaction is expected to be immediately accretive to Viatris' financial guidance metrics and to be funded primarily from excess cash with minimal impact on gross leverage.

• · The transaction was unanimously approved by the boards of directors of both companies.
• · Pacira's board of directors unanimously recommends that Pacira's stockholders tender their shares.
• · Upon completion, Pacira will become a wholly owned subsidiary of Viatris and its common stock will no longer be listed on Nasdaq.
• · Viatris expects to fund the transaction primarily from excess cash with the remainder from short-term borrowings.
• · The transaction is subject to customary closing conditions, including tender of a majority of outstanding shares and expiration of the regulatory waiting period.
• · Viatris will report third-quarter 2026 financial results on November 5, 2026, and will host a conference call to discuss the Pacira transaction.

08-10-2026

Ford Credit Floorplan Master Owner Trust A's Depositors entered into an Underwriting Agreement dated October 6, 2026 with five underwriters (Barclays Capital, Deutsche Bank Securities, Mizuho Securities USA, BMO Capital Markets, J.P. Morgan Securities) in connection with the issuance of asset-backed Notes under the Series 2026-4 program. The filing also reports the CEO certifications required under Form SF-3 and files substantially final Transaction Documents to satisfy Regulation AB requirements. The filing does not disclose offering size, pricing, coupon rates, or note classes, which are described only in the referenced Prospectus.

• · Indenture Supplement (Exhibit 4.2) is dated as of October 1, 2026, between the Trust and the Indenture Trustee
• · Account Control Agreement (Exhibit 10.15) is dated as of October 1, 2026, with The Bank of New York Mellon
• · Filing is made under Form SF-3 shelf registration (Commission File No. 333-283567) and Regulation AB Item 1100(f)
• · Transaction Documents are to be entered into on the Closing Date stated in the Prospectus

08-10-2026

StageWise Strategies Corp. (STWI) entered into a Share Exchange Agreement dated October 6, 2026 under which it will acquire participatory interests in TEG SPV LLC from Tourism and Entertainment Group LLC and Mrs. Irodakhon Abduvakhitova in exchange for newly issued Purchaser shares (the Exchange Shares). TEG SPV holds the Operating Subsidiaries that own and operate the Hilton Tashkent City hotel, the Wyndham Bukhara and the CAEX exhibition center in Uzbekistan. The filing excerpt covers recitals and definitions only; the economic terms (exchange ratio, number of shares, valuation) are not visible in the excerpt provided.

• · Filing references a Schedule 14C preliminary information statement filed with the SEC on September 4, 2026, following a majority stockholder written consent under NRS 78.320
• · Antimonopoly Clearance from Uzbekistan's Competition Promotion and Consumer Protection Committee was obtained before signing and is stated to be in full force
• · Exchange intended to qualify as a tax-free reorganization under IRC Section 368(a)(1)(B) and/or Section 351
• · Issuance of Exchange Shares intended to be exempt from registration under Securities Act Section 4(a)(2)
• · A registration rights agreement for the Exchange Shares is contemplated under Section 6.20