US Material Events SEC 8-K Filings — October 09, 2026

09-10-2026

MSG Sports (MSGS) announced that the spin-off of its New York Rangers business into MSGS Spinco, Inc. is expected to become effective October 26, 2026, with a record date of October 20, 2026. Spinco will trade on the NYSE under the symbol MSGR, while the parent will be renamed MSG Knickerbockers Corp. (MSGK). Stockholders receive one Spinco share for every two MSG Sports shares held, with no action required and no stockholder approval sought; the Dolan family will retain about 63.4% of total voting power.

• · Spinco Class B Common Stock will not be listed on any securities exchange
• · Spinco is a controlled company under NYSE standards and an emerging growth company
• · Distribution is intended to be tax-free for U.S. federal income tax purposes, subject to a Sullivan & Cromwell opinion; cash is paid in lieu of fractional shares
• · Distribution is effective at 11:59 p.m. New York City time on October 26, 2026
• · NHL U.S. national media rights with Disney and WarnerMedia expire after the 2027-28 season; MSG Networks local telecast rights expire after the 2028-29 season
• · The 8-K covers Item 5.02 (officer/director matters), Item 8.01 (other events) and Item 9.01 (financial statements and exhibits) via the information statement exhibit

09-10-2026

bioAffinity Technologies announced a registered direct offering of common stock (or pre-funded warrants) at $6.122 per share, with approximately $4 million in gross proceeds expected before placement agent fees and offering expenses, closing on or about October 9, 2026. A concurrent private placement of warrants to purchase up to 980,072 shares at $6.122 per share (exercisable following stockholder approval, expiring five years after that approval) was also disclosed. Proceeds are earmarked for working capital, supporting expected growing sales of CyPath® Lung, and general corporate purposes. WallachBeth Capital, LLC is sole placement agent.

• · Offering conducted under Form S-3 shelf registration (File No. 333-275608), declared effective by the SEC on November 27, 2023
• · Warrants in the private placement expire five years from stockholder approval date and require stockholder approval before becoming exercisable
• · Filing was disclosed under Items 1.01 (Material Agreement), 3.02 (Unregistered Sales of Equity), 8.01 and 9.01
• · Company trades on Nasdaq under ticker BIAF (common) and BIAFW (warrants)

09-10-2026

Gen Digital Inc. (GENVR) announced that its Board appointed Talbott Roche, CEO and director of Blackhawk Network Holdings since 2016, as an independent director effective October 6, 2026. Her committee assignments have not yet been determined, and she will receive a pro-rated annual cash retainer and full annual equity retainer under the standard non-employee director compensation previously disclosed in the July 28, 2026 proxy statement. The filing contains no quantitative financial results, so no period-over-period performance comparison is possible.

• · Ms. Roche previously served on the board of Electronic Arts Inc. (NASDAQ: EA) from 2016 until August 4, 2026
• · Ms. Roche holds a B.A. in economics from Stanford University
• · Ms. Roche has led Blackhawk through multiple acquisitions and its 2018 take-private transaction
• · Ms. Roche will enter into the Company's standard indemnification agreement covering indemnification to the fullest extent allowed by Delaware law
• · Ms. Roche has no family relationships with directors or executive officers and no material interest in Item 404(a) transactions
• · The press release announcing the appointment is furnished as Exhibit 99.1 under Item 7.01 (Regulation FD) and is not deemed filed under Section 18 of the Exchange Act

09-10-2026

Niki BioSolutions, Inc. (formerly Aptorum Group Ltd, Nasdaq: NIKI) entered into an At the Market Offering Agreement dated October 9, 2026 with H.C. Wainwright & Co., LLC and Brookline Capital Markets, allowing the sale of common stock with an aggregate maximum offering price of up to $1,396,000 under its Form S-3 shelf registration. The company has no obligation to sell any shares, and the placement fee is 3.0% of gross sales proceeds, making this a financing mechanism of modest size relative to typical capital raises. Sentiment is neutral, as the filing is a standard dilutive financing arrangement with no reported operating results.

• · Wainwright is deemed to have a conflict of interest under FINRA Rule 5121 because the Company's largest shareholder and director, Dr. Kira Sheinerman, is a managing director of Wainwright; Brookline acts as qualified independent underwriter for no additional compensation.
• · The ATM Prospectus Supplement was filed October 9, 2026, under a Form S-3 shelf originally filed August 28, 2026 and declared effective October 9, 2026.
• · The Company may terminate the agreement on ten business days' prior written notice; Wainwright may terminate on prior written notice.
• · Sales are subject to the number of authorized but unissued shares available and continued Form S-3 eligibility.

09-10-2026

Selectis Health, Inc. (GBCS) filed an 8-K with Exhibit 3.1 containing Amended and Restated Articles of Incorporation adopted through a merger under Subsection 16-10a-1104(2)(d) of the Utah Revised Business Corporation Act, requiring no shareholder vote. The restated articles authorize 1,000 shares of common stock with no par value, retain the company name, perpetual duration, and registered office/agent (NUCO Filings Corp.), and are signed by Interim CFO Krystal Eckhart. The excerpt provided contains no acquisition consideration, counterparty, or financial results, so the preliminary 'Merger/Acquisition' classification appears to reflect a corporate-structure amendment rather than a substantive acquisition.

• · Amendment adopted via merger under Utah Revised Business Corporation Act Subsection 16-10a-1104(2)(d) without shareholder vote
• · Entity No. 698994-0142; company is a Utah corporation
• · Registered office at 2005 E 2700 S, Ste 200, Salt Lake City, Utah 84109
• · Filing items include 2.01 (completion of acquisition/disposition), 2.03, 3.03, 5.01, 5.02, 5.03, and 8.01, suggesting a broader transaction whose underlying terms are not included in this excerpt

09-10-2026

i3 Verticals, LLC (the Borrower), with i3 Verticals, Inc. and subsidiary Guarantors, entered into an Amended and Restated Credit Agreement dated October 9, 2026 with JPMorgan Chase Bank, N.A. as Administrative Agent, Swingline Lender and L/C Issuer, alongside lender syndicate members including Pinnacle Bank, KeyBank National Association, U.S. Bank and Wells Fargo Securities. The initial Aggregate Revolving Commitments are $350,000,000, and the agreement includes a pricing grid tied to Consolidated Total Net Leverage Ratio, with Term Benchmark Loan margins ranging from 1.25% to 2.75% and commitment fees from 0.125% to 0.275%. The excerpt provided is largely the table of contents and opening definitions, so the filing's full economic terms, covenant levels and maturity date could not be verified from this text.

• · Agreement amends and restates an existing credit agreement, with Section 11.23 providing for termination of the existing facility
• · Pricing grid is tiered on Consolidated Total Net Leverage Ratio, with four tiers from >3.00x down to ≤2.00x
• · Alternate Base Rate carries a 1.00% floor and incorporates Term SOFR, NYFRB Rate and Prime Rate components
• · Agreement includes incremental facility, refinancing facility and maturity extension provisions (Sections 2.16–2.18)
• · Filing is an 8-K under Items 1.01 (material agreement), 2.03 (creation of a direct financial obligation) and 9.01 (exhibits)

09-10-2026

T Stamp Inc. (IDAI) entered into an Equity Distribution Agreement dated October 9, 2026 with Maxim Group LLC, under which the company may sell up to $5,323,474 of its Class A Common Stock through an at-the-market offering, with Maxim paid a 3.0% commission on gross proceeds. The company is under no obligation to sell any shares, and sales are subject to the effectiveness of its Form S-3 registration statement and 'baby shelf' limitations.

• · The Registration Statement on Form S-3 was declared effective April 30, 2026, and the ATM Prospectus supplement was filed October 9, 2026.
• · Either party may terminate the Agreement by mutual termination on 15 days' written notice.
• · Sales may be made by any method deemed an 'at the market' offering under Rule 415 or in privately negotiated transactions.
• · The company has agreed to indemnify and provide contribution to Maxim against certain civil liabilities, including under the Securities Act.
• · Exhibit 5.1 is a legal opinion from CrowdCheck Law LLP; certain schedules to Exhibit 1.1 are omitted and available on request.

09-10-2026

Evernorth Holdings Inc. (Pubco) completed a business combination with Armada Acquisition Corp II (SPAC) and PathfinderDigitalAssets LLC (the Company) on October 9, 2026, with Ripple Labs, Inc. becoming a related party and ceasing to consolidate the entities. Holders of 18,463,753 SPAC public shares redeemed for approximately $193.6 million from the Trust Account, leaving 4,536,247 public shares outstanding and approximately $47.6 million released to Pubco. The filing presents unaudited pro forma combined financials showing combined assets of roughly $425.2 million, including $349.1 million of digital assets (XRP), offset by $42.6 million of pro forma liabilities, while noting an unrecorded potential XRP impairment of $6.9 million between June 30, 2026 and the Closing Date.

• · Amendments to the Sponsor Support Agreement, Contribution Agreement, Advance Funding Subscription Agreements, Series C Subscription Agreement and Contributor Related Party Entity Subscription Agreement reduced shares issuable to investors and lowered the refundable investor advance liability below its June 30, 2026 carrying amount.
• · XRP holdings continue to be accounted for as indefinite-lived intangible assets at historical cost less impairment under ASC 350-30, rather than fair value under ASU 2023-08, after management reassessed scoping following the change in ownership.
• · Pro forma figures reflect transaction accounting adjustments only; no synergies or other transaction effects are included.
• · The pro forma presentation is illustrative only and may differ materially from actual results.

09-10-2026

Aldel Financial II Inc., a Cayman Islands exempted company and special purpose acquisition company (SPAC), filed its Second Amended and Restated Memorandum and Articles of Association, adopted by special resolution on 5 October 2026. The filing restates the authorized share capital at US$50,000.00, divided into 479,000,000 Class A Ordinary Shares, 20,000,000 Class B Ordinary Shares and 1,000,000 Preferred Shares, each with a par value of US$0.0001. The document provided is limited to the governing-document exhibit (EX-3.1); the Items 1.01, 5.03, 5.07 and 9.01 disclosures are not included in the content supplied, so the specific agreement and voting results cannot be confirmed from this text.

• · Filing is an exhibit (EX-3.1) containing the restated governing documents; Items 1.01, 5.03, 5.07 and 9.01 are referenced in the filing metadata but their text is not included in the supplied content
• · Business Combination requires target business(es) with aggregate fair market value of at least 80% of Trust Account assets, excluding deferred underwriting commissions and taxes, at signing
• · Company is restricted from issuing bearer shares and its financial year ends 31 December
• · Company's objects are unrestricted, but it may only carry on licensed businesses in the Cayman Islands when licensed

09-10-2026

AutoZone, Inc. disclosed that director Claire R. McDonough informed the Board on October 6, 2026 that she will not stand for reelection at the 2026 Annual Meeting of Stockholders. She cited a new executive role at another company whose events calendar conflicts with several future AutoZone board meetings. The filing states her decision was not related to any disagreement with the Company on operations, policies, or practices.

• · Filing date October 9, 2026; event date October 6, 2026 (Item 5.02).
• · The Board stated it would have preferred a different outcome but thanked McDonough for her counsel and insights.
• · Departure is a non-reelection at the 2026 Annual Meeting, not a mid-term resignation.
• · The Company is incorporated in Nevada and trades on the New York Stock Exchange under AZO.

09-10-2026

Sky Quarry Inc. (SKYQ) disclosed via Form 8-K an October 2, 2026 order from the Circuit Court of the Twelfth Judicial Circuit in DeSoto County, Florida approving a Settlement Agreement and Stipulation with LendSpark Corporation (Case No. 2026 CA 529), entered into as of October 1, 2026. Under the settlement, Sky Quarry will issue Shares to LendSpark in exchange for the release of certain claims, and the court found the terms fair so that the issuance and LendSpark's resale can be exempt from Securities Act of 1933 registration under Section 3(a)(10). The filing does not disclose the number of Shares, their price, or the value of the released claims.

• · Court hearing on the settlement fairness held October 2, 2026 with LendSpark represented by counsel, who consented to entry of the Order
• · Court reserved jurisdiction over the parties for contempt and enforcement of the Settlement Agreement
• · Filing includes Items 1.01 (Entry into a Material Definitive Agreement), 3.02 (Unregistered Sales of Equity Securities), and 9.01 (Financial Statements and Exhibits)

09-10-2026

Gray Media closed a new $600 million Term Loan G maturing July 15, 2030, priced at SOFR + 350 basis points with a 0.5% original issue discount, and reduced its $750 million revolving credit facility to $680 million while extending its maturity from December 1, 2028 to July 15, 2030. Combined with the August 21, 2026 $750 million 7.50% senior secured first lien notes offering, the company has extended maturities on over $1.25 billion of debt and lowered overall borrowing costs, leaving no material debt maturities until after the 2026 and 2028 political cycles. The filing reports positive refinancing outcomes; it does not disclose operating results or current-period financial performance metrics.

• · Revolving credit facility maturity extended from December 1, 2028 to July 15, 2030
• · Term Loan G priced at SOFR + 350 basis points with 0.5% original issue discount
• · Pricing grid on the extended revolving credit facility remains unchanged
• · Term Loan D reduced to $150M outstanding; 2029 Notes reduced to $350M outstanding after repayments
• · Company states no material debt maturities until after the 2026 and 2028 political cycles
• · Filing does not disclose the revolver's drawn balance, interest expense impact, or quantified savings from lower borrowing costs

09-10-2026

Ranger Energy Services, Inc. (RNGR) completed the acquisition of certain coiled tubing, fluid and nitrogen pumping, and related well services assets from STEP Energy Services entities on October 8, 2026, for aggregate consideration of approximately $27.5 million, consisting of $22.5 million in cash (funded via its Wells Fargo Revolving Credit Facility) and 307,503 Class A shares valued at $5.0 million. The filing discloses no financial performance metrics for the target or the company, so the financial impact of the deal cannot yet be assessed.

• · Purchase Agreement was previously disclosed in an 8-K filed August 31, 2026
• · Stock consideration was valued using the 30-trading-day VWAP ending the trading day before closing
• · Company assumed certain facility, vehicle and equipment lease obligations
• · Acquired certain lease rights and other operating assets
• · Purchase Agreement to be filed as an exhibit to Q3 2026 Form 10-Q
• · Financial statements and pro forma information to be filed by amendment within 71 calendar days

09-10-2026

Sunshine Biopharma Inc. announced the pricing of a reasonable best efforts public offering with expected gross proceeds of approximately $6.0 million before placement agent fees and offering expenses, consisting of 10,909,083 Common Units (or Pre-Funded Units) at $0.55 per unit, each including two Series D Warrants exercisable at $0.66 for five years. The offering is expected to close on or about October 9, 2026, with proceeds earmarked for general corporate purposes and working capital. The deal is dilutive and signals a need for capital, though the filing contains no operating results or prior-period comparisons.

• · Offering is made on a reasonable best efforts basis, so the $6.0M gross figure is not guaranteed
• · Registration statement on Form S-1 (No. 333-299274) filed October 2, 2026 and declared effective October 7, 2026
• · Series D Warrants are exercisable immediately and expire five years after initial issuance, with exercise price and share count subject to adjustment
• · Aegis Capital Corp. is the exclusive placement agent; net proceeds are not yet quantified because placement fees and expenses are undisclosed
• · Filing does not disclose share count outstanding, revenue, earnings, or cash position, limiting assessment of dilution magnitude

09-10-2026

Victoria's Secret & Co. (NYSE: VSCO) announced that Chief Legal and Compliance Officer Melinda McAfee will leave the company effective March 31, 2027, and the company has begun searching for a successor. Under a Transition and Separation Agreement dated October 7, 2026, McAfee will keep her current role until a successor is appointed, then remain in a non-executive capacity through March 31, 2027, and receive severance under her 2021 Executive Severance Agreement subject to a release of claims and continued compliance with restrictive covenants.

• · Severance is conditioned on a full release of claims and continued compliance with confidentiality, non-solicitation and non-competition covenants
• · McAfee's severance terms reference Section 4 of the Executive Severance Agreement dated June 29, 2021, filed as Exhibit 10.12 to the FY2025 10-K (fiscal year ended January 31, 2026)
• · McAfee's current compensation and benefits remain in effect during the interim period until a successor is appointed

09-10-2026

Avient Corporation (NYSE: AVNT) appointed Mike Frank as President and CEO, effective immediately, succeeding Dr. Ashish K. Khandpur, who stepped down and will serve in an advisory capacity through December 31, 2026. Richard H. Fearon, previously Lead Independent Director, was named Non-Executive Chairman, and the company reaffirmed its full-year and third-quarter 2026 financial guidance issued August 6, 2026. The filing contains no reported financial results, so no period-over-period performance data is disclosed.

• · Khandpur's advisory role runs through December 31, 2026 to facilitate the transition
• · Q3 2026 earnings release is scheduled before market open on November 4, 2026, followed by an 8:00 a.m. ET webcast
• · Board credits Khandpur with a new strategic plan, significant talent recruitment, upgraded R&D, and consistent financial results
• · Mike Frank previously led Monsanto's global Chief Commercial Officer role (2014 to 2017) and holds an MBA from Kellogg

09-10-2026

Atmos Energy Corporation completed a public offering of $700 million aggregate principal amount of 6.000% Senior Notes due 2036 on October 9, 2026, generating approximately $691.4 million in net proceeds after underwriting discount and estimated offering expenses. The Notes are unsecured senior obligations ranking equally with the company's other unsubordinated debt, and the indenture contains customary covenants limiting specified liens, sale-leasebacks, mergers, and sales of substantially all assets.

• · Notes were issued under a base indenture dated March 26, 2009, supplemented by an officers' certificate under Section 301 of the base indenture
• · Interest is payable semi-annually on May 15 and November 15, beginning May 15, 2027, with maturity on November 15, 2036
• · Holders of at least 25% of outstanding Notes (or the Trustee) may accelerate the Notes upon an uncured event of default
• · Registered under Form S-3 (Registration No. 333-283563) with a prospectus supplement dated October 6, 2026, filed under Rule 424(b) on October 8, 2026
• · Notes are listed as Exhibits 4.2 (Officers' Certificate), 4.3 and 4.4 (Global Securities) to the 8-K

09-10-2026

Verde Resources, Inc. (VRDR) dismissed J&S Associate PLT as its independent registered public accounting firm and appointed MBP Global LLP for the fiscal year ending June 30, 2027, with both actions approved by the board on October 6, 2026 and effective immediately. J&S's audit reports for fiscal years 2026 and 2025 contained no adverse opinion, disclaimer, or qualification, but included a Critical Audit Matter on the impairment assessment of intellectual properties. The company disclosed material weaknesses in internal control over financial reporting in both its FY2026 and FY2025 10-Ks, covering segregation of duties, formal policies, regulatory reporting oversight, internal audit, and the absence of an audit committee.

• · Auditor change is effective immediately, with MBP Global engaged for the fiscal year ending June 30, 2027
• · No disagreements or reportable events with J&S during FY2025, FY2026, or through October 6, 2026, other than the material weaknesses disclosed in the 10-Ks
• · The company did not consult MBP Global on accounting principles or audit opinion types before engagement
• · Company requested J&S provide an Exhibit 16.1 letter (dated October 9, 2026) stating whether it agrees with the disclosures; the letter is filed with this 8-K
• · Filing is the Company's Item 4.01 and Item 9.01 disclosure; the registrant has no securities registered under Section 12(b)

09-10-2026

On October 7, 2026, BioRestorative Therapies appointed Donald J. Currie as an independent Class I director to fill the vacancy left by Katharyn Field's resignation effective August 31, 2026. Mr. Currie, who has served as CEO and director of Hillcrest Energy Technologies since 2010, joins the Nominating and Corporate Governance and Compensation Committees. The filing discloses a CAD $2,000 monthly cash fee but no equity compensation, and does not report any financial performance metrics for the period.

• · Mr. Currie will not participate in the standard non-employee director compensation program and receives no equity awards disclosed in this filing
• · Board determined Mr. Currie is independent under Nasdaq listing rules and Rule 10A-3 under the Exchange Act
• · Mr. Currie will serve until the 2027 annual meeting of stockholders
• · Company expects to enter into an indemnification agreement with Mr. Currie, referencing Exhibit 10.4 of the September 2, 2026 8-K
• · Mr. Currie has no arrangements with other persons for his appointment and no reportable related-party transactions under Item 404(a)

09-10-2026

Pool Corporation disclosed that Senior Vice President Kenneth G. St. Romain's retirement, first announced in a January 12, 2026 8-K, will take effect December 31, 2026. After retiring, Mr. St. Romain will serve in an advisory role to the Chief Executive Officer. The filing describes a planned executive transition with no reported financial impact.

• · Retirement effective date is December 31, 2026
• · Mr. St. Romain will transition to an advisory role reporting to the CEO after retirement
• · Retirement was first disclosed in an 8-K filed January 12, 2026, with the exact date left unspecified until this announcement

09-10-2026

Cheetah Net Supply Chain Service Inc. (CTNT) entered into a Securities Purchase Agreement dated October 7, 2026 with CEO, Chairman, and director Huan Liu, under which the company sold 100,000 shares of Class B common stock at $3.30 per share for aggregate gross proceeds of $330,000. The transaction closed October 9, 2026, and the shares were issued as restricted securities in a private placement. The company also disclosed that Huan Liu serves as Interim Chief Financial Officer, and the filing contains no financial results, period-over-period performance data, or operating metrics.

• · Purchase price of $3.30 per share was paid by an insider (the CEO/Chairman), a related-party equity sale
• · Shares were issued under Regulation S and/or Section 4(a)(2) / Rule 506(b) of Regulation D, as restricted securities with no general solicitation
• · Huan Liu is also serving as Interim Chief Financial Officer, indicating an open CFO position
• · Company is an emerging growth company, listed on Nasdaq under ticker CTNT

09-10-2026

On October 8, 2026, Helder Antunes resigned as a director of Veea Inc. effective immediately, but will continue as Executive Vice President and Chief Revenue Officer; the resignation was stated to be unrelated to any disagreement with management or the Board. Following the resignation, the Board unanimously approved reducing its size from six to five members, and director Alan Black was appointed to the Compensation Committee effective October 8, 2026.

• · Antunes' resignation as director was stated not to result from any disagreement with management or the Board on operations, policies, or practices
• · Antunes retains his executive role as EVP and Chief Revenue Officer
• · Alan Black was appointed to the Compensation Committee of the Board

09-10-2026

Mangoceuticals (NASDAQ: MGRX) announced the closing of an approximately $500,000 registered direct offering priced at $0.75 per unit (one common share plus one warrant), a roughly 74% premium to its referenced recent closing price of $0.43. The transaction follows a $2.5 million strategic investment commitment at subsidiary MangoRx IP Holdings, LLC for a 25% membership interest, of which $1.75 million has been received and $750,000 is due by November 28, 2026. The company notes that warrant exercises could result in dilution, though the filing does not quantify the potential dilution.

• · Each unit includes a warrant, so future warrant exercises could dilute existing shareholders; the filing directs investors to the Form 8-K and offering exhibits for dilution terms, which are not quantified in the press release
• · The subsidiary-level $2.5M investment did not issue parent-company common stock or securities, per the company
• · The offering was made under an S-3 shelf (No. 333-288039) declared effective June 24, 2025
• · Forward-looking statements flag the timing of the second tranche of subscription funds as uncertain

09-10-2026

Star Holdings' wholly-owned subsidiary STAR Investment Holdings SPV LLC entered into Amendment No. 5 to its margin loan agreement with Morgan Stanley on October 9, 2026. The amendment lowers the Share Price Trigger Threshold for mandatory prepayment from $10.00 to $8.00 per Safehold share, terminates an undrawn delayed draw commitment of up to $15.8 million, and lowers loan-to-value ratios that trigger collateral posting or release requests. The facility had an outstanding principal of approximately $46.5 million before the amendment and is secured by a first-priority pledge of Safehold common stock.

• · Amendment No. 5 lowers loan-to-value ratios that trigger additional collateral posting or permit collateral release requests
• · Original margin loan agreement is dated March 31, 2023 and this exhibit reflects all prior amendments
• · Certain portions of the exhibit were redacted under Item 601(b)(10)(iv) of Regulation S-K
• · Company is an emerging growth company

09-10-2026

Plum Acquisition Corp. IV, a Cayman Islands special purpose acquisition company (SPAC) listed on Nasdaq, disclosed that director Aidin Aghamiri resigned from its board of directors effective immediately on October 6, 2026. The company states the resignation was not the result of any disagreement with the company or the board regarding its operations, policies or practices. The filing contains no financial figures, acquisition terms, or compensatory arrangements.

• · Resignation was effective immediately upon notice on October 6, 2026, with the 8-K filed October 9, 2026.
• · The filing states the resignation did not stem from any disagreement with the company or board on operations, policies or practices.
• · Securities trade on Nasdaq Global Market under symbols PLMKU (units), PLMK (Class A shares) and PLMKW (warrants).

09-10-2026

DENTSPLY SIRONA obtained lender and noteholder consents to amend its revolving credit facility (JPMorgan Chase Bank, N.A., as administrative agent) and three note purchase agreements, all dated as of September 30, 2026 and entered October 8, 2026. The amendments temporarily raise the maximum Total and Senior Leverage Ratios for the quarters ending September 30, 2026 and December 31, 2026, add an EBITDA addback, and impose tighter restrictions on new liens, new subsidiary debt, and restricted payments until the FY2026 compliance certificate is delivered. The company states the revised terms are intended to keep it in compliance with its debt covenants in all material respects, while pricing on the facility and notes steps up.

• · Revolving credit facility originally dated May 12, 2023 with JPMorgan Chase Bank, N.A. as administrative agent
• · Note purchase agreements dated December 11, 2015, October 27, 2016 (Note Purchase and Guarantee Agreement), and June 24, 2019
• · Restricted payments are limited with certain carveouts until the FY2026 compliance certificate is delivered
• · A new pricing level is added to the applicable margin and facility fee under the credit facility
• · Incremental interest on the notes rises if total leverage equals or exceeds specified thresholds
• · Quarterly reporting on certain initiatives and related costs and savings is added for a specified period

09-10-2026

Myriad Genetics entered into a Separation Agreement and Release of Claims with Brian Donnelly, its former Chief Commercial Officer, who departed effective September 16, 2026, with his separation occurring September 21, 2026. The agreement, which becomes effective October 14, 2026 absent revocation, provides a lump-sum severance payment of $1,322,294 in exchange for restrictive covenants and a release of claims, plus accelerated vesting of time-based equity awards within two years of the Separation Date. The filing contains no quantitative performance metrics or period-over-period comparisons.

• · Separation Date was September 21, 2026, five days after the stated September 16, 2026 departure effective date
• · Separation Agreement becomes effective October 14, 2026, provided Mr. Donnelly does not revoke it
• · Severance paid under Mr. Donnelly's Severance and Change of Control Agreement
• · Time-based equity awards vesting within two years of the Separation Date accelerate to the Separation Date, with annual installments deemed to vest monthly over that two-year period
• · Performance-based equity awards remain outstanding and vest only if performance conditions are met within two years of the Separation Date

09-10-2026

INNOVATE Corp. entered into a supplemental indenture amending the indenture governing its 9.500% Convertible Senior Secured Notes due 2027. The amendment requires redemption of all outstanding Convertible Notes at 100% of principal plus accrued and unpaid interest on the 15th business day after the lock-up period on stock consideration received from the previously announced DBMG Global Inc. sale expires, and confirms no repurchase offer is required. The lock-up expires on the earlier of December 4, 2026 or the effectiveness of a resale registration statement.

• · Indenture governing the notes is dated August 4, 2025 and includes subsidiary guarantors, with U.S. Bank Trust Company as trustee and collateral trustee
• · Redemption is triggered on the 15th business day following lock-up expiry, which ends on the earlier of December 4, 2026 or effectiveness of a resale registration statement for the DBMG stock consideration
• · The company received stock consideration from the DBMG sale, the resale of which is subject to the lock-up and registration process
• · Filing references Exhibit 10.1 (Supplemental Indenture dated October 9, 2026)

09-10-2026

The Cigna Group disclosed that director Donna F. Zarcone informed the Board on October 6, 2026 that she will retire from the Board effective December 31, 2026. The company states the retirement is not the result of any disagreement with the Company. This is a routine board departure with no disclosed financial impact.

• · Effective date of retirement is December 31, 2026
• · Notice given to the Board on October 6, 2026; 8-K filed October 9, 2026
• · Filing explicitly states no disagreement with the Company as the reason for departure

09-10-2026

Greystone Housing Impact Investors LP (NYSE: GHI) disclosed that director W. Kimball Griffith retired from the Board of Greystone AF Manager LLC, effective October 9, 2026, after serving since 2015 and as a member of the Audit Committee. The Board appointed existing member Robert K. Jacobsen to the Audit Committee as its third independent member, and affirmed his NYSE and SEC independence under the Committee's requirements. The filing states the retirement was not related to any disagreement with the Company or Partnership, and reports no financial figures.

• · Griffith's retirement also constitutes his retirement as the equivalent of a director of the Partnership
• · Griffith was a member of the Audit Committee, and his vacancy was filled by Jacobsen
• · The filing states no disagreement with the Company or Partnership underlies the retirement

09-10-2026

CTT Pharmaceutical Holdings (OTCQB: CTTH) filed an 8-K under Item 4.01 (Changes in Registrant's Certifying Accountant) to include a response letter (Exhibit 16.1) from its former auditor, which states the auditor agrees with the company's previously filed disclosure. The filing contains no financial results, dollar amounts, or operational updates, and no new auditor engagement is described in the text provided.

• · Filing relates to the former auditor's Exhibit 16.1 letter confirming agreement with the company's prior 8-K disclosure of the accountant change
• · Date of earliest event reported is October 8, 2026; filing signed October 9, 2026
• · Company is incorporated in Florida, headquartered in Tampa, FL, and trades on the OTCQB

09-10-2026

Phoenix Education Partners (PXED) announced that CFO and Treasurer Blair Westblom will separate from the company effective October 10, 2026, with the company stating the departure was not due to any disagreement on financial reporting, internal controls, operations, policies or practices. Michael Cochran, SVP of Corporate Development since April 2026, was appointed interim CFO effective the same date, and Ms. Westblom's separation agreement provides $1,137,204 in aggregate cash severance, her fiscal 2026 cash bonus, and accelerated equity vesting.

• · Westblom's performance stock units remain subject to the applicable performance conditions despite accelerated vesting of other equity awards
• · Westblom's fiscal 2026 cash bonus is based on the percentage authorized by the Compensation Committee
• · No compensation decisions have been made for Cochran's interim CFO role; material changes will be disclosed via 8-K
• · The separation agreement is expected to be filed as an exhibit to the 10-K for fiscal year ending August 31, 2026

09-10-2026

McGraw Hill, Inc. (NYSE: MH) announced completion of refinancing transactions, including a $400 million private offering of 8.000% senior secured notes due 2033 and $930 million of senior secured term loans under the A&E Term Loan Facility, used to redeem the 5.750% Secured Notes due 2028 and refinance its existing term loan. The revolving credit facility was refinanced with commitments increased to $150 million and maturity extended to October 2031, and the ABL revolver's maturity was also extended to October 2031. The company had also prepaid $50 million of term loan principal on October 1, 2026, and the CFO stated it remains committed to a net debt to Adjusted EBITDA target of 2.0-2.5x.

• · Revolving credit facility maturity extended to October 2031 and interest rate reduced
• · ABL revolving credit agreement maturity extended to October 2031
• · Recent rating agency upgrades cited as a factor in market conditions
• · Company states the transactions allow continued gross debt reduction over time
• · Interest rate on the new 8.000% notes is higher than the 5.750% notes redeemed, increasing the coupon cost on the refinanced debt

09-10-2026

Fluence Energy, Inc. entered into a separation agreement with Peter Williams, its former Senior Vice President and Chief Product Officer, effective October 8, 2026. Under the agreement, Williams receives a lump sum payment of $593,750 (before standard withholdings), accelerated vesting of 12,184 RSUs and 11,347 PSUs, and twelve months of COBRA premium reimbursement, subject to a release of claims. The filing does not disclose any successor appointment or any financial impact on company results.

• · Separation payments and benefits are conditional on Williams executing and not revoking a release of claims, which includes confidentiality, mutual non-disparagement, and cooperation obligations
• · COBRA reimbursement applies only if Williams is eligible and timely elects COBRA coverage
• · Full agreement is filed as Exhibit 10.1 to the 8-K

09-10-2026

Ashford Hospitality Trust completed the sale of the 263-room Embassy Suites Philadelphia Airport on October 6, 2026, for total consideration of approximately $25.2 million in cash, net of selling expenses, and paid approximately $24.6 million to the mortgage lender, which is secured by 12 hotels including this property. The filing presents unaudited pro forma financials showing the disposition's effect: pro forma net loss attributable to common stockholders for 2025 would be $(214.1) million versus $(215.0) million historically, while the six-month 2026 pro forma net income attributable to common stockholders would be $49.2 million versus $49.6 million historically, and the company would carry a pro forma total stockholders' deficit of $(569.9) million.

• · Historical FY2025 and H1 2026 diluted EPS differ from basic EPS in the filing's pro forma statements; the H1 2026 diluted share count (83,944 thousand) is far above the basic count (6,442 thousand), which warrants review
• · Pro forma FY2025 gain on disposition is preliminary and estimated at $1.3M; the filing notes actual results may differ
• · Debt associated with hotels in receivership ($274.0M) and accrued interest on those hotels ($94.3M) remain on the balance sheet, indicating continuing distress on other assets
• · Company continues to report a stockholders' deficit of approximately $(570) million on a pro forma basis
• · Pro forma H1 2026 income tax expense is $(3.2)M after a $64K tax adjustment tied to the hotel leaving the consolidated group

09-10-2026

BARK, Inc. disclosed that principal accounting officer Brian Dostie resigned, effective October 9, 2026 (with his departure from the company effective October 23, 2026), to pursue another professional opportunity. The resignation was not due to any disagreement with auditors, management, accounting principles, financial statement disclosure, or internal controls. CFO Anya Hamill, in office since September 8, 2026, was designated to also serve as principal accounting officer at no additional compensation.

• · Mr. Dostie's resignation was explicitly not the result of any disagreement with the independent auditors, management, accounting principles, financial statement disclosure, or internal controls
• · Ms. Hamill's compensation and biographical details are incorporated by reference from the company's July 28, 2026 Form 8-K
• · No related-party transactions under Item 404(a) and no family relationships between Ms. Hamill and directors or executive officers
• · Ms. Hamill was not selected under any arrangement or understanding with other persons

09-10-2026

Standard Motor Products announced that CFO Nathan R. Iles will resign to take a CFO position at another public company, effective after remaining in role through October 30, 2026. Former CFO James J. Burke, currently an executive advisor, will serve as Interim CFO from October 30, 2026 while the Company conducts an executive search, and will remain on the Board. The company states the resignation was voluntary and not due to any disagreement, and reports Q3 2026 earnings before market open on October 30, 2026.

• · Burke previously served as CFO from 1999 to 2019, then as COO until June 2026, when he moved to an executive advisor role
• · Iles will remain CFO through October 30, 2026; Burke's interim appointment is effective the same date
• · Company states Iles' resignation was voluntary and not related to any disagreement on operations, financial reporting, policies, or practices
• · Q3 2026 (three and nine months ended September 30, 2026) earnings release scheduled before market open on October 30, 2026; call details to follow

09-10-2026

Digital Realty Trust, through its finance subsidiary Digital Euro Finco, LLC, issued and sold €1,000,000,000 of 5.125% Guaranteed Notes due October 9, 2036, priced at 99.289% of principal. Net proceeds were approximately €985.8 million after managers' discounts and estimated offering expenses, and the notes are fully and unconditionally guaranteed by Digital Realty Trust, Inc. and the operating partnership. The filing reports no period-over-period financial comparisons.

• · Notes are redeemable at par plus make-whole premium, with no make-whole premium applying on or after 90 days before maturity
• · Indenture includes restrictive covenants limiting additional indebtedness and requiring maintenance of a pool of unencumbered assets
• · Notes were sold outside the US under Regulation S and are not registered under the Securities Act
• · Cross-default threshold on other indebtedness is $125,000,000, with a 60-day cure period after notice
• · Proceeds are intended for Eligible Green Projects, with interim use to repay revolving credit facility borrowings pending allocation

09-10-2026

Saratoga Investment Funding II LLC, a wholly owned subsidiary of Saratoga Investment Corp. (SAZ), entered into a First Amendment to its Credit and Security Agreement dated November 6, 2025, with Valley National Bank as administrative agent and a syndicate of lenders, effective October 8, 2026. The amendment provides for an increase in the Facility Amount (the 'Facility Increase') and other modifications to the credit facility, though the specific dollar amount of the increase is not stated in the excerpted text. The filing also confirms that no Default, Event of Default, or Ratings Deficiency has occurred and is continuing as of the effective date.

• · Credit Agreement originally dated November 6, 2025; amendment dated and effective as of October 8, 2026
• · Saratoga Investment Corp. acts as Collateral Manager and Equityholder under the facility
• · Valley National Bank is Administrative Agent; U.S. Bank Trust Company, National Association serves as Collateral Administrator and Collateral Agent
• · Conditions precedent include a new Fee Letter with the Administrative Agent, legal opinions, and officer certificates confirming no Default or Ratings Deficiency
• · Amendment is governed by New York law and may be executed electronically
• · Filing items 1.01, 2.03, and 9.01 indicate entry into a material agreement and creation of a direct financial obligation, with the amendment filed as Exhibit 10.1

09-10-2026

On October 5, 2026, Ares Commercial Real Estate Corporation (ACRE) and certain wholly owned subsidiaries amended three master repurchase facilities with Citibank, N.A., Morgan Stanley Bank, N.A., and Wells Fargo Bank, National Association. The amendments lower the minimum tangible net worth requirement under each facility from $500 million to $400 million, and for the Wells Fargo Facility add a covenant tied to 80% of net proceeds from future equity issuances.

• · The 80% equity-proceeds component applies only to the Wells Fargo Facility, not the Citibank or Morgan Stanley facilities
• · Filing reports the event date as October 5, 2026 and the signed report date as October 9, 2026
• · Item 2.03 disclosure is incorporated by reference from Item 1.01, indicating the amendments created or modified direct financial obligations

09-10-2026

Hepion Pharmaceuticals, Inc. (Buyer) entered into a Membership Interest Purchase Agreement dated October 6, 2026 to acquire 100% of the membership interests of Gravitas Life Sciences, LLC, a clinical-stage biotech developing therapeutic candidates for immunology and inflammation, from its sole member, Gravitas Collective Corp. The transaction is structured to close on the agreement date, with consideration partly payable in Buyer common stock subject to a cap. The excerpt provided is largely the table of contents and definitions; the purchase price and specific dollar consideration are not stated in the text supplied, and no performance metrics are disclosed.

• · Buyer consideration includes Buyer Consideration Shares of Buyer common stock (par value $0.0001) subject to a share cap (Section 2.8) and a Buyer Closing Stock Price based on a 10-day VWAP
• · Canton Seller Note: an Unsecured Promissory Note dated July 17, 2026 owed by the Sole Member and the Company to Canton Strategic Holdings, Inc.
• · Agreement includes indemnification provisions (Article IX), a lock-up agreement (Section 2.5), and piggyback registration rights for shares (Section 6.16)
• · Filing includes Items 1.01, 2.01, 3.02 (unregistered sales of equity securities), 5.02 (officer/director changes) and 9.01 (exhibits)

09-10-2026

Launch Two Acquisition Corp. (LPBBU), a SPAC, held an extraordinary general meeting on October 8, 2026 where Class B shareholders approved a special resolution amending its memorandum and articles of association. The amendment extends the company's Completion Window by up to six one-month extensions, each subject to director approval, allowing the SPAC to continue seeking a business combination for up to 30 months after its IPO closing (to April 9, 2027). The filing contains no quantitative financial results, and it does not itself announce a completed or definitive merger agreement.

• · Extraordinary general meeting held October 8, 2026 at 1:00 p.m. ET at Ellenoff Grossman & Schole LLP offices in New York
• · Amendment approved by special resolution of Class B ordinary shareholders
• · Final extended deadline of April 9, 2027 if all six monthly extensions are exercised
• · Filing items include 1.01 (material agreement), 5.03 (charter/bylaw amendments), 5.07 (shareholder vote results), and 9.01 (exhibits)

09-10-2026

XMax Inc. (NASDAQ: XMAX) announced a definitive share purchase agreement to acquire 100% of Hexa Creation Inc. (HexaGaN), a U.S.-based developer of 1200V vertical gallium nitride (GaN) power semiconductor technology aimed at AI data center power infrastructure. The material terms of the agreement are to be disclosed in the Form 8-K filed the same day, and the release does not disclose a purchase price. The deal extends XMax, historically a furniture distributor with a developing AI software and GPU services business, into high-voltage power semiconductors, a market that is still early and whose commercialization path for Hexa Creation is not yet proven.

• · Hexa Creation holds an exclusive license to patents and IP owned by a large U.S. public university supporting its vertical GaN platform.
• · Purchase price, consideration structure, and financing terms were not disclosed in this release and are referenced to the same-day Form 8-K.
• · Hexa Creation's technology is positioned beyond the 650V-and-below range where most of today's commercial GaN market is concentrated.
• · Hexa Creation's roadmap may expand from discrete devices into power modules and broader power-system solutions, which the company describes as tentative ("may consider").
• · The Yole Group forecast cited is a third-party projection published October 2025, and the company's own release states that forward-looking statements are subject to material risks.

09-10-2026

Universal Safety Products, Inc. (UUU) entered into an Amended and Restated Securities Purchase Agreement dated October 9, 2026 with SJC Lending, LLC, restating an existing June 12, 2026 agreement under which convertible promissory notes totaling $1,590,000 were issued between June 12 and July 29, 2026. The amendment adds a new convertible promissory note with a principal face amount of $1,060,000 (the Additional Note), bringing total potential note principal to $2,650,000 against a stated Maximum Investment of $2,500,000. Conversion shares are subject to a 19.99% Exchange Cap pending Exchange Approval and Stockholder Approval, and the filing notes the Notes were issued under Section 4(a)(2) of the Securities Act without registration.

• · Total note principal ($2.65M) exceeds the stated $2.5M Maximum Investment, a discrepancy the filing does not explain on its face
• · Conversion shares are capped at 19.99% of outstanding Common Stock until Exchange Approval and, for remaining shares, Stockholder Approval are obtained
• · The Notes were offered and sold without SEC registration, relying on Section 4(a)(2) and other private placement exemptions
• · The amendment was required because Section 6.5 of the Existing Agreement mandates a signed written instrument to modify it

09-10-2026

TOP Financial Group Ltd (Nasdaq: TOP) expanded its Board from five to seven directors on October 8, 2026, appointing Dean Huge as an independent director (joining the Audit, Compensation, and Nominating and Corporate Governance Committees) and Yuli Yan as an executive director, who is not independent and has no committee role. The filing discloses an annual US$50,000 fee for Mr. Huge and an annual base salary of US$60,000 for Ms. Yan under an employment agreement as Project Manager of subsidiary TOP AI Inc. No financial performance metrics are reported in this filing.

• · Board expanded from five to seven directors effective October 8, 2026
• · Dean Huge, age 70, previously served as CEO of Innovation Beverage Group (Nasdaq: IBG) through its 2024 IPO and as CFO of Splash Beverage Group (NYSE: SBEV)
• · Yuli Yan, age 40, is Director of Business Operations at HexaGaN, a U.S. semiconductor and AI company, and is not independent
• · Ms. Yan receives no additional compensation for board service and holds no committee seat
• · Board determined Mr. Huge is independent under Nasdaq Listing Rule 5605(a)(2) and Rule 10A-3
• · Mr. Huge's appointment letter may be terminated by either party on two months' written notice
• · Ms. Yan's employment agreement includes one-year post-employment non-compete and non-solicit covenants

09-10-2026

Alpine Income Property Trust entered into a Purchase and Sale Agreement on October 5, 2026 to acquire a 13-property industrial portfolio across 11 states for an aggregate purchase price of $117.3 million. The $1.0 million earnest money deposit became non-refundable on October 9, 2026, and the company now considers closing probable, though closing conditions remain unsatisfied and there is no assurance the acquisition will complete. The filing includes audited historical revenues and direct expenses for the Portfolio, showing lease income declining from $8.9 million in FY2025 to $4.6 million in the six months ended June 30, 2026 on an unaudited basis, though the half-year figure is not directly comparable to the full-year figure.

• · Closing conditions remain unsatisfied as of the date of the Historical Summary, so there is no assurance the acquisition will close.
• · Tenant A represented 35.0% of Portfolio revenues in the six months ended June 30, 2026, down from 36.5% in FY2025, while Tenant B rose to 19.8% from 11.2%, indicating increasing tenant concentration.
• · Minimum future rental receipts total $108.4M, with $54.3M (about 50%) falling in 2032 and thereafter; the schedule excludes CPI-linked rent increases.
• · The audit opinion is unmodified, but the Historical Summary is not a complete presentation of Portfolio operations and excludes depreciation, amortization, and interest expense.
• · The six-month 2026 figures are unaudited and cover a half-year period, so the apparent decline versus full-year 2025 is not a like-for-like comparison and should not be read as a direct revenue decline.

09-10-2026

Quantum Corporation (QMCO) terminated CFO William H. White effective October 9, 2026, and appointed Chief Accounting Officer Hiral A. Patel as Principal Financial Officer the same day, with the company stating no operational disruption is expected and that it still expects to timely file its 10-Q for the quarter ended September 30, 2026. The company also said it expects to meet or exceed previously issued guidance for that quarter, though it is early in its financial close and the expectation remains subject to completion of closing procedures and auditor review. The filing also disclosed board committee changes following James C. Clancy's resignation from the Audit and Nominating Committees.

• · Patel previously served as Chief Accounting Officer at Pep Boys (Oct 2025 to Jun 2026), Vice President and Controller at IKEA Retail (Mar 2024 to Oct 2025), and Senior Director of Accounting at VeriFone Systems (Sep 2020 to Mar 2024)
• · Patel is a Certified Public Accountant with a Bachelor of Business Administration from Temple University
• · Patel has been Chief Accounting Officer since September 1, 2026
• · James C. Clancy resigned from the Board and its committees on September 28, 2026 upon appointment as Chief Operating Officer; the Board filled his Audit Committee seat with Yue Zhou White and his Nominating Committee seat with Donald J. Jaworski on October 9, 2026
• · Filing states there are no related-party transactions or family relationships involving Patel, and no arrangement under which she was selected as an officer
• · The previously issued 10-K was filed June 25, 2026

09-10-2026

Vaxcyte, Inc. (PCVX) closed concurrent offerings on October 9, 2026, consisting of $575.0 million aggregate principal amount of 1.50% Convertible Senior Notes due 2032 (including the full exercise of a $75.0 million over-allotment option) and an equity offering of 7,412,500 common shares plus 400,000 pre-funded warrants at $64.00 per share (with the 1,171,875-share option exercised in full). Net proceeds were approximately $544.3 million from the equity offering and $558.7 million from the notes. The notes carry an initial conversion price of approximately $89.60 per share, implying a premium of about 40% over the $64.00 equity offering price.

• · Notes mature October 15, 2032; interest payable semi-annually on April 15 and October 15, beginning April 15, 2027
• · Notes are convertible only upon certain events before July 15, 2032, and freely convertible thereafter until the second trading day before maturity
• · Vaxcyte may settle conversions in cash, shares, or a combination, at its election
• · Provisional redemption permitted on or after October 22, 2029 if stock exceeds 130% of conversion price for 20 of 30 trading days
• · Cleanup redemption permitted if outstanding notes fall below 10% of original issuance
• · Calling notes for redemption or a Make-Whole Fundamental Change triggers increased conversion rate in certain circumstances
• · Fundamental Change (business combinations, certain de-listings) gives noteholders a put at par plus accrued interest
• · Bankruptcy-related Events of Default accelerate the notes automatically; other defaults allow acceleration by trustee or holders of at least 25%
• · Equity offering price of $64.00 is roughly 40% above the $60.64 underwriter purchase price, implying underwriting discount of about 5.2%
• · Offerings were registered under Form S-3 (Registration No. 333-279735)

09-10-2026

Mitek Systems announced that Michael E. Diamond, Senior Vice President of Sales, Check Verification and a named executive officer for fiscal year 2026, will leave the company, with his employment terminating on December 8, 2026. Diamond will receive separation benefits as a termination without cause under the Company's Executive Severance and Change of Control Plan. The filing does not disclose any financial results or quantitative performance metrics.

• · Termination effective date is December 8, 2026, roughly two months after the October 9, 2026 announcement
• · Termination is without cause, so separation benefits apply under the existing severance plan, which was previously filed with the SEC
• · Diamond was a named executive officer for fiscal year 2026, so the departure concerns a senior executive