US Material Events SEC 8-K Filings — October 13, 2026

13-10-2026

American Battery Materials (BLTH) amended outstanding promissory and convertible notes, extending maturity to November 30, 2026. If the company does not complete an uplist to NYSE American by that date, principal will automatically increase 15% from June 30, 2026 balances (an increase of $1,489,217) and the company must arrange issuance of 779,901 Commitment Shares, which includes 612,476 shares previously agreed under a prior extension. The filing signals continued financing strain and dilution risk tied to an uplisting that remains unachieved.

• · Commitment Shares would be issued in a private placement under Section 4(a)(2) of the Securities Act and/or Regulation D, meaning they are unregistered and carry resale restrictions
• · The 779,901 Commitment Shares figure is cumulative, so the incremental new issuance beyond the prior extension is 167,425 shares (779,901 less 612,476)
• · The principal increase and share issuance are both automatic and require no further action by either party, so they trigger upon the November 30, 2026 deadline absent an uplist

13-10-2026

Medalist Diversified REIT, Inc. (MDRR) disclosed a Non-Recourse Carveout Guaranty dated October 9, 2026, under which Spandrel Sponsors Fund II, LP and Medalist Diversified Holdings, L.P. jointly and severally guarantee carveout obligations for a $13,800,000 loan from GLP 2505 LLC to A.Mira SAV Property, LLC. The guaranty is a condition precedent to the loan and is triggered by specified events such as bankruptcy filings, unauthorized transfers, or single-purpose-entity failures, while standard full-recourse liability is limited to fraud, willful misconduct, environmental breaches, waste, misapplication of insurance proceeds, and similar carveouts. The filing does not include quantitative performance metrics, so no period-over-period comparison is available.

• · Guarantors are jointly and severally liable for Guaranteed Obligations, including full loan obligations upon a Specified Event, and indemnify Lender for enumerated carveout losses
• · Specified Events include voluntary or involuntary bankruptcy filings, unconsented subordinate financing or property transfers, manager changes and ownership transfers without consent, and frustrating lender remedies
• · Guaranty is irrevocable, absolute, continuing, and not a guaranty of collection; Lender need not first pursue the Borrower or collateral
• · Guarantor insolvency-related triggers, zoning or tax-lot changes, and failure to pay insurance premiums and taxes can create recourse exposure
• · Guarantor bracketed Delaware designation for Medalist Diversified Holdings, L.P. appears unfinalized in the filing text

13-10-2026

Bridgecrest Auto Funding LLC and Bridgecrest Acceptance Corporation entered into an Underwriting Agreement dated October 8, 2026 with Wells Fargo Securities, LLC for the public sale of six classes of auto loan asset-backed notes (Classes A-1 through D, registered on Form SF-3) issued by Bridgecrest Lending Auto Securitization Trust 2026-4, with a Class E 8.38% note placed privately and not registered; closing is anticipated October 22, 2026. The filing also sets out the transaction's ancillary agreements (purchase, sale and servicing, indenture, administration, asset representations review) and files the related certification and substantially final transaction documents. The filing is primarily a structural disclosure and contains no reported financial results, performance data, or negative developments.

• · Six classes of notes (A-1 through D) are publicly registered under Form SF-3 (File No. 333-297422); the Class E notes are not registered and are privately placed
• · Underlying collateral consists of motor vehicle retail installment sales contracts for new and used automobiles, light-duty trucks, SUVs and vans
• · Trust was established December 2, 2025 and amended and restated as of the Closing Date; Wilmington Trust serves as owner trustee and grantor trust trustee
• · Asset representations review is performed by Clayton Fixed Income Services LLC after satisfaction of certain conditions
• · Certification by the CEO filed as Exhibit 36.1 under Item 601(b)(36) of Regulation S-K; substantially final transaction documents filed under Item 1100(f) of Regulation AB
• · Exhibit numbers 1.1, 4.1, 10.1–10.7 and 36.1 document the underwriting agreement, indenture, transfer and servicing agreements, trust agreements and certification

13-10-2026

Wheeler Real Estate Investment Trust, Inc. filed a form of Note Purchase Agreement (Exhibit 10.1) under which the Company would issue a Promissory Note to a purchaser in exchange for shares of its Series D Cumulative Convertible Preferred Stock, valued at 100% of the note's principal amount. The principal amount is left blank in the form, so no transaction size can be determined from this filing. Closing is conditioned on Nasdaq stockholder approval for issuances exceeding 19.99% of outstanding Common Stock and on effectiveness of a resale registration statement; the agreement may be terminated if closing has not occurred by February 1, 2027.

• · Closing must occur no later than the fifth Business Day after all closing conditions are satisfied
• · Outside termination date for the agreement is 5:00 p.m. (Eastern Time) on February 1, 2027
• · Payment is made in Series D Preferred shares, with the share count set by dividing the Purchase Price by the per-share liquidation preference plus accrued dividends
• · Resale registration statement covers Amortization Shares issuable under the Notes
• · Agreement is governed by New York law, with disputes heard in New York state or federal courts in Manhattan
• · Exhibit is a form only; the purchaser identity, principal amount and dates are blank, so this filing does not disclose an executed transaction

13-10-2026

Starco Brands, Inc. (STCB) and its subsidiaries, as Borrowers, entered into an Omnibus First Amendment to its July 15, 2026 Loan Agreement with Pasadena Private Lending Inc., amending the Accordion Term Note, Term Loan Note, and Line of Credit Note to set the Applicable Margin at 4.25% per annum from the First Amendment Effective Date through maturity. The amendment is dated as of September 29, 2026 (executed October 7, 2026) and was disclosed in an 8-K filed October 13, 2026 under Items 1.01 and 2.03. Filing does not disclose a rate before the amendment, so the change in cost of borrowing cannot be quantified from the document.

• · Original Loan Agreement dated July 15, 2026 between Borrowers and Pasadena Private Lending Inc.
• · First Amendment Effective Date is September 29, 2026, subject to conditions precedent including no Default or Event of Default
• · Amendment governed by California law
• · Each Borrower and Guarantor provided a limited release of known claims against the Lender, excluding post-amendment claims, fraud, gross negligence, willful misconduct, and Section 1542 rights
• · Guarantors reaffirmed guarantees and affirmed validity of liens, including Pledge Agreements

13-10-2026

MillerKnoll shareholders approved the 2026 Long-Term Incentive Plan at the October 12, 2026 annual meeting, authorizing up to 23,964,945 shares for equity awards to non-employee directors and employees, including named executive officers. Shareholders also re-elected directors Jeanne K. Gang, Michael R. Smith and Claire F. Spofford, ratified KPMG LLP as auditor for fiscal 2027, and approved executive compensation on an advisory basis, though the incentive plan drew notably higher opposition than the other proposals.

• · The 2026 Long-Term Incentive Plan replaces the Long-Term Incentive Plan approved by shareholders in 2025
• · The Plan permits stock options, stock appreciation rights, restricted stock and RSUs, performance stock units, and other stock-based awards
• · The Plan received roughly 8.65 million against votes, about 14.5% of votes cast on it (excluding broker non-votes), versus under 3% against for the say-on-pay and auditor proposals
• · Director Michael R. Smith received about 1.77 million withheld votes, the highest withhold count among the three nominees
• · The proxy statement containing the Plan was filed with the SEC on August 28, 2026

13-10-2026

STERIS plc, through its wholly owned subsidiary STERIS Corporation, entered into a Purchase and Sale Agreement on October 11, 2026 to acquire Xodus Medical, Inc., a Pennsylvania-based specialty surgical products business, for $2.1 billion in cash at closing plus up to $150 million in earnout consideration tied to calendar 2028 performance. The deal is expected to be financed primarily with debt, supported by a $2.0 billion senior unsecured bridge facility committed by JPMorgan Chase Bank, N.A. and Goldman Sachs Bank USA, and is anticipated to close by December 31, 2026, subject to regulatory approvals.

• · Purchase Agreement includes customary confidentiality, non-solicitation and non-compete obligations on the Sellers
• · Either party may terminate if the Acquisition has not closed by July 12, 2027, extendable to January 11, 2028 under certain circumstances
• · Closing is subject to customary conditions, including receipt of requisite regulatory approvals
• · STERIS's forward-looking statements flag risks that regulatory approvals may be delayed or adverse, cost synergies may not materialize, and increased indebtedness may limit financial flexibility
• · Filing contains no reported period-over-period financial results; the disclosure is focused on the deal terms

13-10-2026

Premier Air Charter Holdings (PREM) terminated two Cessna Citation CJ3 aircraft leases on October 1, 2026 after failing to cure defaults noticed on September 23, 2026, and the lessors are asserting approximately $514,557 due, including an accelerated principal balance. The company also committed to a reduction in force of five of ten CJ-rated pilots (workforce 42 to 37, about 12%), and its Chairman Vincent Monteparte resigned, with Kyle McCollum appointed director and Chairman. The filing describes an unresolved liquidity position with a going-concern risk and no assurance that discussions with the lessors will produce an agreement.

• · Lessors' notices of default were delivered September 23, 2026 with a five business day cure period; the company did not cure within that period
• · Lessors reserve rights to declare the entire remaining principal balance plus accrued interest immediately due, and the company says lease termination does not relieve its payment obligations
• · The CJ3 aircraft were leased month-to-month and no long-lived assets are associated with them, so the company does not expect material impairment charges
• · The company states it expects no material pre-tax charges from the reduction in force, though all estimates are preliminary
• · The CJ3 lease obligations are not guaranteed by the parent and are not cross-defaulted to other aircraft leases or indebtedness, limiting contagion risk
• · Mr. Monteparte received no severance and his resignation was not due to any disagreement with the company
• · Mr. McCollum, age 43, is a licensed CPA, formerly CFO of Dalrada Financial Corporation (resigned October 31, 2025), and currently provides CFO advisory services to the company under a consulting arrangement, which raises an independence question for the Chairman role
• · The company's going-concern status and liquidity are flagged as forward-looking risk factors in the filing

13-10-2026

CID HoldCo, Inc. (doing business as Dot Ai, Nasdaq: DAIC) completed the acquisition of Envoy Technologies, Inc. from BladeRanger Ltd. in an all-stock transaction valued at approximately $65 million at a $6.00 per share reference price. The deal adds an established, revenue-generating EV carsharing business, but the filing states the company is seeking to satisfy Nasdaq's $2.5 million stockholders' equity requirement, which remains subject to Nasdaq Hearings Panel confirmation. Following the planned conversions of the Series C Preferred Stock and Envoy's $12.5 million convertible note, BladeRanger is expected to hold a majority of Dot Ai's common stock on an as-converted basis, creating significant dilution and change-of-control implications for existing stockholders.

• · Transaction consideration was all-stock: Dot Ai common stock and Series C Convertible Preferred Stock at a $6.00 reference price.
• · Series C Preferred conversion requires Dot Ai stockholder approval to the extent required by Nasdaq rules; parties agreed to use reasonable best efforts to obtain approval by January 31, 2027, but approval was not a closing condition.
• · Envoy's $12.5M convertible note converts into Dot Ai common stock only upon stockholder approval and effectiveness of a resale registration statement, subject to certain exceptions.
• · Senior secured debt was settled and new working-capital financing completed in September 2026, preceding the closing.
• · The Company will submit evidence of Nasdaq compliance to the Nasdaq Hearings Panel; continued listing remains subject to the Panel's confirmation.
• · Transaction was approved by a Special Committee of independent directors and the Board of Directors.
• · Filing discloses a planned proxy statement with the SEC; record date to be set by the Board before mailing.

13-10-2026

LogicMark, Inc. filed an 8-K on 2026-10-13 (AccNo 0001213900-26-109112) reporting completion of an acquisition or disposition of assets (Item 2.01), a material modification to security holder rights (Item 3.03), a change in control of the registrant (Item 5.01), director/officer departures or compensatory arrangements (Item 5.02), and bylaw/articles amendments (Item 5.03). The filing text provided is limited to item headers; no deal terms, counterparties, consideration, or financial figures are disclosed in the supplied summary. Sentiment cannot be assessed beyond the event categories themselves.

• · Filing is an 8-K of approximately 6 MB containing six items: 2.01, 3.03, 5.01, 5.02, 5.03, 9.01
• · Item 5.01 indicates a change in control, a more significant signal than a standard acquisition completion

13-10-2026

Porch Group and its Reciprocal affiliate agreed to acquire Allied Trust's insurance carrier and managing general agency, expanding Porch's Insurance Services business into Louisiana. The deal is expected to add approximately $200 million of Reciprocal Written Premium and $25 million of Adjusted EBITDA (Excluding Reciprocal) in the first full year after closing, with an expected close in Q1 2027. The company also plans to file an at-the-market equity offering program that would allow sales of PRCH shares, and the release carries forward-looking caveats including regulatory approval risk from the Texas Department of Insurance.

• · Allied Trust operates in Louisiana, Texas, South Carolina and North Carolina; Louisiana would be a new state for the Reciprocal.
• · Allied Trust's carrier purchase price (cash base plus deferred) is approximately statutory surplus neutral for the Reciprocal.
• · Management expects formal 2027 guidance in Q1 2027 following regulatory approval and closing.
• · Management's 2027 combined targets are internal estimates and are not pro forma financial information.
• · Adjusted EBITDA (Excluding Reciprocal) is a non-GAAP measure with no GAAP reconciliation provided.
• · The ATM Program would let the Reciprocal sell existing PRCH holdings over time to add growth capital to statutory surplus.

13-10-2026

SSR Mining has entered into a definitive, court-approved plan of arrangement to acquire all outstanding shares of Roxmore Resources Inc. for C$6.75 per share in cash, with an estimated fully-diluted equity value of approximately $464 million and enterprise value of $392 million, funded from existing cash. The transaction adds Roxmore's Converse Gold Project, a multi-million ounce heap-leachable gold resource six kilometers from SSR's Marigold Complex in Nevada, which management envisions developing at roughly 150,000-170,000 ounces annually over a 10+ year mine life starting around 2033. The deal is subject to Roxmore securityholder approval and court approval, with completion expected in Q4 2026, and includes a C$18 million break fee payable to SSR in certain circumstances; Roxmore's remaining assets are to be spun out into a separate gold exploration company (SpinCo) that SSR will own 14.99% of.

• · Roxmore securityholder approval requires at least 66 2/3% of votes cast, plus possible minority approval under MI 61-101
• · Transaction expected to close in Q4 2026, subject to Special Meeting and court approval
• · C$18 million break fee payable by Roxmore to SSR Mining in certain circumstances
• · Converse resource estimate was reviewed using a $2,200/oz pit shell versus $3,000/oz in Roxmore's 2026 PEA, implying reduced annual ore tonnages in SSR's development case
• · Initial production targeted for 2033; no material capital spend expected until early 2030s
• · Combined US platform expected to exceed 450,000 oz at peak and average 350,000-400,000 oz annually between 2033 and 2042
• · Converse permitting will require a BLM-led federal process including a Plan of Operations and an Environmental Impact Statement

13-10-2026

Alaunos Therapeutics (TCRT) disclosed, via an investor transaction and corporate overview presentation dated October 2026, its stock-for-stock acquisition of Velaris Therapeutics, Inc., with all Velaris equity exchanged for Alaunos common stock and non-voting Series C convertible preferred stock at a deal price of $1.4357 per common share. The transaction is paired with a concurrent $350 million private placement led by Fairmount, with proceeds intended to advance the Velaris pipeline toward proof-of-concept data and initial regulatory filings and to provide cash runway into 2029. The Velaris pipeline is entirely preclinical, with no clinical trials initiated, so the transaction carries substantial development and execution risk alongside its upside narrative.

• · Velaris is preclinical-stage with no clinical trials initiated; the presentation states no Company product candidate has been evaluated in humans
• · Pipeline milestones include IND or CTA filings for VLR199 and VLR360 in 2H27, VLR247 in 1H28, clinical start in 2027, and proof-of-concept data in 2028
• · Management risks flagged include reliance on an acting management team serving in an interim capacity, with transition to permanent roles pending
• · Dependence on Paragon Laboratories, the ninth company launched from Paragon assets, for discovery, research, manufacturing and development
• · Risk that the financing may not close on anticipated terms, and that the company will need substantial additional capital
• · No head-to-head trials exist between VLR199 and Winrevair; cross-study comparisons are not valid
• · Competitive pressure from companies developing ActRII-Fc and anti-PDGF-B therapies

13-10-2026

Mueller Water Products (NYSE: MWA) announced that Michael Morgan, currently CFO of Indicor, will join as Executive Vice President, Finance effective October 28, 2026, and assume the Executive Vice President and Chief Financial Officer role on or about November 19, 2026, after the filing of the fiscal 2026 Form 10-K. Incumbent CFO Melissa Rasmussen will serve through the 10-K filing and remain in an advisory role through December 31, 2026. The company states the transition is not due to any disagreement on financial statements, internal controls, operations, policies, or practices.

• · Michael Morgan's start as EVP, Finance is October 28, 2026; he becomes EVP and CFO on or about November 19, 2026
• · Melissa Rasmussen remains CFO until the Form 10-K filing and advisory role through December 31, 2026
• · Morgan's prior roles include CFO of Biopharma Laboratory Services and Diagnostics segments at Labcorp and Vice President and Group Controller at The Timken Company
• · Morgan holds an MBA from the University of Notre Dame and a BA from Miami University

13-10-2026

Duos Technologies Group (DUOT) disclosed the appointment of Christopher DeAlmeida as Chief Financial Officer, effective August 24, 2026, and Matthew Polimeni as Chief Legal Officer, effective September 8, 2026. Both executives signed three-year employment agreements with a $350,000 base salary, an 80% target bonus, and a grant of 200,000 restricted shares vesting in 2029 with change-of-control acceleration. The filing does not disclose any financial performance metrics.

• · Polimeni previously served as Deputy General Counsel of APR Energy (2020-2026) and Associate General Counsel of Duos (2025-2026) during the APR Energy Asset Management Agreement with Duos
• · Polimeni previously served as General Counsel and Chief of Staff of The HCI Group (2017-2020) and as an Assistant State Attorney in Florida's Fourth Judicial Circuit
• · DeAlmeida agreement signed October 4, 2026 but effective August 24, 2026; Polimeni agreement signed October 2, 2026 but effective September 8, 2026 (retroactive effective dates)
• · Non-renewal of either agreement is treated as termination without Cause, triggering severance
• · No family relationships or Item 404(a) related-party transactions involving Polimeni are disclosed

13-10-2026

Hyperscale Data (NYSE American: GPUS) amended its at-the-market (ATM) sales agreement with Spartan Capital Securities, reducing the aggregate sales capacity from $300 million to $100 million, inclusive of shares already sold. The Company has sold 121,827,841 shares for approximately $49.8 million gross proceeds (about $0.41 per share) under the ATM, and management states the additional $200 million of capacity is not currently necessary, while the company plans to fund its Michigan AI data center with project debt of $100 million to $150 million. The filing also reiterates the expected 2027 divestiture of Ault Capital Group (ACG) via an exchange of Series F Exchangeable Preferred Stock.

• · The ATM sales agreement is dated June 18, 2026; the amendment was announced October 12, 2026 and filed October 13, 2026.
• · Management frames the reduction as disciplined capital management and limiting equity dilution, stating the equity is 'significantly undervalued'.
• · Average ATM sale price of approximately $0.41 per share is well below the stated $300M-to-$100M capacity framing, implying substantial share issuance (over 121 million shares) relative to the capital raised.
• · Management intends to fund the Michigan facility buildout partly with debt, and the Company may evaluate other capital markets options in the future.
• · The ACG divestiture is expected in 2027; only Series F holders who surrender shares and do not withdraw in the exchange offer will receive ACG Class A and Class B shares.

13-10-2026

SS Innovations International, Inc. (SSII) entered into a Securities Purchase Agreement dated October 9, 2026 with Growth Capital Partners, LLC for a Secured Convertible Promissory Note with an original principal amount of $21,025,000.00, for a cash purchase price of $20,000,000.00 after a $1,000,000.00 original issue discount, plus a $25,000.00 transaction expense payment. The note is guaranteed by five subsidiaries and secured by a Security Agreement and an Intellectual Property Security Agreement, and it is convertible into common shares, which are to be registered under an effective Form S-3 shelf with a 424B prospectus supplement due within five Trading Days of closing. The filing contains no period-over-period financial results, so no balanced performance comparison is available; the terms impose ongoing SEC-reporting, listing, and dilution-related restrictions on the company.

• · Note is convertible into common shares ($0.0001 par value) and is secured by a Security Agreement and an Intellectual Property Security Agreement executed by SSI IP Holdings, Inc.
• · Company agreed to covenants including maintaining SEC reporting, keeping shares listed on NYSE, NYSE American, or Nasdaq, avoiding trading halts, and refraining from Restricted Issuances without Investor consent.
• · Company must not sell or pledge equity in subsidiaries or issue additional subsidiary equity without restriction.
• · Closing Date is October 9, 2026 or a mutually agreed date; governing law and venue are Utah, and the Company indemnifies Investor against unpaid broker fees.
• · Filing contains a representation that the Company has not been a Shell Company in the prior twelve months and that its SEC reports since January 1, 2025 were timely filed.

13-10-2026

Cavitation Technologies (CVAT) announced definitive agreements with BrightFlixx Finance (Luxembourg) S.A. for cash tender offers for all outstanding shares of CVAT and Alchemy Beverages, Inc., with aggregate proposed cash consideration of $42 Million ($35 Million for CVAT and $7 Million for Alchemy). The new agreements replace prior tender offer agreements with European Guarantee Services S.à r.l., which were terminated, though management states the material terms are substantially similar and financing comes from the same institution, Bright Wealth Banking. The tender offers have not yet commenced and remain subject to conditions, so completion is uncertain.

• · The prior tender offer agreements with European Guarantee Services S.à r.l. were terminated
• · The tender offers have not commenced; BrightFlixx expects to file Schedule TO on the commencement date
• · Forward-looking risks include whether tender offers commence or complete, satisfaction of conditions, and uncertainty over stockholder tender participation

13-10-2026

Bausch + Lomb announced that Board Chairman Thomas J. Appio has been appointed interim CEO effective immediately, while continuing as CEO of parent Bausch Health, following the mutually agreed departure of CEO Brent Saunders. The companies also expect to raise full-year 2026 adjusted EBITDA (excluding Acquired IPR&D) guidance based on preliminary third-quarter results, with details to follow when they report on October 28. The leadership change is a notable governance event, though the filing gives no reasons beyond a mutual agreement.

• · Appio was appointed chairman of the Bausch + Lomb Board in August 2026 and previously held leadership roles at Bausch + Lomb, joining in 2010.
• · Saunders had served as Bausch + Lomb CEO since 2023 and returned to the company previously.
• · Guidance raise is based on preliminary, unaudited third-quarter 2026 results and is subject to quarter-end closing procedures.
• · The companies are in a blackout period and will provide details on October 28, 2026.
• · The guidance update speaks only as of October 12, 2026 and is not reaffirmed by later distribution.

13-10-2026

Charter Communications, Inc. (CCO Holdings Capital Corp. is a co-registrant) disclosed that Adam Ray will step down as Executive Vice President and Chief Commercial Officer, effective October 12, 2026, after 21 years with the company. He will remain employed in a non-executive advisory capacity through December 31, 2026, and his departure is treated as a termination without cause, subject to a separation and release agreement. The filing discloses continued vesting of certain equity awards and extended option exercisability, but it does not name a successor or quantify the severance amounts.

• · Departure is treated as a termination without cause, triggering severance and benefits under Mr. Ray's employment agreement, subject to a separation and release agreement
• · Portions of unvested time-based RSUs and stock options will continue vesting over the original schedule as if employment had not ended, subject to the release
• · Vested stock options remain exercisable for up to 60 months after the later of the Departure Date and the applicable vesting date, not exceeding the option expiration date
• · The filing does not identify a successor Chief Commercial Officer

13-10-2026

Xponential Fitness (NYSE: XPOF) announced its Board has adopted a limited-duration stockholder rights plan (poison pill) in response to a recent significant accumulation of company equity interests, effective immediately. The rights become exercisable only if a person or group acquires beneficial ownership of 19.9% or more of Class A shares, and the plan expires October 11, 2027. The Board's strategic alternatives review remains ongoing, led by independent directors with Jefferies as financial advisor, with no outcome announced.

• · Rights plan record date is October 22, 2026; rights are not exercisable initially and trade with Class A shares
• · Existing positions at or above 19.9% at announcement are grandfathered, but rights become exercisable if those holders acquire additional shares or derivatives
• · Derivative positions count toward the 19.9% beneficial ownership calculation based on economic exposure
• · The plan does not prevent an acquisition but is designed to encourage bidders to negotiate with the Board first
• · Full plan details will be filed with the SEC and posted on the company website

13-10-2026

IonQ entered a definitive agreement to acquire Elisity, Inc., a Zero Trust security company, in an all-stock transaction valued at up to $1.3 billion, including up to $150 million in earnout opportunity tied to Elisity's performance. The deal is expected to close in Q4 2026, subject to customary conditions and required regulatory approval. Management highlights Elisity's rapid historical growth (revenue and customer base doubling year-over-year, zero churn among deployed customers) and access to the more-than-$10 billion microsegmentation market, while the filing itself provides no Elisity revenue figures or IonQ financial impact beyond the deal value.

• · Share issuance price collar: IonQ shares priced at 20-day VWAP but capped at $49.61 and floored at $33.07 per share
• · Elisity will continue under current leadership including CEO James Winebrenner after closing
• · Filing references a White House Executive Order dated June 22, 2026 on quantum innovation and federal PQC migration as context for the deal
• · Elisity founded in 2019 with a global employee footprint and a growing number of Fortune 500 customers
• · Deal financial impact on IonQ earnings or revenue is not quantified in the filing; Elisity's standalone revenue is not disclosed

13-10-2026

EON Resources Inc. (NYSE American: EONR) determined on October 8, 2026 that its 2025 Form 10-K, filed September 28, 2026, should no longer be relied upon due to an error in calculating depletion, depreciation and amortization (DD&A) expense for Q4 2025. The error overstated FY2025 DD&A by $3,540,000, and the net loss decreased by $2,632,000; the reported loss attributable to shareholders is expected to fall from $10.1 million to approximately $7.5 million in an amended 10-K. The restatement is non-cash and does not affect cash flows or cash and marketable investments.

• · The restatement affects only the FY2025 Form 10-K filed with the SEC on September 28, 2026; the company will file an amended 10-K and restate subsequent interim periods.
• · Figures are preliminary and remain subject to completion of the restatement analysis, financial close, and audit/review procedures.
• · Management discussed the matters with its independent registered accounting firm, CBIZ CPAs P.C.
• · The company is an emerging growth company, and the filing is made under Item 4.02 (Non-Reliance on Previously Issued Financial Statements).

13-10-2026

Sino Green Land Corporation entered into a Debt-to-Equity Conversion Agreement on September 30, 2026, converting US$2,400,528 of unsecured, non-interest-bearing demand loans owed to controlling persons and related creditors into 4,801,056 shares of common stock at a fixed price of US$0.50 per share. The conversion fully extinguishes the loans and releases the Company from related claims, with the shares issued under Section 4(a)(2) and/or Regulation D or Regulation S exemptions.

• · The L&W Creditors and the Empower Creditor are controlling persons of the Company or entities controlled by controlling persons, making this a related-party transaction.
• · Loans were cancelled and extinguished in full upon closing on September 30, 2026, with each creditor releasing the Company from all claims relating to its loan.
• · Shares were issued in reliance on Section 4(a)(2) of the Securities Act and/or Rule 506 of Regulation D or Regulation S, and are subject to transfer restrictions and restrictive legends.
• · The Company's common stock trades under the symbol SGLA on OTC Markets.

13-10-2026

Mitesco, Inc. received a $25,000 face-value 10% original issue discount convertible bridge note from historical investor ZSP Capital, LLC, requiring repayment of $27,500 at maturity in 12 months and convertible at $0.15 per share. The company also issued 2,000,000 restricted shares (500,000 each to four individuals) as compensation for assistance on its TCDC edge computing data center and Robo Agent software projects, valued at $0.0375 per share, bringing shares outstanding to approximately 51 million. Director Dr. Jordan Ballencic resigned on October 8, 2026, citing lack of time, and the Board will not fill the vacancy; the company continues acquisition discussions and restructuring of its bridge notes and Series A Preferred shares.

• · The 2026 Bridge Note is a 10% original issue discount convertible promissory note, meaning the company receives less than the face amount of repayment obligation.
• · Board vacancy from Dr. Ballencic's resignation will not be filled, despite the company's stated acquisition efforts, reducing board size.
• · Shares were issued under Section 4(a)(2) private placement exemption, so the shares are restricted and not freely tradable.
• · Filing discloses ongoing restructuring of existing Bridge notes and Series A Preferred shares, signaling balance sheet pressure not quantified in the filing.

13-10-2026

Tutor Perini Corporation (TPC) disclosed that Sidney ("Sid") Feltenstein, the Board designee of Ronald N. Tutor, informed the Company on October 7, 2026 that he will resign from the Board effective October 30, 2026. The resignation follows Mr. Tutor's beneficial ownership falling below the 11.25% threshold required under the 2008 Shareholders Agreement after recent sales of common stock by his affiliated trusts. The Board is expected to reduce its size following the departure.

• · Shareholders Agreement dated April 2, 2008 governs Mr. Tutor's right to designate one Board member.
• · Resignation is effective October 30, 2026; the Board expects to reduce its size afterward.
• · The departure was triggered by recent sales of TPC common stock by Mr. Tutor's affiliated trusts.

13-10-2026

Co-Diagnostics, Inc. (CODX) entered into a Loan Agreement dated October 9, 2026 with J.J. Astor & Co. (with potential participations of up to 50% to other lenders) providing up to $3,100,000 in two tranches: a $2,100,000 Initial Loan and a $1,000,000 Additional Loan available 60 days after the agreement date at the Company's election. The Company issued a senior secured note with an Original Issue Amount of $2,835,000 (factor rate 1.35x the Initial Loan), with a companion $1,350,000 OID note for the Additional Loan, and agreed to an ATM Waterfall Distribution Agreement with Maxim Group LLC under which 80% to 100% of ATM proceeds (up to a $7,350,877.68 ATM financing) are swept to the Lender until the notes are repaid. The arrangement is materially restrictive: the Company faces stockholder approval obligations, reverse split mandates, a 10 consecutive-day sub-$1.00 bid price trigger, and a 200% ATM coverage requirement, and the lender can take a senior lien on all company assets.

• · Initial Note carries a 1.35x factor rate, implying roughly $735,000 of financing charges on the $2.1M Initial Loan before any default amounts.
• · The lender may take a senior secured lien on all Company assets, perfected through a Security Agreement and Subsidiary Guarantee at initial funding.
• · Lender receives Lender's Shares issued at the Initial Funding Date as inducement consideration, creating potential dilution.
• · Company must file a preliminary proxy within five Business Days of funding and hold a stockholder meeting by November 10, 2026, with the Board required to recommend approval.
• · Upon an Event of Default, 80% of ATM proceeds flow to the Lender and the allocation cannot be modified without Astor's written consent.
• · If ATM coverage falls below 200% of outstanding principal, the Lender retains proceeds and the Company may receive no remittances.
• · Company must notify the Lender within two Business Days of any Nasdaq deficiency notice, delisting determination, or panel decision.

13-10-2026

Rising Dragon Acquisition Corp. (RDACU), a Cayman Islands SPAC, issued a non-interest-bearing promissory note dated August 15, 2026 for US$55,637.41 to sponsor-affiliate SZG Limited, with proceeds to be deposited into the Trust Account to extend the deadline for completing its business combination. The note is payable at the closing of the business combination, is convertible into private units at US$10.00 per unit, and is tied to a merger agreement dated January 27, 2025. No positive or negative financial performance metrics are reported in this filing, which is a financing and deal-structuring disclosure.

• · Note is payable on the date of the initial business combination; it terminates without amounts due if the merger agreement is terminated under section 13.2(a) by the Maker, or if the business combination fails to close for reasons not attributable to the Maker or the agreement is mutually terminated.
• · Payee may convert the note into private units by giving notice at least five business days before closing; units issued equal principal divided by US$10.00, with cash paid for any fractional units.
• · Events of default include failure to pay principal within five business days of due date, voluntary bankruptcy or insolvency actions, and involuntary bankruptcy orders unstayed for 60 consecutive days.
• · Note is governed by New York law with exclusive jurisdiction in New York courts; Payee waives any claim against Trust Account funds, except for certain claims against assets held outside the trust.
• · Merger agreement referenced is dated January 27, 2025; the IPO prospectus is dated October 10, 2024.

13-10-2026

ADC Therapeutics announced a comprehensive capital structure restructuring: an $86.6M PIPE equity financing (12.9M common shares at $1.42 plus pre-funded warrants for 48.1M shares at $1.32), an amendment to the HealthCare Royalty agreement eliminating the $150M change-of-control payment and cutting warrant exercise prices to $0.10, and a Blue Owl loan refinancing that prepays $70.0M, reducing term loan principal to $50.0M with no minimum liquidity covenant. Management expects cash runway to extend into 2029. The restructuring is conditioned on PIPE closing (expected October 22, 2026), and the HCR amendment also requires a best-efforts move to Delaware subject to shareholder approval. Q3 2026 ZYNLONTA net product revenue is expected at about $21.0M, with cash of $189.2M as of September 30, 2026 (pro forma about $196M).

• · PIPE expected to close October 22, 2026; HCR amendment effectiveness requires PIPE completion by October 31, 2026
• · HCR warrant exercise prices reduced from $3.8130 to $0.10 and transfer restrictions removed before January 1, 2028
• · Lender warrant exercise price reduced from $8.30 to $1.00 (lesser of $1.00 and PIPE price)
• · Loan amendment eliminates minimum liquidity covenant and subsequent scheduled principal amortization; remaining principal due at maturity
• · Third-party debt permitted under HCR amendment capped at $50.0M; uncured breach triggers a non-performance payment of 1.5x the difference between $300M purchase price and amounts received
• · Cash runway guidance extended into 2029 in the press release headline, while the forward-looking statements reference runway into at least 2028 assuming minimum liquidity usage
• · Investors: Bain Capital Life Sciences (new); Redmile, TCGX, Nantahala Capital (existing)
• · PIPE shares issued under Section 4(a)(2) exemption; company agreed to file resale registration statement
• · Forward-looking risks flagged include FDA concerns over LOTIS-5 data raised at pre-sBLA meeting and ability to comply with indebtedness terms

13-10-2026

Avery Dennison (AVY) announced on October 12, 2026 that Helen Sheirbon, currently SVP and Chief Operating Officer of Global HP Solutions at HP Inc., has been appointed President of the Solutions Group, effective November 3, 2026. The filing is a leadership appointment with no financial results, guidance, or quantitative performance changes disclosed.

• · Sheirbon's HP tenure spans over two decades with increasing leadership responsibility
• · Sheirbon holds an MBA from the University of Virginia Darden School of Business and a bachelor's in biochemistry from Bates College
• · The appointment is described as bringing expertise in digital innovation and operational excellence to the Solutions Group

13-10-2026

Getty Images announced a Restructuring Support Agreement with all major financial stakeholder groups, under which the Getty Family and Koch Equity Development commit up to $533 Million of new equity and the company will become privately held, with the Equity Investors owning 100% of the reorganized company upon emergence. Noteholders representing 83.5% of unsecured bonds agreed to retire $270 Million of senior unsecured notes, while secured creditors agreed to reduce interest and extend maturities. The company plans an expedited prepackaged Chapter 11 process, expected to conclude by year end, while stating operations, vendors, contributors, customers and employees are unaffected. The filing also flags substantial doubt about going concern, the delisting of the common stock from the NYSE, and the likely cancellation of existing equity interests, which are negative or adverse outcomes for existing shareholders.

• · Only the filing-specific negatives not in the summary are noted here: the warrant litigation and the risk of losing rights to use the 'Getty Images' trademarks
• · Restructuring is limited to certain U.S. entities and will address non-operating legal liabilities
• · Plan solicitation is expected in the coming days, with the Chapter 11 filing in the coming weeks
• · Expected completion by year end; the requisite majority of creditors has already committed to vote in favor of the Plan

13-10-2026

On October 7, 2026, Nuvve Holding Corp. (NVVE) disclosed that two independent board members, Laura Huang and David Sherman, resigned from the Board of Directors effective immediately. Ms. Huang chaired the Compensation Committee and also sat on the Nominating and Corporate Governance Committee, while Mr. Sherman chaired the Audit Committee and also sat on the Compensation and Nominating and Corporate Governance Committees. The filing does not state reasons for the departures or name replacements.

• · Both resignations take effect immediately and remove the Audit Committee and Compensation Committee chairs at once.
• · Both directors also exited the Nominating and Corporate Governance Committee.
• · The filing lists Exhibit 104 (cover page XBRL) and does not attach a resignation letter or describe any disagreement with the company.
• · Nuvve's common stock trades on the OTCQB Market, not a major national exchange.

13-10-2026

Horizon Space Acquisition I Corp. (HSPO), a SPAC, announced a definitive business combination agreement with ArcheNova Biotech Corp., a clinical-stage biopharmaceutical company developing MSC-derived exosome therapeutics. Upon closing, a newly formed Cayman Islands entity (PubCo) will list on Nasdaq, with HSPO and ArcheNova becoming wholly-owned subsidiaries via a two-step merger, expected to close in Q1 2027 subject to regulatory and shareholder approvals. The filing contains no reported financial results, valuation, or transaction consideration amounts, and closing is not assured.

• · Transaction structured as two sequential mergers: ArcheNova International merges into HSPO (First Merger), then ArcheNova Global merges into ArcheNova (Second Merger), both as wholly-owned PubCo subsidiaries
• · HSPO warrants will be assumed by PubCo and converted into warrants to purchase PubCo Ordinary Shares on substantially the same terms
• · Both boards unanimously approved the Proposed Transactions
• · Form F-4 registration statement with proxy statement/prospectus to be filed with the SEC
• · Closing risk factors include the amount of cash remaining after HSPO shareholder redemptions
• · HSPO's most recent Form 10-K was filed April 15, 2026 for fiscal year ended December 31, 2025
• · HSPO trades OTC under symbol HSPOF; PubCo expects Nasdaq listing

13-10-2026

Eureka Acquisition Corp, a SPAC, issued a promissory note dated October 7, 2026 for US$8,253.03 to Marine Thinking Inc., payable upon the earlier of a business combination or the expiry of the company's term. The note is non-interest-bearing, convertible at the payee's option into private units priced at $10.00 each, and carries standard default and cross-default provisions. This is an extension-related financing to fund the SPAC's operating costs, with no completed acquisition disclosed in the filing.

• · Principal is repayable on the earlier of a Business Combination or expiry of the company's term; prepayment is permitted without penalty.
• · Payee may convert the note into private units by giving notice at least two business days before a Business Combination closes.
• · Principal is non-recourse to the Trust Account: the payee waives claims to trust funds, and if no Business Combination occurs, repayment comes only from non-trust assets.
• · Overdue principal more than ten business days past maturity is an Event of Default; the payee may accelerate on payment default or breach of obligations.
• · Note references Registration Statement File No. 333-277780 and is not registered under the Securities Act (acquired for investment only).

13-10-2026

Kenvue Inc. entered into a Third Supplemental Indenture dated October 9, 2026 with Deutsche Bank Trust Company Americas, as trustee, amending the indentures governing its seven series of outstanding senior notes totaling $7.75 billion in principal. The Requisite Consent was obtained from holders of each series in connection with Kimberly-Clark Corporation's exchange offers and consent solicitations, which would eliminate substantially all restrictive covenants, certain Events of Default (other than payment defaults), the SEC reporting covenant, and merger/asset-sale restrictions. The amendments become operative only upon settlement of each series' exchange offer, expected on or about the closing of Kimberly-Clark's acquisition of Kenvue.

• · Amendments become operative only upon each series' Settlement Date, expected promptly after the Exchange Offer Expiration Date, which is expected on or about the closing of Kimberly-Clark's acquisition of Kenvue
• · Amendments eliminate the SEC reporting covenant for all existing Kenvue notes, reducing bondholder public disclosure protections
• · Kimberly-Clark Notes offered in exchange have not been registered under the Securities Act of 1933
• · Filing references Confidential Offering Memorandum and Consent Solicitation Statement dated September 28, 2026

13-10-2026

Zoetis appointed Iris Knobloch to its Board of Directors, effective December 1, 2026, expanding the board from 12 to 13 members. Knobloch currently serves as President of the Festival de Cannes and as Chair of the Deezer S.A. board, and is a director of Lazard, Inc. and Vail Resorts, Inc. The announcement is a governance update with no financial results, guidance, or performance metrics disclosed.

• · Knobloch is the first woman to serve as President of the Festival de Cannes (since July 2022).
• · She has chaired the Deezer board since January 2023 and has sat on Lazard's board since April 2018 and Vail Resorts' board since February 2024.
• · Her prior boards include Accor, LVMH, Central European Media Enterprises and Axel Springer.
• · She holds a Doctorate in Law from Ludwig-Maximilians-Universitaet and a Master of Laws from New York University.

13-10-2026

Select Water Solutions announced its intent to offer $800 million of Senior Notes due 2034 through its subsidiary Select Water Holdings LLC, subject to market conditions. Proceeds will partly fund the cash consideration for the previously announced acquisition of Pilot Water Solutions LLC, repay the term loan in full, repay revolver borrowings, cover fees and expenses, and support general corporate purposes. The offering is not contingent on closing the Pilot Water Acquisition, but if that deal does not close by the March 1, 2027 Outside Date (or is terminated), $350 million of the Notes must be redeemed at 100% of issue price plus accrued interest.

• · Notes offered under Rule 144A and Regulation S, sold only to qualified institutional buyers and non-U.S. persons; not registered under the Securities Act
• · Notes will be guaranteed on a senior unsecured basis by existing subsidiary borrowers/guarantors under the revolving credit facility and certain future restricted subsidiaries
• · Outside Date for the Pilot Water Acquisition is March 1, 2027, extendable by agreement of the parties
• · Proceeds will be combined with cash on hand and borrowings under a new revolving credit facility
• · Refinancing of the existing term loan in full and repayment of outstanding existing revolver loans is part of the use of proceeds, increasing leverage structure complexity
• · Filing includes Item 2.02 and 7.01 disclosures, indicating the release is furnished rather than filed under the Exchange Act

13-10-2026

Adia Nutrition, Inc. (ADIA), through its subsidiary Adia Med, Inc., disclosed that the unsecured revolving line of credit originally dated June 30, 2024 with CEO Larry Powalisz as lender has been paid in full and discharged as of October 9, 2026. The company repaid a total of $934,970.94, including $74,658.94 in accrued interest, following payments of $500,000 on October 7, 2026 and $434,970.94 on October 9, 2026. The facility, most recently increased to a $1,000,000 commitment at 6% per annum, is now satisfied with no remaining balance owed to the lender.

• · The lender is the company's CEO, Larry Powalisz, making this a related-party facility being retired.
• · Principal retired on October 9, 2026 was roughly $360,312 after excluding $74,658.94 of accrued interest from the $434,970.94 payment, in addition to the $500,000 paid October 7, 2026.
• · Acknowledgment is effective only upon receipt of the October 9, 2026 payment in cleared funds.

13-10-2026

Accelevation Holdings Corp. (Nasdaq: ACCV) entered into a new $650 million senior secured credit agreement that replaces its pre-IPO credit facilities, comprising a $400 million revolving credit facility and a $250 million Term Loan A maturing in 2031. The new facilities are priced at Term SOFR plus 1.50% to 2.50%, versus the prior SOFR plus 4.50% to 5.25%, a meaningful reduction in borrowing cost. Bank of America, N.A. acted as administrative and collateral agent.

• · The new facilities replace credit facilities established prior to the company's IPO.
• · The company characterizes the transition to the public equity market as occurring with a lower level of debt.
• · Rule 424(b)(4) prospectus filed October 1, 2026 is referenced for risk factors.
• · Five financial institutions served as joint lead arrangers and two as joint bookrunners.

13-10-2026

Skydance Corporation (formerly Paramount Skydance Corporation, NYSE: SKYD) announced final results of its tender and exchange offers for Warner Bros. Discovery-related debt, made in connection with its acquisition of Warner Bros. Discovery, Inc. (WBD), which closed on October 6, 2026. Approximately 98.83% of Existing Tender Offer Notes (aggregate principal eligible of about $2.42B across the two USD series) and approximately 99.15% of Existing Exchange Offer Notes were validly tendered, with settlement expected October 9, 2026. Note that the filing reports tender results for only two USD series (3.755% 2027 at $997.93 and 3.950% 2028 at $989.45 per $1,000) in the pricing table; the 99.15% exchange figure reflects the aggregate across the exchange series.

• · Tender Offer and Exchange Offer settlement expected October 9, 2026, subject to conditions being satisfied or waived
• · Tender Consideration fixed at 0 bps spread over Treasury reference yields; accrued interest paid in cash on top of Tender Consideration
• · Exchange Offers were made only to Eligible Holders (QIBs under Rule 144A or non-U.S. persons under Regulation S), under a private placement exemption from Securities Act registration
• · Tendered Existing Tender Offer Notes will be cancelled; untendered notes remain outstanding obligations of the issuers
• · Forward-looking risks flagged include integration of WBD, achievement of synergies and leverage targets, stockholder litigation related to the WBD acquisition, and streaming and advertising revenue exposure

13-10-2026

On July 28, 2026, Avalon Holdings Corporation and certain wholly-owned subsidiaries entered into a Change in Terms Agreement with Wesbanco Bank, Inc. (formerly Premier Bank) that amends their existing Line of Credit Agreement dated September 24, 2025, extending its maturity from July 31, 2027 to July 31, 2028. As of July 28, 2026, $3,200,000 was drawn under the facility. The filing is an administrative amendment and does not disclose new borrowing capacity, pricing, or covenant changes.

• · Maturity extended from July 31, 2027 to July 31, 2028, a one-year extension
• · Change in Terms Agreement filed as Exhibit 10.1; original terms were described in 8-K filings dated September 24, 2025
• · Lender is Wesbanco Bank, Inc., formerly known as Premier Bank

13-10-2026

Merck & Co. announced that Paul J. Diaz, managing partner at Cressey & Company, will join the Board of Directors effective November 1, 2026, bringing the board to 14 members. He will stand for shareholder election in May 2027. The filing is a board appointment press release with no financial results, guidance, or quantitative performance disclosure.

• · Diaz previously served as president and CEO of Myriad Genetics and as president and CEO of Kindred Healthcare
• · Diaz currently sits on the Board of Centene Corporation and the Board of Trustees of Johns Hopkins Medicine
• · Diaz holds a bachelor's degree in finance and accounting from American University and a J.D. from Georgetown University

13-10-2026

Fortress Net Lease REIT's operating partnership, FNLR OP LP, exercised its second extension option on its Credit Agreement dated August 13, 2024, moving the maturity of both the term loan and revolving credit facilities from October 16, 2026 to October 15, 2027. The extension is a one-year debt maturity deferral that removes near-term refinancing pressure without changing the facility's other stated terms in this filing.

• · Credit Agreement dated August 13, 2024 is administered by Bank of America, N.A. as administrative agent
• · Filing specifies the extended maturity date of October 15, 2027 for both facilities; no principal amounts or pricing changes are disclosed in this filing

13-10-2026

Spire Inc. and its subsidiaries Spire Alabama Inc., Spire Missouri Inc., and Spire Tennessee Inc. entered into an Extension and Second Amendment to their Second Amended and Restated Loan Agreement dated October 11, 2024, with Wells Fargo Bank, N.A. as Administrative Agent. Banks holding more than 50% of Revolving Credit Commitments (Consenting Banks) extended the Final Maturity Date from October 11, 2030 to October 11, 2031, while Non-Extending Banks retain their original maturity date and remain subject to replacement by the Borrowers. Effectiveness is conditioned on signed counterparts, board resolutions, a no-default certificate, and payment of agreed fees and expenses.

• · Consenting Banks must constitute Required Banks, and the Borrowers waived timing and notice requirements under Section 2.01(f).
• · Non-Extending Banks keep the October 11, 2030 maturity date unless replaced by the Borrowers.
• · The amendment also updates Loan Agreement schedules (Annex B) and exhibits (Annex C), and includes a Beneficial Ownership Certification representation.
• · Governed by New York law; borrowers bear counsel fees for the Administrative Agent.

13-10-2026

KKR FS Income Trust, through its wholly-owned special purpose subsidiary K-FIT Finance BMO-1 LLC, entered into a Loan and Security Agreement with Bank of Montreal as administrative agent on October 7, 2026, providing a revolving credit facility of up to $250 Million in initial aggregate principal across USD, CAD, GBP and EUR borrowings. The facility is non-recourse to the Company, with its exposure limited to its equity investment in BMO-1, and is secured by a first priority interest in substantially all of BMO-1's assets, including its loan portfolio.

• · Revolving period terminates October 7, 2029, subject to earlier termination; amounts borrowed mature October 7, 2031
• · Borrowings priced off Term SOFR (USD), Term CORRA (CAD), EURIBOR (EUR) and Daily Simple SONIA (GBP)
• · Facility carries a non-usage fee and, in certain circumstances, a prepayment premium
• · Advances are subject to maintaining the required borrowing base
• · Western Alliance Trust Company, N.A. serves as collateral custodian

13-10-2026

Corsair Gaming, Inc. (CRSR) disclosed that director Sarah Kim notified the Board on October 7, 2026 of her decision to resign effective December 31, 2026, citing other professional commitments. The filing states the resignation was not due to any disagreement with the Company on operations, policies, or practices. Ms. Kim had served on the Board for nearly five years, including on the Compensation Committee.

• · Resignation effective December 31, 2026
• · Ms. Kim served on the Board's Compensation Committee
• · Resignation explicitly not related to any disagreement with the Company
• · Filing signed by CFO Gordon Mattingly on October 13, 2026

13-10-2026

Quantumsphere Acquisition Corp (Nasdaq: QUMS, QUMSR, QUMSU), a Cayman Islands SPAC, announced an Agreement and Plan of Merger with Fortune Favor Technology Inc., a Cayman Islands provider of technology consulting and solutions for medical cold-chain transportation, implying a pre-money equity value of approximately $600 million for Fortune Favor. The transaction, approved by both boards, is subject to regulatory approvals, shareholder approvals of both companies, an effective SEC registration statement (Form F-4), and Nasdaq approval of the combined company's listing. No closing date, transaction proceeds, or pro forma ownership figures were disclosed in this filing.

• · Structure: Quantumsphere merges into its wholly owned subsidiary Purchaser, which becomes the publicly listed company; Merger Sub merges into Fortune Favor, which survives as a wholly owned subsidiary of Purchaser
• · Registration on Form F-4 with a proxy statement/prospectus to be filed by Purchaser and Fortune Favor; no shareholder vote date disclosed
• · Advisors: Celine & Partners and Ogier (legal, Quantumsphere); Jefferey & McCabe (U.S. securities counsel, Fortune Favor); Chain Stone Capital (financial advisor, Fortune Favor)
• · Transaction proceeds, sources and uses, and pro forma ownership are not yet disclosed and are deferred to forthcoming registration materials

13-10-2026

Accuray Incorporated (ARAY) disclosed that Class II director Mika Nishimura informed the Board on October 8, 2026 that she will not stand for re-election at the 2026 annual meeting of stockholders, scheduled for November 2026. She will continue as a director and Chairperson of the Compensation Committee until that meeting, and the filing states her decision is not due to any disagreement with the Company or the Board, or any matter relating to its operations, policies or practices.

• · Nishimura's departure is a board non-re-election, not a mid-term resignation, and she remains in her roles through the November 2026 annual meeting
• · The Compensation Committee chair will need to be succeeded, creating a potential governance transition after the annual meeting
• · The 8-K explicitly rules out any disagreement with the Company or Board as the reason for her decision

13-10-2026

Niki BioSolutions, Inc. (formerly Aptorum Group Ltd, NASDAQ: NIKI per filing) appointed Thomas Freeburg as Chief Financial Officer effective September 1, 2026, under a two-year Employment Agreement with a $250,000 base salary, up to 50% annual bonus, and 50,000 stock options at $8.83 per share. The filing contains no revenue, earnings, or other operating performance metrics, so no period-over-period comparison is available; the appointment's financial impact is limited to compensation commitments, with $25,000 of monthly salary deferred until the Company receives certain funding.

• · Freeburg is a Certified Public Accountant; previously served as CFO, Secretary and Treasurer of Interpace Biosciences (February 2021 to March 2023) and Chief Accounting Officer (October 2017 to January 2021).
• · The Employment Agreement terminates prior consulting agreements with DiamiR, the Company, Aptorum Group Limited, and affiliated entities as of the Commencement Date.
• · Severance upon involuntary termination is the greater of remaining base salary through the Initial Term or six months, paid in a lump sum; non-renewal triggers three months' base salary.
• · The Company's business address is Princeton, NJ; the filing lists the former name as Aptorum Group Limited (London address), reflecting the redomiciliation/name change to Niki BioSolutions, Inc. (Delaware).
• · The filing reports no revenue, earnings, cash position, or other financial results; the 8-K discloses only executive compensation and appointment terms.

13-10-2026

WM Technology, Inc.'s subsidiary Ghost Management Group, LLC (Tenant) entered into a Lease Termination Agreement dated October 6, 2026 with Alameda Square Owner LLC (Landlord) for its office premises at 767 S. Alameda Street, Los Angeles (Suites 550, 660, and 700, approximately 113,692 square feet, within the ROW DTLA project). The termination is contingent on a replacement tenant signing a new lease by October 7, 2026, and Tenant agreed to pay a total Lease Termination Fee of $32,420,959.43 in monthly installments through February 2031, secured by the $1,500,000.00 security deposit and a stipulation for entry of judgment. The filing presents a significant contingent obligation with acceleration and default provisions, and it does not disclose any operating or financial results.

• · Lease termination is conditioned on a replacement tenant executing a new lease with Landlord by October 7, 2026; if not satisfied or waived, the agreement is void and the Lease remains in force.
• · Full termination fee is payable over roughly 53 months, with monthly payments ending in February 2031.
• · Three Material Breaches trigger an Acceleration Event, after which the outstanding balance accrues 10% interest and Landlord may enter judgment via a stipulation without further defense.
• · Tenant waived rights under US Bankruptcy Code Chapter 5, including preferential (11 U.S.C. § 547) and fraudulent transfer (11 U.S.C. § 548) avoidance claims against Landlord.
• · Mutual releases take effect on the Termination Date, excluding surviving obligations for reconciliation of operating expenses and tax expenses for the pre-termination period.