US Material Events SEC 8-K Filings — October 14, 2026

14-10-2026

Verastem Oncology announced that Michael P. Bailey will succeed Daniel Paterson as President and CEO effective January 1, 2027, as part of a planned succession plan. Paterson, who served as CEO since 2023 and with the company since 2011 (15-year tenure per the release), will retire, remain on the Board, and serve as an advisor. The company highlighted commercial progress for AVMAPKI FAKZYNJA CO-PACK and clinical advancement of VS-7375, though the release contains no financial results or quantitative performance figures.

• · Bailey has served on Verastem's Board since May 2026 and previously led AVEO as CEO from January 2015, including the FOTIVDA approval and launch in 2021
• · VS-7375 is in registration-directed Phase 2 trials (TARGET-D 201 in pancreatic, 202 in NSCLC, 203 in colorectal) and a Phase 3 trial in first-line metastatic pancreatic cancer is expected to begin later in 2026
• · VS-7375 holds FDA Fast Track Designation for KRAS G12D-mutated PDAC (first-line and previously treated) and previously treated NSCLC
• · AVMAPKI FAKZYNJA CO-PACK received accelerated FDA approval on May 8, 2025 for KRAS-mutated recurrent LGSOC; continued approval may depend on a confirmatory trial
• · Paterson will remain on the Board and as an advisor after stepping down as CEO

14-10-2026

FortuneX Acquisition Corporation, a Cayman Islands SPAC, and its Merger Sub entered into a First Amendment dated October 13, 2026 to its September 18, 2026 Business Combination Agreement with WT Realty Group Inc. The amendment fixes the Aggregate Merger Consideration at 52,500,000 shares of PubCo Common Stock, implying an agreed equity value of $525,000,000 at a $10.00 reference price per share, with no adjustment for cash, indebtedness, working capital, escrow or holdback. The filing is an administrative-style amendment; it does not disclose a change in deal status, financing outcome, or closing timeline.

• · Reference price per share is $10.00, and 52,500,000 shares x $10.00 reconciles to the $525,000,000 agreed equity value
• · Consideration is fixed and not subject to cash, net debt, working capital, purchase price adjustment, escrow or holdback
• · Amendment is made under Section 11.2 of the Business Combination Agreement and governed by Delaware law
• · Amendment becomes effective upon delivery of executed counterparts or signature pages from all parties

14-10-2026

Faraday Future Intelligent Electric (FFAI) signed definitive agreements on October 12, 2026 for its affiliate FF EAI Robotics Ecosystem Inc. (FFR, formerly AIxCrypto Holdings) to acquire FFAI's full robotics business in an all-stock transaction at an agreed valuation of approximately $200 million, with FFR valued at approximately $60 million on a fully diluted basis. FFR shares are being issued to FFAI at $2.246 per share, a premium of roughly 50% to FFR's $1.50 close on October 12, 2026. Closing is expected by the end of October 2026, and FFAI would hold about 65.7% of FFR post-closing on a fully diluted basis. The filing also reports that FFAI's robotics business has only modest current revenue (cumulative about $1.52 million through Q2 and 817 units sold/shipped through September), and management projects 2026 revenue of approximately $7 million at a 10% gross margin, a figure well below the 2027 projection of $45 million.

• · The special stock dividend mechanism in the earlier non-binding term sheet was removed from the definitive agreement.
• · All newly issued FFR shares received by FFAI are subject to an 18-month lockup; PIPE investors may not sell for six months or until the resale registration statement is effective.
• · Key employee retention and employment agreements are conditions to closing.
• · FFAI and its affiliates agreed to a two-year non-competition covenant in territories where FFR and its affiliates operate robotics business.
• · Projected 2026 gross margin of 10% is a sharp step down from the reported Q2 2026 average of above 30%, and the filing does not reconcile the two figures.
• · Management projections are preliminary, were prepared by FFAI management, and have not been adopted by FFR as Company guidance; actual results may differ materially.
• · The valuation of FFR reflects cash, notes receivable, and investments including investments in FFAI, not solely market price.
• · FFAI expects to consolidate FFR's financial statements post-closing, subject to applicable conditions.

14-10-2026

Aquestive Therapeutics and Eton Pharmaceuticals entered an exclusive U.S. license and supply agreement for LIBERVANT (diazepam) buccal film, an Orphan Drug-designated seizure-cluster rescue treatment. Eton expects commercial availability in April 2027, subject to final FDA approval, and cites a U.S. seizure rescue market exceeding $450 million annually. Aquestive is expected to manufacture and supply the product and may receive upfront, milestone, and royalty payments, though the amounts are not disclosed in the filing; the timing of full approval and milestone achievement remains dependent on FDA actions and commercialization outcomes.

• · FDA granted Orphan Drug Designation in November 2016 and tentative approval exists for ages 2-5 and 12+
• · Full approval for ages 12+ expected after VALTOCO orphan exclusivity expires January 10, 2027
• · Type 9 NDA to add ages 6-11 has a PDUFA target date of March 29, 2027
• · Patent protection extends into 2038 with additional applications pending
• · Financial terms (upfront, milestone, royalty amounts) are not disclosed in the filing

14-10-2026

StageWise Strategies Corp. (STWI) filed Exhibit 99.1 containing audited financial statements for the fiscal years ended September 30, 2025 and 2024, filed alongside an 8-K covering Items 2.01 (completion of acquisition/disposition), 3.02, 5.01, 5.02, 5.03, and 9.01. Revenue rose sharply to $95,409 from $9,007 (roughly 959% growth), but the company remained loss-making with a net loss of $74,758 (versus $30,616 prior year), an accumulated deficit of $112,364, a stockholders' deficit of $(77,034), and a going-concern warning from the auditor.

• · Auditor Dylan Floyd Accounting & Consulting (PCAOB #6235, Newhall, CA; auditor since 2023) issued a going-concern paragraph and flagged related-party loans as a critical audit matter.
• · Related-party loans rose to $218,700 from $121,830 and now represent the bulk of total liabilities of $241,901.
• · Intangible assets, net grew to $152,216 from $104,401, with $82,450 of intangible asset investment in FY2025 and $88,900 in FY2024.
• · Depreciation/amortization expense rose to $34,635 from $13,299.
• · Marketing ($30,424), SEO services ($14,784), and website/API expenses ($14,800) appear as new operating expense lines in FY2025 versus nil in FY2024.
• · Net cash used in operating activities widened to $(48,500) from $(12,217).
• · Cash on hand of $4,573 is small relative to annual operating expenses of $170,170, indicating limited liquidity runway.
• · Management states it will fund operations from cash on hand, director loans, and/or private placements of common stock.
• · Item 2.01 (completion of acquisition or disposition) is cited in the 8-K, but the exhibit provided contains only the target's standalone financial statements and does not describe the transaction terms.

14-10-2026

USBC, Inc. entered into a Second Addendum to its Master Loan Agreement with Payward Interactive, Inc. (effective October 12, 2026), increasing the aggregate loan commitment from $25,000,000 to $40,000,000 and replacing the First Addendum. Of the commitment, $21,000,000 in Prior Advances already counts against it, leaving $19,000,000 of remaining availability; the commitment expires 12 months after the Effective Date and carries a 1.0% per annum commitment fee on unused balances, which Lender may waive. The filing is an exhibit to an 8-K describing a debt-financing arrangement with the company's principal lender.

• · Commitment Fee accrues daily from October 12, 2026 and is payable monthly on each Payment Due Date; any Commitment Fee accrued under the First Addendum and unpaid carries over to the next Payment Due Date
• · Existing Loan Term Sheet (September 11, 2026) and its outstanding Loans remain in full force and effect; the First Addendum is replaced but not novated or discharged
• · Loan amounts are denominated in Fiat or Digital Currency and converted to U.S. Dollars at the Market Spot Rate on each Loan Effective Date for utilization tracking
• · Governed by Wyoming law; the Addendum is subject to MLA provisions on governing law/dispute resolution, severability, counterparts, and indemnification

14-10-2026

Eton Pharmaceuticals (ETON) entered an exclusive U.S. license and supply agreement with Aquestive Therapeutics (AQST) for LIBERVANT (diazepam) buccal film, an Orphan Drug-designated seizure cluster rescue therapy, with commercial launch anticipated in April 2027 subject to final FDA approval. Management cites a U.S. seizure rescue market exceeding $450 million annually and a patient preference survey in which 71% favored film over nasal spray (versus 13%), though these are stated preferences rather than clinical outcomes. The filing discloses no upfront payment amount, milestone terms, or royalty rates, and the regulatory path carries execution risk.

• · Eton's U.S. rights to LIBERVANT are exclusive, and the agreement includes a supply component under which Aquestive manufactures the product; Aquestive is described as eligible to receive upfront, milestone and royalty payments, but no amounts or rates are disclosed.
• · LIBERVANT holds tentative FDA approval for seizure clusters in patients aged 2 to 5 and 12 and older; full approval for ages 12 and older is expected after VALTOCO's orphan drug exclusivity expires on January 10, 2027.
• · A Type 9 NDA to add ages 6 to 11 has a PDUFA target action date of March 29, 2027.
• · Patent protection extends into 2038, with additional applications pending at the USPTO.
• · Labeling includes boxed-type safety warnings on benzodiazepine risks (opioid co-use, abuse, dependence, withdrawal), and the most common side effects are sleepiness and headache.
• · Among 76% of surveyed patients concerned about medication access away from home, only 34% reported always carrying it, indicating a portability gap the product is positioned to address.

14-10-2026

Riot Platforms, Inc. entered into a BitGo Custodial Services Agreement, dated October 7, 2026 and amended October 14, 2026, under which BitGo Bank & Trust, National Association will custody the company's digital assets and cash. The move follows the transfer of custody from NYDIG Trust Company LLC, whose Digital Asset Custodial Agreement terminates automatically once the transfer completes. The filing discloses no dollar amounts, but it sets out a monthly custody fee based on average asset value, a one-year auto-renewing term, and a liability cap equal to six months of fees.

• · Digital assets will be held in segregated accounts and not commingled with other clients' assets, except for transient omnibus use to settle trades with a BitGo affiliate or if the company elects BitGo settlement services
• · The company retains title to its digital assets, which are held in a custodial capacity and kept separate from BitGo Bank & Trust's proprietary assets
• · BitGo Bank & Trust must maintain commercially reasonable insurance coverage for its custodial services
• · Liability cap excludes fraud, willful misconduct and gross negligence
• · Full agreement and amendment will be filed as exhibits to the Form 10-K for fiscal year ending December 31, 2026

14-10-2026

Lisata Therapeutics appointed Jeffrey Farrow, a veteran biopharma CFO and Chief Strategy Officer of Tarsus Pharmaceuticals, to its Board of Directors effective October 13, 2026, filling a newly created seat that expands the Board from seven to eight members. Mr. Farrow will also serve on the Audit Committee and has been determined independent under Nasdaq rules. The filing contains no financial results, so no period-over-period performance figures are reported.

• · Mr. Farrow was appointed as a Class III director on the recommendation of the Nominating and Corporate Governance Committee
• · Mr. Farrow chairs the audit committee at Achieve Life Sciences and is also a director of Clover Biopharmaceuticals (HKEX)
• · Mr. Farrow was CFO of Global Blood Therapeutics from 2016 to 2022 through its acquisition by Pfizer
• · Mr. Farrow previously served as CFO of ZS Pharma (through AstraZeneca acquisition in 2015) and CFO of Hyperion Therapeutics (2010 to 2015)
• · Mr. Farrow holds a B.A. in business administration from California State University, Fullerton and is an inactive CPA

14-10-2026

NanoVibronix, Inc. (NAOV) filed an 8-K disclosing a Secured Promissory Note and Security Agreement with Alpha Capital Anstalt, under which the lender may advance up to $1,000,000 in tranches; the exhibit is issued by ENvue Medical, Inc., a Delaware corporation, as Maker. Interest accrues at 10% per annum, rising to the lower of 18% or the maximum permitted by law upon an Event of Default. Principal and interest are due December 31, 2026, but the Lender may unilaterally extend the maturity in three-month increments until December 31, 2028. The note is secured by accounts, inventory, manufacturer deposits, patents, trademarks, copyrights, subsidiary equity, and related proceeds and claims.

• · Original issue date of October 8, 2026; maturity December 31, 2026, extendable by the Lender to December 31, 2028.
• · Lender cannot unilaterally demand a tranche; tranches require agreement between Maker and Lender via drawdown notice.
• · Payments are applied first to Lender expenses, then interest, then principal.
• · Collateral includes patents, trademarks, copyrights, subsidiary equity (Schedule F), and manufacturer prepaid deposits, with restrictions on disposing of collateral outside the ordinary course of business.
• · Lender holds a power of attorney exercisable after an Event of Default, and the Maker waives demand and notice rights and defenses to repayment.
• · Maker must notify the Lender within two Business Days of becoming aware of an Event of Default.

14-10-2026

Tron Inc. (Nasdaq: TRON) entered into a Sales Agreement dated October 14, 2026 with Clear Street LLC for an at-the-market (ATM) offering of its common stock, under which Clear Street acts as agent and/or principal. The Company pays a commission of up to 3% of gross proceeds, and shares will be sold under an effective Form S-3 shelf registration (File No. 333-288986). No minimum sale obligation exists for either party, and the agreement may be terminated on ten days' notice or upon certain events, including a material adverse effect.

• · Tron Inc. is an emerging growth company, per the cover page check box.
• · Shares will be sold under an effective Form S-3 shelf registration, with prospectus supplement required.
• · Clear Street may also purchase shares as principal in separately negotiated block transactions if agreed by both parties.
• · Neither the Company nor Clear Street is obligated to sell any shares, so the actual amount raised is undetermined.
• · Exhibits filed: Sales Agreement (Ex. 1.1), legal opinion of Lucosky Brookman LLP on share validity (Ex. 5.1), and related consent (Ex. 23.1).

14-10-2026

KB Home's Management Development and Compensation Committee approved long-term incentive grants on October 8, 2026, consisting solely of performance-based restricted stock units (PSUs) to three named executive officers: Robert V. McGibney (135,227 target shares), Jeffrey T. Mezger (112,689 target shares), and Brian J. Woram (21,411 target shares). The PSUs vest over a three-year performance period (December 1, 2026 to November 30, 2029) based on cumulative adjusted EPS (40%), average adjusted ROIC (35%), and relative revenue growth versus high-production homebuilder peers (25%), with payouts ranging from 0% to 200% of target. The filing does not report any change in officer status itself, so the classification as Officer Change is preliminary and reflects compensation rather than an appointment or departure.

• · PSU recipients receive a cash dividend equivalent for each vested share, based on dividends with record dates between grant and performance determination
• · Full vesting occurs upon death, disability, or attaining at least 55 years of age with 15 consecutive years of service
• · Recipients forfeit all rights upon other termination of service

14-10-2026

Pioneer Acquisition I Corp (Nasdaq: PACH) entered into a definitive Business Combination Agreement with Green AI Cloud, Inc., a Stockholm-based European AI data center operator focused on renewable-powered super compute, valuing Green AI Cloud at a $300 million pre-money equity value and implying a pro forma enterprise value of approximately $525 million assuming no redemptions. Closing is expected in Q2 2027, subject to Pioneer shareholder approval and customary conditions, and Pioneer's board received a fairness opinion; the deal is positive for the SPAC's prospects but carries execution and redemption risk, and the press release contains no reported historical financial results for the target.

• · Target's current portfolio includes live, contracted and planned capacity, with a potential multi-GW development pipeline over time
• · Expected proceeds to fund site development, potential acquisitions and expansion into new markets
• · Transaction approved by both boards; Pioneer obtained a fairness opinion before signing
• · Filing is partly a SPAC-style marketing release with forward-looking statements; no audited Green AI Cloud revenue or profitability figures are disclosed
• · Ticker discrepancy: the body cites Nasdaq: PACH while the subject identifies PACHU (the unit ticker)

14-10-2026

Liquidia Corporation entered a global settlement with United Therapeutics that resolves all six pending lawsuits between the companies, with YUTREPIA remaining available for PAH patients. Liquidia will make a net payment of $175 million within 30 business days, plus $145.4 million in two installments of $72.7 million due January 31, 2027 and April 30, 2027, and it has agreed not to appeal the September 30, 2026 Delaware ruling finding claims of the '327 patent valid and infringed, removing the PH-ILD indication from YUTREPIA's label. Preliminary unaudited Q3'26 YUTREPIA net product sales were $222.7 million, with $396.1 million in cash as of September 30, 2026, though the PH-ILD indication removal and loss of Treprostinil Injection promotion represent a loss of commercial scope.

• · Liquidia terminated the promotional agreement tied to Treprostinil Injection and will no longer commercially support the product; commercial rights transfer to Sandoz referenced in forward-looking statements
• · Liquidia submitted a Prior Approval Supplement to remove the PH-ILD indication from YUTREPIA's label and no longer promotes it for PH-ILD, which narrows the addressable market
• · The settlement does not extend to indications other than PAH or to new treprostinil-containing products, and United Therapeutics may assert patents against development programs
• · Company expects to fund payments from YUTREPIA sales and cash on hand and does not expect to need additional financing; a broader update comes on the Q3 2026 earnings call in November
• · The Q3 2026 financial figures are preliminary, unaudited, and not reviewed by the independent auditor

14-10-2026

Compass, Inc. appointed technology executive Sissie Hsiao, a nearly 20-year Google veteran who led development of the Gemini app, to its Board of Directors. Director Charles Phillips resigned effective October 9, 2026 to devote more time to outside commitments, with no disagreement with the Company; Frank Martell succeeds him as Lead Independent Director and Steven Sordello as Chair of the Nominating and Corporate Governance Committee.

• · Sissie Hsiao previously served as Vice President and General Manager of Google's Display, Video, and App Advertising businesses
• · Charles Phillips had served as a Director since August 2020 and Lead Independent Director since February 2021, and also sat on the Audit Committee
• · Frank Martell has served on the Board since November 2021 and chairs the Audit Committee; he is also President, CEO and a director of SmartRent, Inc.
• · Steven Sordello has served on the Board since November 2020 and continues on the Audit Committee

14-10-2026

XTI Aerospace (Nasdaq: XTIA) appointed Dr. Allan Evans, CEO and director of Unusual Machines (NYSE American: UMAC), as a director and Chairman of its Board, returning the Board to five members. Jonathan Ornstein was designated Vice Chairman, and Jeremy Schneiderman remains Interim CEO. The filing contains no financial results or quantitative performance data.

• · Dr. Evans has been CEO and a director of Unusual Machines since December 2023
• · Dr. Evans was COO of Red Cat Holdings from 2021 to 2023 and CEO of Fat Shark from 2017 until its 2020 acquisition by Red Cat
• · Dr. Evans holds a PhD in Electrical Engineering from the University of Michigan
• · Management cites the transition away from foreign drone manufacturers as a key opportunity, and the filing flags reliance on DJI and other foreign suppliers as a risk

14-10-2026

FF EAI Robotics Ecosystem Inc. (NASDAQ: FFR; formerly AIxCrypto Holdings, Inc., AIXC) signed definitive agreements on October 12, 2026 to acquire Faraday Future Intelligent Electric Inc.'s (NASDAQ: FFAI) robotics business in an all-stock transaction at an agreed valuation of approximately $200 million, with FFR valued at approximately $60 million on a fully diluted basis. Shares are issued to FFAI at $2.246, a premium of roughly 50% to FFR's $1.50 close on October 12, 2026, and closings are expected by end of October 2026. Post-transaction, FFAI would hold approximately 65.7% of FFR, while the freely tradable public float would fall to roughly 13 million shares (about 10.7%). Mixed indicators include a projected 2026 gross margin of only 10% and cumulative financing needs of up to $150 million before positive operating cash flow in Q3 2028, offset by reported Q2 gross margins above 30% on robotics products.

• · Transaction structure was simplified: the special stock dividend mechanism from the earlier non-binding term sheet was removed from the definitive agreement
• · FFR's valuation reflects cash, cash equivalents, note receivables, and investments including investments in FFAI
• · FFR will have no outstanding convertible notes and minimal debt post-closing
• · Valuations and projections were prepared by FFAI management and have not been adopted by FFR as company guidance; actual results may differ materially
• · Special committees of disinterested independent directors approved the transaction, supported by a fairness opinion from Advanture Capital Solutions LLC
• · Key employee retention and employment agreements are closing conditions; employee stock options will be assumed and converted into FFR options
• · Projected ecosystem revenue share grows from 22% of total revenue in 2026 to 49% by 2030
• · Projected positive operating cash flow no later than Q3 2028

14-10-2026

State Street reported Q3 2026 diluted EPS of $3.69, up 33% YoY, on total revenue of $4.0 billion (up 13% YoY, down 1% QoQ) with a 34.6% pre-tax margin and no notable items. Growth was broad-based, led by Management fees (+20%) and FX trading services (+17%), but Other fee revenue fell 29% YoY and QoQ, Foreign exchange trading services fell 14% QoQ, Provision for credit losses was a $4 million release, and CET1 declined 0.3 percentage points YoY to 11.0% due to capital return and higher RWA. The filing also lists an officer change item (Item 5.02), which the provided text does not detail.

• · Other fee revenue fell 29% YoY and QoQ, primarily due to market-related adjustments, a declining line not highlighted in the summary.
• · FX trading services revenue declined 14% QoQ, reflecting a lower mix of emerging markets revenue.
• · Information systems and communications expenses rose 15% YoY, driven by technology and infrastructure investments and volume-related costs.
• · Occupancy expenses fell 4% YoY on real estate footprint optimization but rose 6% QoQ on one-time items.
• · Net interest margin declined 1 basis point QoQ to 1.12%, though it rose 16 basis points YoY.
• · ROE and ROTCE both declined QoQ (down 0.3 and 0.4 percentage points respectively) despite strong YoY gains.
• · Announced agreement to acquire Santander CACEIS Latam Securities Services joint venture, subject to regulatory approvals and closing conditions.
• · Item 5.02 (officer change) is listed in the filing metadata, but the provided excerpt does not describe the officer or the change.

14-10-2026

ExchangeRight Income Fund disclosed that its manager, ExchangeRight Real Estate, LLC, appointed Timothy Williams as Chief Administrative Officer of both the manager and the Company, effective October 7, 2026. Williams, 36, joined ExchangeRight in 2021 as Senior Controller and most recently served as Director of Asset Management. No employment agreement was entered into, and the filing discloses no family relationships or related-party transactions requiring Item 404(a) disclosure.

• · Williams previously led asset management, overseeing tenant relations, strategic leasing initiatives, and physical property stewardship
• · Prior experience includes six years at McCoy Group leading the transportation division accounting function and contributing to acquisitions and divestitures
• · Holds B.A. and Master's degrees in Accounting from the University of Northern Iowa (2013) and received the Elijah Watt Sells Award for the May 2013 CPA exam

14-10-2026

American Rebel Holdings' subsidiary Champion Safe Company announced a comprehensive lean restructuring and physical realignment of its Utah factory, intended to increase throughput, lower unit costs, shorten lead times, and improve working-capital efficiency. The initiative builds on a July 2026 growth capital investment and references a record dealer backlog of $3.9 million earlier in 2026. The release is forward-looking and promotional, and it provides no quantified cost savings, capital expenditure, timeline, or resulting output targets, so the financial impact remains unquantified.

• · The company is listed on the OTC Pink under the ticker AREB, while the filing is associated with the warrant ticker AREBW.
• · The release states no cost savings, capex amount, or completion timeline for the realignment.

14-10-2026

Alpha Star Acquisition Corp (ALSUF), a SPAC, filed an amendment to its Amended and Restated Memorandum and Articles of Association (Exhibit 3.1) that replaces Section 36.2 to allow the board, at its sole discretion, to extend the deadline for consummating an initial business combination from December 15, 2026 by up to twelve one-month extensions, to no later than December 15, 2027, without requiring sponsor deposits into the trust account from October 15, 2026 onward. If no business combination is completed by the extended date, an automatic redemption of public shares is triggered, with directors required to distribute trust account funds pro rata within ten business days and wind down operations.

• · Original deadline to consummate the initial business combination is December 15, 2026; the extended outside date is December 15, 2027
• · Extensions are at the board's sole discretion and require no sponsor deposit into the trust account from October 15, 2026
• · Failure to complete a business combination by the extended date triggers pro rata redemption of public shares only, with the company ceasing operations other than winding up

14-10-2026

Yext, Inc. disclosed that on October 11, 2026, its Board approved a performance-based nonstatutory stock option for CEO Michael Walrath covering 11,000,000 shares at a $7.00 exercise price, a premium to the $6.93 closing price on October 9, 2026. The option vests only if the stock hits 14 escalating price targets from $21.00 to $88.08 over five to ten years, and requires stockholder approval within twelve months or it is forfeited. The grant is designed as Walrath's sole new equity compensation for ten years, though no performance results or current-period financials are reported in this filing.

• · Option is granted outside the 2016 Equity Incentive Plan and requires stockholder approval within twelve months; if not obtained, the option is forfeited in full
• · Each tranche requires the average closing price to meet the target over 180 consecutive days and also over 30 consecutive days within a defined window
• · Tranches 1 must be achieved within five years, tranches 2-6 within seven years, and tranches 7-14 within ten years
• · Earned shares face retention requirements released over three anniversaries (tranches 1-8) or every six months (tranches 9-14)
• · Change-in-control, death/disability, and no-cause/good-reason termination each trigger distinct vesting treatments, including a 250,000 or 1,000,000 bonus share kicker tied to a 15% or 25% compounded annual growth rate

14-10-2026

All In FutureTech Alliance, Inc. (NASDAQ: AIFA, formerly Allied Gaming & Entertainment Inc.) held its 2026 Annual Meeting of Stockholders on October 12, 2026. Stockholders elected six directors, ratified ZH CPA, LLC as auditor for FY2026, approved a 1,284,063-share increase in the 2019 Equity Incentive Plan (from 627,218 to 1,911,281 shares), and approved the issuance of 707,730 shares to President Yangyang Li under a May 2, 2026 Share Issuance and Reimbursement Agreement. Item 5.02 flags compensatory arrangements, and the Li share issuance was approved only after excluding his related votes under the Contractual Standard.

• · Proposal 4 required three separate approval standards (Nasdaq, Bylaws, and Contractual); the Contractual Standard excluded Li-related votes and the Li share issuance passed under all three, with 1,570,120 FOR votes and 25,174 AGAINST.
• · Director votes showed zero AGAINST votes for all six nominees, with abstentions ranging from 12,652 to 82,071 and identical broker non-votes of 647,508 across all directors.
• · The Proxy Statement was filed with the SEC on September 14, 2026, and mailed to stockholders on or about September 15, 2026.
• · Item 5.02 is triggered by the compensatory plan amendment and Li share issuance rather than an officer departure or new appointment; no officer departure is reported in the filing.
• · The filing is signed by Roy Anderson as CFO, and the company's name on the cover page is All In FutureTech Alliance, Inc., indicating a corporate name change from Allied Gaming & Entertainment Inc.

14-10-2026

Beneficient disclosed in an 8-K that, effective October 7, 2026, its subsidiaries Beneficient Financing, L.L.C. and Beneficient Company Holdings, L.P. amended a March 10, 2026 letter agreement with HH-BDH, LLC, extending the deadline for a $1,000,000 cash interest and fee payment from five business days after September 30, 2026 to March 31, 2027. HH-BDH's sole member is affiliated with Mack Hicks, a Beneficient board member, making this a related-party arrangement. The filing reflects a deferral of a payment obligation rather than a new financing or a settlement of the underlying debt.

• · The original Letter Agreement dated March 10, 2026 provided for payment of remaining interest and fees under the October 19, 2023 Credit and Guaranty Agreement with HH-BDH as lender and administrative agent
• · HH-BDH's managing member Mack Hicks sits on Beneficient's board, so the lender is a related party
• · The amendment is filed as Exhibit 10.1 to the 8-K

14-10-2026

Sprouts Farmers Market announced that James Bahrenburg stepped down as Chief Technology Officer effective October 12, 2026, with the Company stating the departure was not due to any disagreement on operations, policies, or practices. Bahrenburg will serve as an advisor through March 31, 2027 to support an orderly transition, retaining equity vesting and cash bonus eligibility during that period, and remains eligible for severance under the Company's Amended and Restated Executive Severance and Change in Control Plan.

• · Departure is effective October 12, 2026; the filing is dated October 14, 2026
• · Advisory period runs through March 31, 2027
• · Existing equity awards continue to vest during the advisory period
• · Company states the departure was not the result of any disagreement with the Company

14-10-2026

Longeveron Inc. (Nasdaq: LGVN) disclosed that Chief Medical Officer Dr. Nataliya Agafonova informed management on October 7, 2026 of her decision to step down, with the departure effective October 14, 2026. The filing is a routine Item 5.02 disclosure of a C-suite departure and does not report any financial results, compensation terms, or successor appointment.

• · Departure date of the Chief Medical Officer is effective October 14, 2026, one week after notice was given on October 7, 2026
• · The filing does not name a successor or interim CMO, and no compensatory arrangements or separation terms are disclosed
• · Filing is made under Item 5.02(b) only; no director election or appointment is reported

14-10-2026

Jackson Financial Inc. (NYSE: JXN) announced that its Board of Directors elected Donald C. ("Don") Templin as a new independent director, appointing him to the Audit and Compensation committees. Templin is a former EVP and CFO of Voya Financial and of Marathon Petroleum, and a former PwC audit partner with 26 years as a CPA.

• · Templin holds a Bachelor of Arts in Accounting from Grove City College
• · Templin is a former Executive Vice President and CFO of Voya Financial and Executive Vice President and CFO of Marathon Petroleum Corporation
• · Templin was Managing Partner of PwC's Audit Practice in Georgia, Alabama and Tennessee

14-10-2026

Green Dot Corporation (GDOT) disclosed that General Counsel Amy Pugh notified the company on October 8, 2026 of her decision to resign to pursue another professional opportunity, effective November 2, 2026. The filing is a routine Item 5.02 officer departure disclosure and does not include financial results or performance metrics.

• · Resignation notice dated October 8, 2026; effective date November 2, 2026
• · Filing does not state a successor or interim General Counsel
• · Stated reason is pursuit of another professional opportunity; no disagreement with the company is disclosed

14-10-2026

LGI Homes, Inc. entered into a Seventh Amendment to its Fifth Amended and Restated Credit Agreement, dated as of October 9, 2026, with Wells Fargo Bank, National Association as Administrative Agent. The amendment extends the Revolving Loan Termination Date, eliminates Credit Spread Adjustment provisions upon a future CSA Elimination Date, reallocates Revolving Commitments among Lenders to match an amended Schedule I, and reaffirms the Borrower's representations and the absence of any Default or Event of Default.

• · Credit Agreement amendment effective date is October 9, 2026
• · Lenders irrevocably consented to CSA Provisions for the period from the Effective Date through February 9, 2027 (CSA Elimination Period)
• · Upon the CSA Elimination Date, the Term SOFR Adjustment definition is deleted and Adjusted Term SOFR is restated to equal Term SOFR, subject to the Floor
• · Revolving Commitments are reallocated among Lenders immediately upon the Effective Date so that Revolving Loans match each Lender's Pro Rata Share, with no assignment and assumption required
• · Borrower reaffirmed representations, warranties, and the absence of any Default or Event of Default as of the amendment date
• · Agreement is governed by New York law and is a Loan Document

14-10-2026

Enliven Therapeutics appointed Kristine Ball to its Board of Directors, effective immediately, ahead of its planned initiation of the pivotal Phase 3 ENABLE-2 trial of relcobatinib before year-end 2026. Ms. Ball brings over 20 years of biopharma executive experience in corporate strategy, finance and commercial readiness, and she chairs the Audit Committee at Oruka Therapeutics. The announcement contains no financial results or quantified performance metrics.

• · Ms. Ball chairs the Audit Committee at Oruka Therapeutics and previously served on the boards of Atreca and Forty Seven
• · Ms. Ball earned a Bachelor of Science from Babson College
• · Relcobatinib is being developed for previously treated chronic myeloid leukemia (CML)
• · Enliven recently announced FDA alignment on the final design of ENABLE-2

14-10-2026

Mattel amended the October 2026 offer letter with newly appointed CEO Roger Lynch, moving his start date and equity grants to October 12, 2026 following recent external developments. The amendment also raises his change-in-control severance multiplier from 2x to 2.99x for terminations on or before December 31, 2028 and adds a Section 280G excise tax gross-up. The filing contains no performance metrics, so there is no mixed or declining financial data to report.

• · Start Date moved to October 12, 2026, and equity grants now vest-date to that day rather than the last trading day of the start month
• · Section 280G excise tax gross-up protection added for a change of control on or before December 31, 2028
• · Amendment filed as Exhibit 10.1 to the 8-K; original offer letter and CEO appointment were disclosed in the September 30, 2026 8-K

14-10-2026

On October 13, 2026, Silo Pharma, Inc. (Nasdaq: SILO) entered into an asset purchase agreement with Larry King to acquire software and related intellectual property branded as "Reputation Endpoints," paying consideration of 150,000 shares of common stock subject to a 12-month lock-up (or earlier termination on a Change in Control or Company consent). The filing discloses no cash consideration, purchase price in dollars, or revenue contribution from the acquired software, so its financial materiality cannot be assessed from this document alone.

• · Acquired assets include full source and object code, algorithms, documentation, and derivative works, excluding listed Open Source Software
• · Seller agreed to indemnify the Company for misrepresentation, third-party infringement, and gross negligence, fraud, or intentional misconduct
• · Shares issued in reliance on Section 4(a)(2) private placement exemption, so they are unregistered
• · Exhibit 10.1 omits schedules pursuant to Item 601(b)(10) of Regulation S-K; the Company will furnish them to the SEC on request
• · Lock-up restricts hedging, pledging, swaps, and transfers of the shares during the Lock Up Period

14-10-2026

Corvex, Inc. (formerly Movano Inc., Nasdaq: MOVE) entered into an At-the-Market Sales Agreement with Chardan Capital Markets LLC on October 14, 2026, allowing it to sell up to $250M of common stock from time to time under an effective Form S-3 shelf registration. The Company pays a 2.5% commission on gross proceeds and will use net proceeds for working capital and general corporate purposes; the filing does not disclose current revenue, earnings, or cash position, so the financial condition behind the raise is unassessed.

• · Shares are offered under Form S-3 shelf registration (File No. 333-298769), declared effective by the SEC on September 16, 2026, with a prospectus supplement dated October 14, 2026
• · Exhibit 5.1 opinion from K&L Gates LLP and the Sales Agreement (Exhibit 10.1) are filed with the 8-K
• · Company has no obligation to sell any shares and may suspend the offering at any time
• · Shares may also be sold to the Agent as principal under a separate written terms agreement
• · Company is an emerging growth company, per the cover page

14-10-2026

StubHub extended the maturities of its senior credit facilities: its USD and Euro Term Loan Bs, collectively unchanged in total, now mature in October 2033 (from March 2030), and a portion of its Revolving Credit Facility now matures in October 2031 (from September 2030). The amendment cut borrowing costs on the Term Loans by 25 basis points, reprices USD Term Loan B to SOFR + 450 bps and Euro Term Loan B to EURIBOR + 475 bps, and shifts mix toward USD ($975 million USD Term Loan B vs. 300 million Euro Term Loan B), which the company describes as strengthening its foreign exchange risk profile. Borrowing costs fell but the Term Loans still carry relatively high spreads, and the filing does not disclose operating results or the revolver size.

• · Euro Term Loan B reduced by 152 million euros to 300 million euros, with the total Term Loan amount unchanged
• · Moody's upgraded StubHub's Corporate Family Rating to B2 from B3 in September 2026
• · JPMorgan Chase Bank, N.A. served as Lead Left Arranger and Administrative Agent
• · Debt repayment of $1.1 billion followed the September 2025 IPO

14-10-2026

Future Vision II Acquisition Corp., a Cayman Islands SPAC, issued a $65,000 unsecured, non-interest-bearing promissory note to HWei Super Speed Co. Ltd. dated October 12, 2026, to be deposited into the trust account to fund a one-month extension of its deadline to complete a business combination, from October 13, 2026 to November 13, 2026. The note is convertible into $10.00 units at the payee's option upon consummation of a business combination, subject to a $1,500,000 aggregate cap on similar extension loans, and is forgiven if the company liquidates.

• · Note is unsecured and bears no interest; if the company liquidates without completing a business combination, the note is forgiven and the payee waives all claims against the trust account
• · Payee may not assign or transfer the note before a business combination without the company's written consent
• · Event of default includes failure to pay within five business days of due date or voluntary bankruptcy/insolvency filing
• · Governed by New York law; amendments require signed writing from both parties
• · Filing includes Items 1.01, 2.03, 3.02, 8.01 and 9.01, indicating a material definitive agreement, creation of a direct financial obligation, and unregistered sale of equity securities (conversion feature)

14-10-2026

Five Below, Inc. entered into a Third Amendment to its Fifth Amended and Restated Credit Agreement with Wells Fargo Bank, National Association, as administrative agent and collateral agent, dated October 14, 2026. The amendment extends the facility's maturity date and increases the Aggregate Commitments by $225 Million, from $225 Million to $450 Million, with a new lender joining the facility. The filing does not disclose pricing changes or any negative developments, and it does not describe any covenant breach.

• · The Credit Agreement is a Fifth Amended and Restated Credit Agreement dated April 24, 2020, previously amended on January 27, 2021 and September 16, 2022.
• · The amendment extends the facility maturity date, with the new maturity date not stated in the excerpt.
• · A new lender joins the facility as of the Third Amendment Effective Date, with its commitment amount set out on Schedule 2.01 (Annex C), which is not reproduced in the excerpt.
• · Effectiveness is conditioned on an Amended and Restated Fee Letter, a Disclosure Letter, a legal opinion from Blank Rome LLP, officer certificates, KYC and beneficial ownership documentation, and no Default or Event of Default.
• · The Guarantor, 1616 Holdings, Inc., reaffirmed its guaranty, which covers the Commitment Increase, and the security documents continue to secure all obligations including the increased commitments.
• · The Loan Parties' representations and warranties are stated as of the effective date, with a no-Material-Adverse-Effect certification measured from January 31, 2026.

14-10-2026

Innovative Industrial Properties, Inc. filed Articles Supplementary establishing 2,300,000 shares of 9.25% Series B Cumulative Redeemable Preferred Stock with a $25.00 liquidation preference per share, generating annual dividends of $2.3125 per share. The Series B shares rank senior to common stock, on parity with the 9.00% Series A Preferred Stock, and junior to existing and future debt; they are not redeemable before October 19, 2031 (except for REIT qualification or change-of-control purposes).

• · Dividends are payable quarterly on January 15, April 15, July 15 and October 15, commencing January 15, 2027, and accrue whether or not earnings or funds are available.
• · Series B shares cannot be redeemed before October 19, 2031, except to preserve REIT qualification or under change-of-control provisions in Section 6.
• · From October 19, 2031, the Company may redeem at $25.00 per share plus accrued unpaid dividends on 30 to 60 days' notice.
• · No common stock or junior equity dividends may be paid unless full cumulative Series B dividends for past periods are paid or set aside.
• · Convertible or exchangeable debt securities rank senior to the Series B Preferred Stock prior to conversion or exchange.

14-10-2026

Comtech Telecommunications announced leadership changes ahead of the anticipated closing of the sale of most of its Satellite & Space Communications segment to Gilat Satellite Networks. Richard Nyren (joined October 8, 2026) will succeed Michael Bondi as CFO after the Q1 fiscal 2027 Form 10-Q, currently anticipated by December 10, 2026, and Amy Rothstein-Hovey (joined October 1, 2026) will succeed Don Walther as Chief Legal Officer and Corporate Secretary upon completion of the S&S transaction. Both departing executives are leaving amicably, and no financial performance metrics are disclosed in this filing.

• · Nyren's CFO transition is tied to the filing of the Q1 fiscal 2027 Form 10-Q, currently anticipated by December 10, 2026
• · Rothstein-Hovey becomes Chief Legal Officer and Corporate Secretary immediately after the anticipated S&S transaction completion
• · Bondi and Walther are remaining through transition periods to assist with handover of responsibilities
• · The S&S sale to Gilat was agreed in June 2026 and remains subject to regulatory approvals and customary closing conditions
• · Nyren will be based in Allerium's Broomfield, Colorado office; Rothstein-Hovey in Allerium's Seattle office
• · Rothstein-Hovey currently serves as an independent director of Arlo Technologies

14-10-2026

Andersen Group Inc. (ANDG) disclosed under Item 5.02 that it appointed two longtime senior executives, Daniel DePaoli and Peter Coscia, to its Board of Directors effective October 13, 2026, expanding the Board from 8 to 10 directors. The company characterized the additions as strengthening operational expertise to support its global growth strategy, though the filing contains no quantitative financial performance data.

• · DePaoli has held senior leadership at Andersen since 2002, previously serving as a tax partner at Arthur Andersen, with 30+ years of professional services experience.
• · Coscia oversees operations across the eastern United States and Caribbean, previously served as Managing Director of the Metro New York office, and has 35+ years of experience including roles at Arthur Andersen and Deloitte.
• · The filing states the appointments add operational expertise alongside the existing outside directors' capital markets, governance, and business experience.
• · The company identified organic growth, acquisitions, and global professional services expansion as strategic priorities aligned with the new appointments.

14-10-2026

ZONE Frontier Inc. (filing refers to CleanCore Solutions, Inc. / ZONE) filed unaudited pro forma financial information (Exhibit 99.1) reflecting the 2026 Dispositions of operating assets. Pro forma as of June 30, 2026 shows total assets of $52,797,610 and an estimated gain on sale of $885,579 on a $3,350,000 sale price, while reported net loss of $(174,160,864) is driven largely by a $(116,318,363) change in fair value of digital assets and G&A of $56,492,928. Pro forma net loss is unchanged at $(174,160,864) because the disposed operations' revenue ($3,406,434) and costs are removed, leaving continuing operations with essentially no revenue and an operating loss of $(40,124,133).

• · Continuing operations after the dispositions carry no revenue on a pro forma basis, leaving a pro forma operating loss of $(40,124,133) and a pro forma net loss equal to the reported $(174,160,864).
• · Reported net loss is dominated by a $(116,318,363) unrealized fair-value decline on digital assets, which is not affected by the dispositions.
• · Pro forma cash of $14,597,791 after $837,422 of disposition-related cash outflow; a $3,050,000 non-current related-party note receivable is recorded pro forma.
• · Class A common stock is fully eliminated (0 shares at June 30, 2026 vs 1,875,795 a year earlier), and pro forma stockholders' equity rises to $52,398,387 from $51,512,808.

14-10-2026

Cartesian Growth Corporation II (REEUF), a Cayman Islands SPAC, entered into a $150,000 promissory note with its sponsor, CGC II Sponsor LLC, dated October 12, 2026. The note is non-interest-bearing, is repayable only upon consummation of an initial business combination or effective winding up, and gives the sponsor an option to convert the principal into Working Capital Warrants at $1.00 per warrant. The sponsor has waived any claim against the trust account, so repayment depends on post-combination trust proceeds.

• · Note has no interest accrual; principal is repayable only at the earlier of business combination consummation or effective winding up.
• · Sponsor waived all claims against the IPO/Private Placement trust account, but principal is repaid from trust proceeds released upon business combination.
• · Conversion right is available only if the business combination is consummated; no conversion if principal is repaid in full before maturity.
• · Working Capital Warrants carry registration rights under the May 5, 2022 registration rights agreement and are subject to securities law transfer restrictions.
• · Note is governed by New York law and is non-recourse to individual officers, directors, employees, or shareholders.

14-10-2026

On October 14, 2026, BMW Vehicle Lease Trust 2026-2 closed the issuance of five classes of asset-backed notes totaling $1,250,000,000 in original principal ($223.0M Class A-1, $305.6M Class A-2a, $175.0M Class A-2b, $480.6M Class A-3, $65.8M Class A-4), backed by auto lease receivables originated by BMW Financial Services. The filing discloses entry into a set of transaction agreements (trust supplements, SUBI certificate transfers, indenture, servicing, administration, back-up security and control agreements) that define the structure, servicing and collateral arrangements for the notes. No deterioration in credit or regulatory action is reported.

• · Total original principal of the five note classes is $1.25B, with Class A-3 the largest tranche at $480.6M
• · Class A-2b floats at Benchmark + 0.37%; other classes carry fixed coupons from 4.325% to 5.30%
• · Underwriting Agreement dated October 7, 2026 with BofA Securities, Inc. and a depositor certification were previously filed on October 9, 2026
• · Trust structure includes a SUBI certificate transfer chain (BMW Manufacturing to BMW LLC to the Trust) and an owner trustee appointment (Wilmington Trust)

14-10-2026

FDCTech, Inc. (FDCT) disclosed a Share Purchase Agreement dated October 6, 2026, under which FDCTech, as Buyer, agreed to acquire 100% of Larstal Limited, a UK-incorporated electronic money institution (EMI) licensed by the FCA, from its two Uruguayan shareholders, with AstroPay Global Holdings (Cayman Islands) acting as Guarantor. The filing does not state a headline purchase price in the excerpt; the consideration is described in terms of a Price, Target Cash (EMI Own Funds requirement, minimum EUR 350,000 initial capital), Completion Net Cash adjustments, and Execution Payments. Completion is conditional on prior FCA change-of-control approval, and the target group's contracts with banking partners carry change-of-control provisions, adding execution risk.

• · Completion is conditional on prior FCA approval (or non-objection) of the change of control under FSMA Part XII, submitted via a CIC Application.
• · Larstal Limited is a licensed electronic money institution; its Own Funds must be maintained continuously at no less than the higher of EUR 350,000 and the EMRs calculated amount.
• · A parallel Denmark SPA (dated 6 October 2026) covers the sale of Larstal Denmark ApS to the Buyer, with completion occurring simultaneously.
• · AstroPay Global Holdings assumes the Sellers' obligations as primary obligor under the Guarantor provisions (Recital F, Article 2.3, Schedule 2).
• · Target Cash is defined in USD and must be notified by the Sellers within ten Business Days of the Effective Date; disputes go to an Expert under Schedule 1.
• · Certain Material Contracts, including partnership agreements with OpenPayd and Wallester, are subject to change-of-control or termination provisions listed as Banking Partners.
• · Completion Net Cash (Cash less Debt, excluding safeguarded customer funds) is used to adjust the final consideration and may be positive or negative.
• · Filing is an 8-K with Items 1.01 (Entry into a Material Definitive Agreement) and 9.01 (Financial Statements and Exhibits); the agreement is filed as Exhibit 2.1.
• · Drafting inconsistencies appear in the document, including the Data Room Index referencing 02.10.2016 and the Seller's Indemnities/Warranties cross-references, which may warrant review.

14-10-2026

On October 9, 2026, Toyota Auto Finance Receivables LLC (TAFR LLC) and Toyota Motor Credit Corporation (TMCC) entered into an Underwriting Agreement with five underwriters for the sale of asset-backed notes issued by Toyota Auto Receivables 2026-D Owner Trust, with closing expected on or about October 15, 2026. The aggregate principal of the Class A notes and Class B notes totals approximately $2.52 billion, and the filing is made to satisfy an undertaking to file the forms of the transaction agreements. The filing is a routine ABS shelf issuance with no reported performance deterioration, so no negative or flat performance metrics are presented.

• · Aggregate offered Class A notes total approximately $2.42B, with the Class B notes ($47.5M) retained by the Seller along with the Certificates and unsold Class A tranches
• · Underlying collateral is retail installment sale contracts secured by new and used passenger cars, crossover utility vehicles, light-duty trucks and SUVs, with a cutoff date of August 31, 2026
• · Filing satisfies an SEC undertaking under Form SF-3 shelf registration (File No. 333-281727-08) and includes a Depositor Certification under Regulation S-K Item 601(b)(36)
• · Transaction includes a Securities Account Control Agreement granting the Indenture Trustee control of the Reserve Account under New York UCC

14-10-2026

Netcapital Inc. (NCPLW) received a Nasdaq letter on October 7, 2026 confirming it regained compliance with the $1.00 minimum bid price rule (Listing Rule 5550(a)(2)) after 10 consecutive business days at or above $1.00 (September 23 through October 6, 2026). However, the company remains out of compliance with Listing Rule 5250(c)(1) for failing to timely file its FY2026 Form 10-K (fiscal year ended April 30, 2026) and its Q1 FY2027 Form 10-Q (quarter ended July 31, 2026), with a plan due to Nasdaq by October 23, 2026 and no assurance of acceptance. The company also engaged Adeptus Partners, LLC as its new auditor, which will re-audit FY2022 through FY2026, after prior financial statements for FY2022 through FY2025 were declared unreliable.

• · Nasdaq's October 7, 2026 letter does not address the Rule 5250(c)(1) late-filing deficiency, which remains open
• · Deadline to submit compliance plan to Nasdaq for the late filings is October 23, 2026
• · Fruci & Associates II, PLLC resigned effective August 12, 2026 (previously reported in an August 18, 2026 8-K with Item 4.02 non-reliance disclosure)
• · Company has not completed its evaluation of corrections required and investors are advised not to rely on previously issued FY2022 to FY2025 financial statements
• · Forward-looking statements flag risks including maintaining the $1.00 bid price, completing audits and reviews, financing availability, and Nasdaq's acceptance of the compliance plan

14-10-2026

Akebia Therapeutics announced that Nicholas Grund, Senior Vice President and Chief Commercial Officer, has resigned for personal reasons, effective November 6, 2026. In connection with his departure, Mr. Grund entered into a Consulting Agreement effective on the Resignation Date, under which he will provide consulting and advisory services until April 30, 2027, compensated at an hourly rate.

• · Resignation notice given October 7, 2026; resignation effective November 6, 2026
• · Consulting Agreement signed October 13, 2026, with a consulting period ending April 30, 2027
• · Either party may terminate the consulting arrangement early: the Company with at least 10 days' written notice, or Mr. Grund with at least 30 days' written notice
• · Mr. Grund's consulting compensation is hourly; no dollar amount is disclosed in the filing

14-10-2026

Sabre Financial Borrower, LLC, an indirect wholly-owned subsidiary of Sabre Corporation, settled its cash tender offer for its 11.125% Senior Secured Notes due 2029 on October 13, 2026, after holders tendered $931,583,000 aggregate principal amount (approximately 93.16% of the outstanding notes) as of the October 12, 2026 expiration. The company then redeemed the remaining $68,417,000 of the notes at 109.250% of principal plus accrued interest, retiring the full series. The filing discloses the termination of the related indenture obligations under Item 1.02 by reference to Item 8.01.

• · Tender offer expired at 5:00 p.m. New York City time on October 12, 2026; settlement occurred October 13, 2026
• · Redemption notice was provided to the Trustee on September 28, 2026 under the indenture dated December 5, 2025
• · Filing discloses termination of a material definitive agreement (Item 1.02), with the indenture-related details incorporated from Item 8.01

14-10-2026

Flex (NASDAQ: FLEX) announced on October 14, 2026 that it completed its acquisition of EPC Power, a provider of intelligent power conversion solutions for data center and grid applications, which now sits within the Cloud and Power Infrastructure segment. Flex also reiterated its plan to spin off that segment as an independent public company, Axiom Solutions International, Inc., in the first calendar quarter of 2027. The filing discloses no purchase price, deal value, or financial results for either company.

• · EPC Power has U.S.-based engineering and manufacturing
• · Spin-off proxy statement on Schedule 14A was filed October 5, 2026 and mailed to shareholders for approval
• · Axiom has filed a Form 10 registration statement with the SEC for its common stock
• · The spin-off is intended to qualify for expected tax-free treatment for U.S. federal income tax purposes

14-10-2026

Nordicus Partners Corporation (NORD) entered into a $75,000.00 demand promissory note dated October 8, 2026, under which the company is the Maker and AC Nordic ApS, a Danish private limited company, is the Payee. The note accrues interest at the lesser of 6.0% per annum or the maximum lawful rate, is payable on demand, and may be prepaid at any time without penalty or premium. The filing discloses the obligation under Items 1.01 (Material Agreement Entry) and 2.03 (Creation of a Direct Financial Obligation).

• · Note is payable on demand; the payee may declare the full principal and accrued interest immediately due upon an Event of Default, including non-payment or a bankruptcy/insolvency petition filing
• · Maker must pay costs of collection, including reasonable attorneys' fees, if the note is not paid when due or an Event of Default occurs
• · Note is governed by California law; Maker may not assign obligations without Payee's consent, while Payee may assign only to an affiliate without Maker's consent
• · Filing is Items 1.01, 2.03 and 9.01 (exhibit 10.1), indicating a direct financial obligation was created

14-10-2026

Alector, Inc. (ALEC) disclosed that its Board approved an option repricing on October 13, 2026, covering roughly 4.05 million stock options held by continuing employees with exercise prices above $1.87. Eligible options were repriced to $1.87 per share, the closing price on the Effective Date, subject to a one-year Retention Period during which exercise requires payment of the original, higher exercise price. The repricing addresses a situation in which a majority of employee options were underwater.

• · Original exercise prices for the CEO's repriced options ranged from $6.48 to $23.70 per share; the CAO's ranged from $9.46 to $23.70 per share.
• · Previously outstanding exercise prices for repriced options ranged from $6.48 to $33.11 per share.
• · Retention Period ends at the earliest of one year after the Effective Date, a Change in Control, or the holder's death or Disability.
• · Expiration dates, vesting criteria, and share counts of the Eligible Options were unchanged by the repricing.