US Material Events SEC 8-K Filings — October 15, 2026

15-10-2026

FreightCar America, Inc. entered into an agreement dated October 14, 2026 with three OC III entities (OC III LVS XII LP, OC III LVS XXVIII LP, and OC III LFE II LP), which are holders of its Common Stock. The agreement terminates the Company's existing Stockholder Rights Plan dated August 5, 2026, commits the Company not to adopt future rights plans with an Acquiring Person threshold below 20%, and restricts stockholder transfers that would make a buyer a Material Holder (above 20% of fully diluted share capital) without prior written notice to the Board. The excerpt provided does not disclose any dollar amounts, financial results, or quantitative performance metrics.

• · The Stockholder Rights Plan is the Rights Agreement dated August 5, 2026 between the Company and Computershare Trust Company, N.A.; the Company represented that no Acquiring Person exists and no Distribution Date has occurred as of the agreement date.
• · Stockholder Rights Plan termination is triggered upon execution of the agreement.
• · The Company is restricted from adopting future rights plans with an Acquiring Person threshold below 20%.
• · Stockholders must give the Board written notice before selling Subject Shares to a buyer who would become a Material Holder, including share amount, price, general terms, and transferee identity.
• · The restrictions apply until a Termination Date, which is defined in the full agreement but not in the excerpt provided.
• · PIMCO-affiliated entities are carved out from being treated as Affiliates of the Stockholder in certain contexts, and passive holdings by PIMCO-managed vehicles are not treated as affiliation absent intent to control.
• · Filing items 1.01, 1.02, 3.03, and 9.01 indicate entry into a material definitive agreement, termination of a material agreement (the rights plan), a material modification to shareholder rights, and inclusion of exhibits.

15-10-2026

ALX Oncology Holdings entered into privately negotiated exchange agreements on October 14, 2026, under which certain stockholders agreed to surrender an aggregate of 13,353,384 shares of common stock in exchange for pre-funded warrants to purchase the same number of shares, settling on or about October 15, 2026. The largest participant, funds affiliated with Blackstone Annex Master Fund L.P., accounts for 12,885,891 shares. The filing does not disclose any cash proceeds, so the transaction is a restructuring of existing holdings rather than new capital raised.

• · Exchange relies on the Section 3(a)(9) exemption from registration under the Securities Act, which covers exchanges of securities with existing holders and requires no new cash consideration
• · Pre-funded warrants can be exercised for cash or on a cashless basis and carry 4.99% or 9.99% beneficial ownership blockers, adjustable up to 19.99% with 61 days' notice
• · Exhibits filed: Form of Pre-Funded Warrant (Exhibit 4.1), Form of Exchange Agreement (Exhibit 10.1), and Inline XBRL cover page (Exhibit 104)

15-10-2026

Cronos Group Inc. (NASDAQ/TSX: CRON) completed its acquisition of CanAdelaar B.V., the largest operator in the Netherlands' Wietexperiment adult-use cannabis pilot, for a base purchase price of €57.5 million plus cash contingent consideration of 0.5x Normalized EBITDA in each of 2026 and 2027. The base price represents about 1.4x annualized net revenue and 2.9x annualized Adjusted EBITDA based on 1H 2026. However, CanAdelaar's performance is declining: annualized Adjusted EBITDA fell to €20.1 million for 1H 2026 from €24.2 million in the twelve months ended September 30, 2025, reflecting increased competition now that all licensed producers are operating.

• · CGM B.V. waived all contractual closing conditions via an addendum immediately before closing
• · Ring International Holding AG provided additional indemnities for certain regulatory and environmental matters, subject to contractual limitations
• · Base price is before closing and post-closing adjustments, including CanAdelaar's net debt position
• · Interim government report on the Wietexperiment (September 2026) described initial experiences as predominantly positive, though WODC noted effects are not yet firmly determinable
• · Wietexperiment is limited to ten municipalities excluding Amsterdam, covering about 1.7 million residents of 18.1 million in the Netherlands
• · Wietexperiment prohibits import, export, and inter-producer sales of cannabis

15-10-2026

J.W. Mays, Inc. promoted Controller Kevin J. Guptar to Chief Financial Officer and Treasurer on October 13, 2026, filling the vacancy left by the September 25, 2026 retirement of Ward Lyke, Jr. Guptar receives an annual base salary of $232,000 plus a discretionary bonus, and had already been serving as Principal Financial and Principal Accounting Officer since Lyke's retirement. The filing discloses no financial results or quantitative performance metrics for the period.

• · Lyke retired as CFO and Treasurer effective September 25, 2026; Guptar began serving as Principal Financial Officer and Principal Accounting Officer immediately upon Lyke's retirement, before the October 13, 2026 Board action
• · Guptar, age 46, joined the Company in November 2021 as Controller and is a New York State Certified Public Accountant
• · Guptar previously was Controller of a private real estate partnership (2017–2021), held accounting roles there (2011–2014), and was a Finance Professional at the Metropolitan Transportation Authority (2014–2016)
• · No arrangements or family relationships tied to the appointment; Guptar has no material interest in any Item 404(a) related-party transaction and is eligible for indemnification under the bylaws

15-10-2026

Penske Automotive Group (PAG) announced a merger agreement to be taken private by Motown Acquisition Corp., an entity owned by Penske Corporation and Mitsui & Co., with holders (other than the investor group) receiving $212.00 per share in cash, implying an enterprise value of approximately $16.3 billion. The deal is expected to close in Q1 2027, subject to regulatory approvals and shareholder votes including a majority-of-unaffiliated-votes condition, and is not subject to a financing condition. The release also notes that committed debt financing availability is a listed risk, and that PAG will stop trading on the NYSE upon closing.

• · Transaction requires approval by a majority of outstanding common shares and a majority of votes cast by unaffiliated stockholders
• · Company expects to continue regular quarterly dividends through closing, capped at $0.02 per share above the prior quarter's dividend
• · Q3 2026 earnings will be released October 28, 2026 with no earnings conference call
• · Filing lists risks including possible unavailability of Buyer's committed debt financing and shareholder litigation
• · Mitsui has been a PAG shareholder for 25 years

15-10-2026

Gibraltar Industries (Nasdaq: ROCK) agreed to sell its Infrastructure business, D.S. Brown, to Saint-Gobain for $208 million in cash, subject to customary post-closing adjustments, with closing expected in Q4 2026 pending customary conditions and regulatory approvals. Management said the sale advances its portfolio simplification toward building products and structures, and that proceeds will be used to accelerate debt reduction. The filing does not disclose any current-period or prior-period financial results, so no period-over-period performance comparison can be made; management will update its 2026 outlook with the third quarter 2026 report.

• · Transaction expected to close in Q4 2026, subject to customary closing conditions and required regulatory approvals
• · Management characterizes the transaction as highly tax efficient, with gross proceeds maximized for debt reduction
• · Moelis & Company LLC is exclusive financial advisor; Polsinelli is legal counsel
• · Third quarter 2026 report timing to be announced separately; 2026 outlook to be updated then

15-10-2026

Profusa, Inc. (NVACW) issued a Senior Secured Convertible Promissory Note dated October 15, 2026 to Ascent Partners Fund LLC, with a principal amount of $769,230.77 for a purchase price of $700,000.00 (an original issue discount of $69,230.77), maturing October 15, 2027 or the Option Closing Date, whichever is earlier. The note is issued under a Securities Purchase Agreement dated February 11, 2025 and carries a default rate of 18% per annum, with conversion pricing tied to an Adjusted Floor Price and an Amortization Price set at 95% of the lowest 10-day VWAP. The filing contains no revenue, earnings, or operating performance data, so the period-over-period comparison requested by the framework cannot be completed from this exhibit.

• · Note matures October 15, 2027 or on the Option Closing Date, whichever is earlier, with repayment in cash unless otherwise permitted
• · Amortization Price is the lower of the Conversion Price and 95% of the lowest VWAP over the prior ten trading days, a structure that can pressure the share price through conversions
• · Note was issued with original issue discount under Treasury Regulation §1.1275-3(b)(1), with OID information available to the holder from ten days after issuance
• · Note is unregistered under the Securities Act of 1933 and may not be sold or pledged absent registration or an exemption
• · Note is secured and subordinate terms are governed by the Customary Permitted Liens definition, indicating a senior secured position

15-10-2026

Hain Celestial appointed Patricia Ferrari and Richard Shinder as independent directors on October 11, 2026, while directors Shervin J. Korangy and Carlyn R. Taylor resigned effective October 9, 2026, citing other commitments rather than disagreements. Separately, the company disclosed that a closing condition for the pending sale of its International business to AURELIUS was not satisfied: the lender credit agreement amendment was due by October 12, 2026, and the deal remains under discussion with AURELIUS and lenders. The company has not disclosed a revised timeline.

• · Ferrari joins the Compensation and Strategy Committees; Shinder joins the Audit and Strategy Committees
• · The Board determined both new directors are independent under Nasdaq and SEC rules
• · Korangy resigned due to his appointment as CEO of Fresenius Medical Care; Taylor cited her CEO role at Sirva; neither resignation involved a disagreement with the company
• · The International Business Transaction covers UK, Ireland and European operations, including brands such as Ella's Kitchen, Joya, Natumi, Hartley's, Cully & Sully, Yorkshire Provender and New Covent Garden
• · The company is also in discussions with lenders about its capital structure and says it is evaluating all available paths

15-10-2026

Venture Global entered into power and grid frame agreements with GE Vernova and Baker Hughes Energy Services for up to 16 new 720 MW power island units and associated transformer equipment, expanding its behind-the-meter Island-Mode power network. The framework targets up to 10 GW of compute capacity at company-owned or controlled sites by the end of 2034, with the first power island purchase order currently expected by end of 2026, while the company stresses that LNG operations and existing commitments are unaffected. The filing is forward-looking and conditional: it sets up a framework rather than a committed purchase, and the company expects to order additional capacity only as customer commitments and commercial arrangements are established.

• · Company plans to file its first permit applications with federal, state, and local regulators the week of the announcement
• · Expansion would place no added demand on the public electric grid or public water utilities, per the company
• · Any third-party development of Island Mode capacity would be separate from LNG operations and would not affect LNG sales agreements
• · Reservation agreements under the framework would lock in agreed pricing and delivery terms but preserve flexibility on timing and scope

15-10-2026

MongoDB disclosed compensation arrangements for interim President and CEO Dev Ittycheria, appointed effective September 28, 2026, including a $500,000 base salary, a $500,000 sign-on bonus, a 70% target bonus ($350,000), and a $15,000,000 RSU grant vesting quarterly through October 1, 2027, superseding his prior advisory agreement. The filing also discloses a $10,000,000 service-vesting RSU retention award to CFO Michael Berry, vesting in three installments through April 1, 2028. The disclosure is primarily a leadership-continuity and retention update with no reported change to financial results.

• · Interim CEO's employment agreement supersedes his October 29, 2025 advisory agreement, which will have no further force or effect
• · Interim CEO's continuous service must last at least 12 months from a new CEO's start date, and not terminate before April 1, 2028
• · Change-in-control severance for the Interim CEO includes 12 months of cash-eligible target bonus, prorated bonus, and full or performance-based equity acceleration
• · CFO's RSUs vest in full upon termination without cause or for good reason, subject to a release of claims
• · Full text of the Employment Agreement and Retention Agreement will be filed with the 10-Q for the quarter ending October 31, 2026

15-10-2026

Boumarang Inc. dismissed LAO Professionals as its independent registered public accounting firm effective October 12, 2026, after LAO announced it was transitioning its California-based audit clients to U.S.-based firms. The Board engaged Simon & Edward, LLP (Rowland Heights, CA; PCAOB ID 2485) to audit FY2026 and review the Q3 2026 interim statements. The change follows LAO's prior going-concern explanatory paragraph and material weaknesses in internal control disclosed in the Q2 2026 10-Q, though the filing states there were no disagreements with LAO.

• · LAO's audit reports for FY2025 and the 2024 inception period carried a going-concern explanatory paragraph (substantial doubt about ability to continue as a going concern).
• · Material weaknesses in internal control over financial reporting, including inadequate segregation of duties and lack of formally documented internal control policies, were reported as of June 30, 2026, and were discussed with LAO.
• · The Company has no audit committee; the Board of Directors performs audit committee functions.
• · LAO's letter to the SEC is dated October 14, 2026 (Exhibit 16.1), while the Exhibit index describes it as dated October 15, 2026.
• · Boumarang Inc. is an emerging growth company, incorporated in Delaware, headquartered at 200 Spectrum Center Drive, Irvine, CA.

15-10-2026

Brookfield Private Equity Fund LP, as Borrower, entered into a $200 Million Revolving Credit Agreement dated October 9, 2026, with GLAS USA LLC as Administrative and Collateral Agent, Canadian Imperial Bank of Commerce as Lead Arranger, and a syndicate of Lenders. The facility is secured by Collateral and carries an Applicable Margin of 3.15% per annum over Term SOFR (2.15% over the Alternate Base Rate), with a 3.40% margin on PIK Interest. The excerpt provided covers definitions only; operative terms such as maturity, fees, and covenant levels are not visible in the text supplied.

• · Credit Agreement dated October 9, 2026 and filed as Exhibit 10.1 to an 8-K with Items 1.01, 2.03 and 9.01, indicating a material definitive agreement and creation of a direct financial obligation
• · Stated purpose is general corporate purposes, with Borrower granting a pledge of Collateral to the Collateral Agent
• · Loan Documents include Notes, Assignment and Assumption Agreement, Facility Increase Request, Subordination Agreement, Compliance Certificate, and LTV Certificate, with an accordion mechanism for increasing the Maximum Commitment (Section 2.11)
• · Excerpt includes Affiliate Redemption and Annual Valuation Report definitions, indicating LTV and valuation-based collateral monitoring

15-10-2026

Blue Owl Capital Inc. disclosed Amendment No. 4, dated October 14, 2026, to its Amended and Restated Credit Agreement originally dated June 15, 2022, with MUFG Bank, Ltd. as Administrative Agent. The amendment adds revolving commitments from four new lenders (Goldman Sachs Lending Partners LLC, Mizuho Bank, Ltd., BNP Paribas and The Bank of New York Mellon) and increases existing lenders' revolving commitments, with effectiveness subject to conditions precedent including delivery of audited FY2025 and interim 2026 financial statements. The filing does not disclose the specific aggregate commitment amounts, pricing, or maturity changes in the excerpt provided.

• · Borrower is Blue Owl Finance LLC; Parent Guarantors are Blue Owl Capital Holdings LP and Blue Owl Capital Carry LP
• · Effectiveness is conditioned on audited FY2025 financial statements and unaudited interim statements for quarters ended March 31, 2026 and June 30, 2026
• · Legal opinion to be delivered by Kirkland & Ellis LLP as counsel to the Loan Parties
• · Existing lenders must reallocate exposure so each lender's share matches its Aggregate Exposure Percentage
• · Loan Parties reaffirmed all obligations under the Existing Credit Agreement and Loan Documents, which remain in full force

15-10-2026

MSD Investment Corp. issued $350,000,000 aggregate principal amount of 6.875% unsecured notes due October 15, 2029 under a Fourth Supplemental Indenture with U.S. Bank Trust Company, National Association, closing October 15, 2026 in a Rule 144A/Regulation S private placement. Concurrently, the company entered into a $350,000,000 notional interest rate swap receiving 6.875% fixed and paying 3-month daily compounded SOFR plus 2.138%, to align its floating-rate liabilities with its predominantly floating-rate loan portfolio. Net proceeds are expected to repay existing debt facility borrowings and fund general corporate purposes, including portfolio investments.

• · Registration Rights Agreement requires an exchange offer registration statement, with the exchange to be consummated no later than 365 days after initial issuance; failure triggers additional interest payable to holders
• · Change of control repurchase event requires both a change of control and a below investment grade rating by both Fitch and Moody's
• · Notes contain a covenant to comply with Section 18(a)(1)(A) as modified by Section 61(a) of the Investment Company Act of 1940, giving effect to any SEC exemptive relief
• · The Trustee also serves as the company's custodian under a separate custody agreement for customary fees
• · The Notes are direct unsecured obligations of the company and have not been registered under the Securities Act

15-10-2026

OPKO Health's subsidiary BioReference Health, LLC, together with OPKO as Seller Parent, entered into an Asset Purchase Agreement dated October 14, 2026 to sell a defined set of Business assets, including the 4Kscore prostate cancer test, its PMA, the 4Kscore trademark, and BioReference/GenPath laboratory operations, to Laboratory Corporation of America Holdings (LabCorp). The filing discloses the agreement's structure, but the purchase price figures, closing timing, and indemnification amounts are not included in the excerpted text provided, so the economic terms cannot be quantified from this document alone. OPKO retains an Excluded Business and certain excluded assets, including cash, receivables, and Add-On Testing Services arrangements.

• · The Business includes clinical and anatomic pathology testing marketed as BioReference and GenPath.
• · Purchased Assets include Business Contracts, transferring real property leases, inventory, equipment, customer data, Material Permits, IT assets, Test IP, and the FDA premarket approval (PMA) for the 4Kscore Test.
• · Excluded Assets include cash, accounts receivable for pre-closing services, Seller Parent benefit plans, Medicare/Medicaid provider numbers, and equity interests in Seller Parent's subsidiaries.
• · Agreement contemplates a Transition Services Agreement, an escrow arrangement, and a tail insurance policy, and includes restrictive covenants and a cybersecurity audit closing condition.
• · The OIG Determination had been obtained as of the Agreement Date, per the recitals.

15-10-2026

The Crypto Company (CRCW) entered into Subscription Agreements on October 9, 2026 with James Smittkamp and Three Mile Creek Future LLC to sell an aggregate of 97,165,533 common shares for a total purchase price of $75,000, consisting of $65,000 in cash and 3.4683 ETH, in an unregistered private placement under Regulation D Rule 506(b). The Company's Chief Strategy Officer, Rafael Furst, is the managing member of Three Mile Creek Future LLC, making this a related-party issuance. The modest dollar amount relative to the share count implies a very low per-share price, which is a notable dilution signal for existing holders.

• · Approximately 97.2 million shares were issued for $75,000, an implied average price of roughly $0.0008 per share, indicating substantial dilution relative to the price per share.
• · The transaction is a related-party issuance because the Chief Strategy Officer manages one of the two investors.
• · The Company accepted ETH as partial consideration, with ETH valued at fair market value fixed on the execution date.
• · Investors represented accredited investor status; securities are restricted and carry investment-intent legends.
• · The filing was dated October 13, 2026, four days after the October 9, 2026 execution date.

15-10-2026

Perfect Moment Ltd. (PMNT) entered into a Second Amendment and Limited Waiver to its existing loan agreement with X3 Higher Moment Fund LLC on October 9, 2026, increasing the aggregate principal amount from $10,000,000 to $11,500,000, an increase of $1,500,000 (15%). The original loan dated March 30, 2026 was also extended to Krane Capital, LLC as a participant. The filing discloses the amendment and waiver terms by reference to Exhibit 10.1 and does not describe the waiver terms, pricing, or maturity changes in the body text.

• · The amendment includes a limited waiver, indicating the company sought relief from one or more loan covenants or conditions; the specific waived provisions are not described in the filing body.
• · The loan is a 2026 facility, with the amendment executed roughly seven months after the original March 30, 2026 agreement.
• · Filing is made under Items 1.01 and 9.01; the full amendment is provided as Exhibit 10.1 and an XBRL cover page as Exhibit 104.
• · Company trades on the OTCQB Venture Market under ticker PMNT and is an emerging growth company.

15-10-2026

ClearOne Inc. entered into a non-interest-bearing, unsecured loan agreement with First Finance Ltd. effective October 7, 2026, covering a US$200,000 advance made to the company on that same date. The loan has no fixed maturity; repayment is due on a Repayment Date to be agreed in writing, and the borrower may prepay at any time without penalty. The filing discloses no operating results or other financial metrics for ClearOne.

• · Loan is unsecured and bears no interest; there is no fixed term or maturity date
• · Event of Default includes failure to pay within five Business Days after written notice, assignment for benefit of creditors, liquidation/dissolution, receivership, or insolvency proceedings not dismissed within 60 days
• · Automatic acceleration applies upon assignment for benefit of creditors, liquidation, receivership, or insolvency events; other defaults accelerate upon written demand
• · Governed by Nevada law with exclusive jurisdiction of Nevada courts; the lender was advised to obtain independent counsel because Cozen O'Connor LLP represents only the borrower

15-10-2026

Exascale Labs Holdings Inc. (Nasdaq: XLAB), the former SPAC D. Boral ARC Merger Corp, entered into a purchase and sale agreement dated October 8, 2026 with Sunon Inc., a U.S. subsidiary of Sunonwealth Electric Machine Industry Co., Ltd. (TWSE: 2421), to sell 12 NVIDIA HGX B300 GPU servers (96 GPUs) with network equipment, deployment services, and 36 months of IT operation services for a total contract value of US$8,208,000 exclusive of import duties and taxes. Delivery is contingent on receipt of the 30% down payment, chip manufacturer approval, and export/import authorizations, and the filing does not disclose any offsetting negative or flat metrics.

• · Buyer's purchase order is due within five business days after the PSA effective date, creating a near-term milestone
• · Company's delivery obligation is conditioned on down payment receipt, chip manufacturer approval, and export/import authorizations
• · Certain exhibits, schedules, and portions of Exhibit 10.1 were omitted or redacted under Regulation S-K Items 601(a)(5) and 601(b)(10)(iv)
• · Filing discloses no revenue recognition, margin, or comparative period financials for the transaction

15-10-2026

Cantor Equity Partners V, Inc. (Nasdaq: CEPV) appointed Robert Hochberg to its Board of Directors effective October 14, 2026, as a Class II director, with seats on the audit and compensation committees. Hochberg is President and CEO of Numeric Computer Systems, Inc. and receives $50,000 per year in director compensation, paid quarterly. The filing discloses no negative or flat financial metrics, as it contains no financial results.

• · Hochberg has served as President of Numeric since June 1984 and as CEO since November 1994
• · Hochberg is a director of Lightwave Acquisition Corp. (since June 2025) and Cantor Equity Partners VI, Inc. (since February 2026)
• · Prior SPAC board roles include successful business combinations with GCM Grosvenor, View, AEye, XBP Global, Twenty One Capital, and AIR Global PLC
• · Company states Hochberg is qualified based on extensive business management experience
• · No family relationships exist between Hochberg and any director or executive officer

15-10-2026

Establishment Labs Holdings Inc. (ESTA) entered into Amendment No. 3 to its Master Supply Agreement with NuSil Technology LLC, effective January 1, 2027, through its subsidiary Establishment Labs, S.A. The amendment extends the initial term from December 31, 2026 to December 31, 2031, with up to five automatic one-year renewals, and revises provisions covering medical-grade silicone supply, payment terms, business continuity, intellectual property, and pricing. The filing discloses the agreement's structure but no dollar values, so its financial impact cannot be quantified from this document.

• · Non-renewal notice must be given no later than December 31 of the year before expiration of the initial or then-current renewal term
• · Exhibit 10.1 has redacted portions under Item 601(b)(10) of Regulation S-K, indicating the company treats certain terms as confidential
• · The agreement covers NuSil's manufacture and sale of medical-grade silicone, a supply dependency for ELSA's products

15-10-2026

Ocugen, Inc. (NASDAQ: OCGN) executed an exclusive license agreement with Roots Pharmaceutical and its strategic partner Al-Dhow International Holding for OCU400, its modifier gene therapy for retinitis pigmentosa (RP), in the Middle East and North Africa (MENA) region. Ocugen will receive an upfront license fee and initial development milestone payments of up to $4 million, potential sales milestones of up to $255 million, and royalties equal to 22% of OCU400 net sales, while also manufacturing and supplying the commercial product under a related supply agreement. The filing does not report any current revenue, earnings, or financial results; the economics are contingent and milestone-based, and the product remains in Phase 3 with topline data expected in Q1 2027.

• · Ocugen will manufacture commercial supply of OCU400 under a related supply agreement, adding a manufacturing revenue stream not quantified in the filing
• · Roots Pharmaceutical was founded in Kuwait in 2006, has 30+ global partners and a $300M+ product pipeline, and is ISO 9001:2015-certified
• · Phase 3 liMeliGhT trial topline readout expected Q1 2027, followed by planned BLA (U.S.) and MAA (Europe) submissions
• · Filing does not disclose a split between the upfront fee and the development milestones within the $4 million aggregate
• · Roots and Ocugen have discussed exploring further collaboration across Ocugen's ophthalmology pipeline, which is not part of this agreement

15-10-2026

Auditor Bansal & Co LLP resigned effective immediately and withdrew its audit reports for fiscal years 2019 through 2025 and subsequent interim periods, stating those financial statements can no longer be relied upon. The resignation followed a August 11, 2026 Nevada District Court order finding the company's custodian was improperly appointed and that related party transactions are void ab initio. Jacob Sherman was appointed Custodian on October 12, 2026 after the company had no directors, officers, or custodian for roughly two months, and no financial figures for the period were disclosed in this filing.

• · Bansal's resignation letter is dated September 10, 2026; Bansal delivered a Section 10A(b) letter on August 20, 2026 and furnished it directly to the SEC Office of the Chief Accountant on August 26, 2026 because the company could not respond
• · Bansal has not performed audit procedures or issued reports for the quarter ended September 30, 2026 or fiscal year ending December 31, 2026
• · Company proposes to reappoint Bansal as its independent auditor going forward despite the resignation and withdrawal of prior reports
• · Filing identifies two Item 304(a)(1)(v) reportable events: inability to rely on management representations (B) and unresolved material effect on financial statements (D)
• · Filing has internal inconsistencies: it is titled Globaltek Ventures, Inc. with a 2026-08-11 period date while metadata references Ameritek Ventures (ATVK), and the signature is dated October 14, 2026 against a filing date of October 15, 2026

15-10-2026

Everest Consolidator Acquisition Corporation, a Delaware special purpose acquisition company (SPAC), filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation, signed October 14, 2026, that extends its Termination Date for completing an initial Business Combination to December 31, 2027. The amendment was approved by stockholders under Section 242 of the DGCL and specifies that if no business combination is completed by the Termination Date, the company will cease operations, redeem 100% of Offering Shares at a per-share trust-based price, and dissolve. The filing is principally a governance and timeline amendment, and the exhibit itself does not disclose a completed or signed acquisition target.

• · Original Certificate of Incorporation filed March 8, 2021; Amended and Restated Certificate filed November 23, 2021
• · Amendment adopted under Section 242 of the Delaware General Corporation Law by stockholders holding the requisite shares
• · Redemption price per share is the Trust Account balance (including interest, net of taxes and up to $100,000 for dissolution) divided by outstanding Offering Shares
• · Dissolution after redemption is subject to remaining stockholder and Board approval and creditor claim obligations under the DGCL

15-10-2026

Hamilton Lane announced that Hartley Rogers, a director since 2004 and Board Chairman, has been named Co-Chief Executive Officer alongside Juan Delgado-Moreira, who has been Co-CEO since January 1, 2024. Erik Hirsch, previously Co-CEO, moves to the new role of Executive Co-Chairman to lead strategic initiatives while remaining on the Board. The announcement is framed as a leadership evolution rather than a change in strategy, with no financial results or guidance disclosed.

• · Rogers will remain Chairman of the Board while serving as Co-CEO
• · Hirsch will continue speaking publicly for the firm, including on media and earnings calls, and remains a Board member
• · Delgado-Moreira is based in Hong Kong and Rogers in the U.S., with the two working across time zones
• · Hirsch previously held roles as Chief Investment Officer and Vice Chairman before becoming Co-CEO

15-10-2026

ManpowerGroup's Board of Directors elected Becky Frankiewicz, currently President and Chief Strategy Officer, as Chief Executive Officer effective January 1, 2027, and she will also join the Board. Jonas Prising, CEO since 2014, will transition to Executive Chair. The announcement presents the change as part of long-term succession planning, with no financial results or performance metrics disclosed in the release.

• · Frankiewicz joined ManpowerGroup in July 2017 as President of North America and was elevated to President and Chief Strategy Officer in June 2025 from Chief Commercial Officer and President of ManpowerGroup North America.
• · Frankiewicz has served on the Board of Directors of Energizer Holdings, Inc. since January 2020.
• · Frankiewicz will be the fifth CEO in the company's almost 80-year history.

15-10-2026

Vivos Therapeutics (Nasdaq: VVOS) entered a definitive Mutual Stock Purchase and Asset Exchange Agreement to acquire an 11% fully diluted equity interest in SOD Sciences, Inc. and a 50% undivided co-ownership interest in SOD's pseudohypoxia early-warning test, in exchange for 12,000 shares of newly created Series C Convertible Preferred Stock with a stated value of $12 million and no cash consideration. Management expects the transaction to increase stockholders' equity, which could support its efforts to regain compliance with Nasdaq's minimum stockholders' equity requirement, but closing remains subject to auditor concurrence, consent of the Series B preferred holder, and Nasdaq notification, and the test's clinical utility and revenue potential are unproven.

• · Preferred stock convertible at a fixed $0.15 per share, representing up to 80 million common shares, with no redemption right, cash-settlement requirement, price-reset provision, or warrants
• · Conversion above the 19.99% exchange cap requires stockholder approval, which the Company intends to seek at its next annual general meeting
• · Closing is conditioned on auditor concurrence, consent of the Series B Non-Convertible Preferred Stock holder, and Nasdaq notification, with expected closing on or about October 15, 2026
• · Management targets positive cash flow and profitability in early 2027 and intends to raise capital after clearing the equity milestone
• · Cleveland Clinic Weston relationship is based on an MOU contemplating an IRB-approved study comparing CARE oral appliances with CPAP; no definitive agreements exist yet
• · Vivos' oral-appliance FDA clearances do not extend to the SOD test, and clinical validation is a central unresolved requirement
• · Filing explicitly states contribution margin should not be equated with consolidated revenue, net income, or cash flow

15-10-2026

AtlasClear Holdings (NYSE American: ATCH) signed a definitive agreement to acquire Ark Financial Services, parent of Dawson James Securities, and completed an initial 24.9% equity purchase for $2.5 million in cash and a $2.5 million seller note, with no AtlasClear shares issued at signing. Full acquisition consideration is up to $24.5 million, including approximately $13.8125 million in AtlasClear common stock at closing, subject to FINRA and stockholder approvals. The company presents combined total revenues plus interest income of approximately $47.0 million, a non-GAAP figure that mixes different fiscal periods and is not pro forma, while AtlasClear standalone revenue plus interest income was $21.9 million.

• · Combined figures are an arithmetic sum of non-aligned fiscal periods (AtlasClear FYE June 30, 2026; Dawson James FYE December 31, 2025), are not pro forma under Article 11 of Regulation S-X, and exclude acquisition accounting, transaction costs, and intercompany eliminations.
• · AtlasClear interest income declined about 10% year over year ($2.0M to $1.8M), a flat-to-declining line not highlighted in the headline growth figures.
• · Dawson James net capital was $3.6M at July 31, 2026, down from $14.4M at AtlasClearing on June 30, 2026, and the two figures are measured on different dates and entities.
• · Completion is conditional on FINRA approval of Dawson James's continuing membership application under Rule 1017, stockholder approval where required by the NYSE American Company Guide, and other closing conditions; the 75.1% remaining stake is not yet acquired.
• · Because Bob Keyser, Ark's majority owner, is an AtlasClear director, the transaction was approved by the independent directors, a related-party consideration.
• · The release is a press release (Exhibit 99.1) and states that the 8-K itself will provide more complete information; the financial figures are supplemental, non-GAAP and unaudited for Ark.
• · Ticker discrepancy: the release lists the exchange ticker as ATCH, while the filing context references ATCHW.

15-10-2026

Recursion announced that Sanofi has optioned the first development candidate from their multi-program research collaboration, a potential first-in-class oral small-molecule dual-targeting inhibitor for inflammatory disease, with Phase 1 trials planned to begin in 2027. The option triggered a $10 million milestone payment, bringing total upfront and milestone payments received under the collaboration to $144 million, with more than $300 million in additional milestones and low double-digit royalties on net sales potentially available if approved. The filing disclosed no negative or flat financial metrics; the press release is forward-looking and promotional in nature.

• · Phase 1 clinical trials for the candidate are expected to begin in 2027, with Sanofi funding and leading further development and commercialization
• · The $10M milestone ends Recursion's operational requirements for this candidate; all future payments are expected to be profit to Recursion
• · Over the next 12 months, other programs in the joint portfolio have potential to reach development candidate and other progress-based milestones
• · The filing contains forward-looking risk disclosures, including that Sanofi may delay, deprioritize, or discontinue development of the optioned candidate

15-10-2026

Conduent Business Services, LLC and affiliated borrowers entered into Amendment No. 4 to the Credit Agreement dated October 14, 2026, with Bank of America, N.A. as Administrative Agent. The amendment revises the Maturity Date definition for the Non-Extended Revolving Credit Commitment, which is set to October 30, 2026, a date the filing describes as five years after the Closing Date, and the Non-Extended Maturity Date is the central term being modified; the filing does not state a new extended maturity date in the excerpt provided. The amendment becomes effective on the first Business Day after the Administrative Agent receives executed signature pages from the Borrowers, Holdings, Loan Parties, the Administrative Agent, Non-Extending Revolving Lenders, and Required Lenders.

• · The Existing Credit Agreement, originally dated October 15, 2021, was previously amended by Amendment No. 1 (May 9, 2023), Amendment No. 2 (September 6, 2023), and Amendment No. 3 (August 26, 2025).
• · The 2025 Extended Revolving Credit Commitments and Performance L/C Participation Commitments have maturity dates three years after the Amendment No. 3 Effective Date.
• · Amendment No. 4 is classified as a Loan Document, and the Loan Parties made customary representations including no Default or Event of Default.
• · The filing describes the amendment as extending the Non-Extended Maturity Date, which the exhibit text suggests is a maturity extension, though the new date is not explicitly stated in the excerpt.

15-10-2026

Verra Mobility announced that CFO Craig Conti will step down as EVP and Chief Financial Officer effective November 4, 2026, to join a private company outside the company's industry. The Board has engaged Spencer Stuart to search for a permanent CFO and expects to appoint an interim CFO; the company states the departure is unrelated to its financial or operating results or to any accounting disagreements. The company reaffirmed its full-year 2026 outlook issued August 5, 2026, will report Q3 2026 results before market open on October 30, 2026, and will not host a conference call for that release.

• · Mr. Conti's departure is effective November 4, 2026, and the company will appoint an interim CFO before a permanent hire
• · Verra Mobility will not hold a conference call for Q3 2026 results, citing pending leadership transitions, and expects to resume calls with Q4 and full-year 2026 results
• · Jon Keyser is serving as Interim President and CEO, indicating a broader leadership transition beyond the CFO role

15-10-2026

Crescent Energy Finance LLC, a subsidiary of Crescent Energy Co (CRGY), entered into a Sixteenth Amendment to its Credit Agreement dated October 14, 2026, with Wells Fargo Bank, National Association as Administrative Agent and Collateral Agent, and a syndicate of lenders including JPMorgan Chase Bank, Mizuho Bank, Bank of America, Capital One, and Canadian Imperial Bank of Commerce. The filing is an exhibit (EX-10.1) to an 8-K and amends the existing revolving credit facility's terms, effective upon satisfaction of customary conditions precedent (executed counterparts, fees and expenses, officer's certificate, bring-down of representations, and no Event of Default). The filing does not disclose the specific amended economic terms (such as commitment size, pricing, or maturity changes) within the excerpted text, as those are contained in Exhibit A, which is not included.

• · Prior amendments include the First (September 24, 2021) through Fifteenth (May 18, 2026) Amendments, with the Fourteenth dated February 23, 2026 and the Fifteenth dated May 18, 2026, indicating frequent recent amendment activity.
• · The amendment is executed by Required Lenders, and the Administrative Agent may declare the effective date upon document confirmation, with such declaration being final and binding.
• · Obligors ratify and reaffirm their obligations under all Credit Documents and represent that no Event of Default has occurred and is continuing.
• · Governing law is the State of New York.

15-10-2026

Actinium Pharmaceuticals appointed Matt David, M.D. as Chief Financial Officer, effective with this October 15, 2026 announcement, to lead finance, accounting, capital markets and investor relations and serve as principal financial officer. Dr. David most recently served as Executive Vice President and Chief Business Officer at CorMedix, where he had joined as CFO in 2020. The filing contains no quantitative financial results, so no period-over-period performance metrics are reported.

• · Dr. David previously served as an interim CEO and as a public company CFO, and held Head of Strategy at Ovid Therapeutics before moving to CorMedix
• · At CorMedix, DefenCath received FDA approval in 2023, launched commercially in 2024, and CorMedix acquired a commercial anti-infectives company in 2025
• · Dr. David spent over a decade in healthcare investment banking and one stint as an equity research associate at Lehman Brothers covering pharmaceuticals
• · Dr. David holds an M.D. from NYU School of Medicine and an undergraduate degree in Chemistry from Dartmouth College

15-10-2026

Albertsons Companies appointed Harmit Singh, EVP and Chief Financial and Growth Officer of Levi Strauss & Co., to its Board of Directors effective October 15, 2026, expanding the board from 14 to 15 members. Singh is retiring from Levi Strauss on November 30, 2026, after a planned transition. The filing is a board appointment press release and carries no reported financial results or performance metrics.

• · Singh will retire from Levi Strauss & Co. on November 30, 2026, after a planned transition
• · Singh previously served as CFO of Hyatt Hotels Corporation and spent 14 years at Yum! Brands, including as CFO of Yum! Restaurants International and Pizza Hut
• · Singh currently serves on the boards of Planet Fitness, Inc. and Sutter Health
• · Singh previously served on the boards of The AZEK Company, OpenText Corporation and Buffalo Wild Wings
• · Singh's Levi Strauss role covers finance, transformation office, investor relations, information security, strategic sourcing, real estate, franchise expansion, M&A, divestitures and global talent hubs

15-10-2026

America's Car-Mart entered a First Amendment and Limited Waiver to its Credit and Guaranty Agreement with Silver Point Finance, LLC as Agent and its lenders, waiving anticipated and existing events of default tied to missed financial covenants and reporting obligations. The Scheduled Termination Date and temporary relief on minimum liquidity and minimum Collateral Coverage Ratio have been extended repeatedly, most recently on October 14, 2026 through October 22, 2026, and the company is evaluating strategic alternatives including financing, recapitalization, restructuring, or M&A. The filing explicitly warns of substantial indebtedness, possible bankruptcy or insolvency protection, possible complete loss for stockholders, and risk of Nasdaq delisting.

• · Credit and Guaranty Agreement dated October 30, 2025 is the governing facility being amended and waived
• · Waiver period originally ran to September 7, 2026 (Scheduled Termination Date); extensions have been granted since September 4, 2026
• · Current extension runs through October 22, 2026, after prior relief through October 15, 2026
• · Company's forward-looking statements reference possibly extending the waiver and relief period to November 2026
• · Company's Annual Report on Form 10-K for fiscal year ended April 30, 2026 is cited as a source of additional risk factors

15-10-2026

Arrow Electronics (ARW) disclosed that Eric Nowak, President of Global Enterprise Computing Solutions, will retire at the end of March 2027 after 22 years with the company, stepping down from his president role effective December 31, 2026 and serving in an advisory capacity until retirement. Rodney Clark, formerly of Cisco, Johnson Controls, Microsoft, and IBM, has been identified as successor, with employment expected to begin November 9, 2026. The departure is described as personal and not related to any disagreement with the company.

• · Nowak's advisory role continues until his March 2027 retirement to assist with duty transition
• · Clark's start date (November 9, 2026) precedes Nowak's formal step-down (December 31, 2026), allowing an overlap period
• · Nowak's departure is explicitly stated as personal, not due to any disagreement on operations, financial statements, policies, or practices

15-10-2026

Evofem Biosciences entered a fifth amendment to its October 2020 Securities Purchase Agreement with Adjuvant Global Health Technology Fund entities, dated October 9, 2026. The amendment moves the maturity of the convertible promissory notes to the earlier of December 1, 2026, a change of control at Adjuvant's election, or acceleration under Section 8, and bars prepayment before December 1, 2026 without Adjuvant's written consent. It also removes certain affirmative covenants under Section 7.1 of the SPA. The filing does not disclose the outstanding note principal, interest terms, or any cash-payment plan, and it provides no financial results.

• · Convertible notes issued to Adjuvant under a Securities Purchase Agreement dated October 14, 2020 (amended five times)
• · Maturity date now earliest of December 1, 2026, a Change of Control at Adjuvant's election, or Section 8 acceleration
• · No prepayment before December 1, 2026 without Adjuvant's prior written consent
• · Certain affirmative covenants under Section 7.1 of the SPA were removed
• · Exhibit 10.1 contains the Fifth Amendment; the principal amount of the Notes is not stated in this filing

15-10-2026

Aditxt, Inc. (ADTX) disclosed a Mutual Termination Agreement dated October 9, 2026, among Copley Acquisition Corp (SPAC), Ignite Proteomics Holdings, Inc., Ignite Proteomics, LLC, and related merger subsidiaries, terminating the Business Combination Agreement dated June 10, 2026 under Section 8.1(a) by mutual written consent. The termination is effective immediately, automatically terminates all Ancillary Documents (including Seller Support Agreements, the Insider Letter Amendment, and Lock-Up Agreements), and leaves each party bearing its own transaction expenses with mutual releases exchanged. The filing reflects the abandonment of a planned business combination rather than any completed transaction.

• · Termination was made pursuant to Section 8.1(a) of the BCA (mutual written consent), with the preamble noting the BCA could alternatively have been terminated under Section 8.1(b) if closing conditions were not satisfied by the September 30, 2026 Outside Date, automatically extended by one 30-day period.
• · Only Sections 6.14, 6.15, 8.2, 9.1 and Article X of the BCA survive termination.
• · Notwithstanding BCA Section 8.3, each party bears its own fees, costs and expenses related to the BCA and the termination.
• · Mutual releases were executed by SPAC-side parties (including SPAC Representative) and by the Company and Seller Representative, covering claims from the beginning of time through the Effective Time relating to the BCA.

15-10-2026

Cantor Equity Partners VII, Inc. (Nasdaq: CAES) appointed Alan Riffkin as a Class I director effective October 14, 2026, with seats on the audit and compensation committees. Riffkin will receive $50,000 per year in board compensation, paid quarterly. The filing reports no financial results and no declines or mixed performance metrics; it is a governance and board-composition disclosure.

• · Riffkin also serves as a director of Cantor Equity Partners IV, Inc. since February 2026
• · Riffkin previously served on the board of Resource REIT, Inc. from August 2021 until its multi-billion dollar sale in May 2022
• · Riffkin spent 2003 to December 2019 at Lazard Freres in its Real Estate Investment Banking Group and 1994 to 2003 at Goldman Sachs
• · No family relationships exist between Riffkin and any director or executive officer

15-10-2026

Consolidated Water Co. Ltd. announced that its U.S. subsidiary PERC Water Corporation was awarded a design-build agreement valued at approximately $39.8 Million by the City of Pismo Beach, California, for the Central Coast Blue Advanced Water Purification Facility, selected from three qualified teams through a two-step competitive procurement. The approximately 24-month project, with construction expected to begin in spring 2027, will add roughly 750 acre-feet of annual drought-resistant water supply capacity. The filing contains no prior-period financial comparisons, and the contract's revenue contribution and margin profile are not quantified.

• · Project scope includes equalization and purified-water storage, chemical storage and feed systems, pumping, pipeline connections, electrical and control systems, and groundwater recharge infrastructure.
• · Project is intended to help protect the local groundwater basin from seawater intrusion and diversify the City's water-supply portfolio.
• · Construction phase is anticipated to begin in spring 2027.
• · Forward-looking statements flag risks including permitting timing, equipment procurement, and delinquent receivables in The Bahamas, which could affect delivery on the anticipated timeline and budget.

15-10-2026

Datavault AI Inc. (Nasdaq: DVLT) entered into Amendment No. 1 on October 15, 2026, to a convertible promissory note issued to Streeterville Capital, LLC, originally dated August 18, 2026, with an original principal amount of $25,030,000 USD. The amendment establishes a Nasdaq Floor Price of $0.0632 per share, equal to 20% of the Nasdaq Minimum Price determined immediately before the note's issuance, and prevents any Fixed Price adjustment under Section 9 of the note from reducing the Fixed Price below that floor. All other note terms remain unchanged.

• · Nasdaq Floor Price of $0.0632 per share is subject to adjustment for reverse or forward stock splits, stock dividends, combinations, recapitalizations, reclassifications, or similar transactions occurring after the amendment's effective date.
• · The note and amendment were issued under a Securities Purchase Agreement dated August 18, 2026, between the Company and Streeterville Capital, LLC.
• · Full amendment filed as Exhibit 4.1 (Amendment No. 1 to Convertible Promissory Note, dated October 15, 2026).

15-10-2026

AbbVie Inc. expanded its Board of Directors from twelve to thirteen members on October 14, 2026, and appointed Dr. John M. Carethers as a Class II independent director. Dr. Carethers is currently Vice Chancellor for Health Sciences at the University of California San Diego and was previously a director of Avantor, Inc. He was assigned to the Public Policy and Sustainability Committee. The filing reports no financial results, so no quantitative performance metrics are disclosed.

• · Dr. Carethers was determined by the Board to be independent under NYSE Listed Company Manual section 303A.02 and AbbVie's Governance Guidelines and Director Independence Guidelines.
• · Dr. Carethers' compensation as an independent director is described in Exhibit 10.5 to AbbVie's Form 10-Q for the quarter ended March 31, 2025, rather than in this filing.
• · The filing lists AbbVie's common stock (ABBV) and five senior note series (ABBV27, ABBV28, ABBV28B, ABBV29, ABBV31) as registered on the NYSE.

15-10-2026

Vroom, Inc. disclosed two material agreements dated October 13-15, 2026. Its wholly owned subsidiary UACC completed the United Auto Credit Securitization Trust 2026-2 asset-backed securities transaction, selling approximately $292.1M of subprime motor vehicle retail installment contracts and the trust issuing $234.2M of notes at fixed rates from 5.09% to 9.59%. Separately, the company amended its Exchange and Subscription Agreement to increase commitments for its Senior Secured Delayed Draw Convertible Notes due 2032 from $50.0M to $60.0M, with the increase provided by insiders Mudrick Capital and Annox Capital.

• · Insiders and related parties (Mudrick, Annox, Mr. Mylod) provided the commitment increase and hold the convertible notes, which were partly issued in exchange for their prior notes
• · Mudrick is the controlling stockholder and a Mudrick managing director sits on the Board, so the increase is a related-party transaction
• · Trust notes are non-recourse: none of the Trust, Depositor or UACC assets are available to pay obligations of other entities
• · Indenture Trustee may accelerate the notes upon Events of Default, including failure to pay principal or interest or bankruptcy of the Trust
• · Pricing of the subprime receivables pool is weaker-credit exposure, reflected in note coupons rising from 5.09% (Class A) to 9.59% (Class E)

15-10-2026

Medline Inc. (MDLN) disclosed that director Joseph P. Baratta notified the Board on October 13, 2026 of his decision to resign from the Board, effective December 31, 2026. The company states the resignation coincides with Baratta's previously announced departure from Blackstone Inc. and is not the result of any disagreement with the company's operations, policies, or practices. The filing contains no quantitative financial data.

• · Resignation effective date is December 31, 2026, giving the Board roughly 2.5 months of notice
• · Filing explicitly states no disagreement with the company related to operations, policies, or practices
• · Filing was signed by Chief Legal Officer Alex M. Liberman and dated October 15, 2026

15-10-2026

NCL Corporation Ltd., a subsidiary of Norwegian Cruise Line Holdings Ltd. (NYSE: NCLH), announced a proposed private offering of $750.0 million aggregate principal amount of senior notes due 2031. Proceeds, together with cash on hand, will redeem the 6.125% Senior Notes due 2028 issued by NCL Finance, Ltd., repay approximately $176.3 million of revolving loan borrowings, and prepay approximately $42.2 million of export-credit backed financing. The redemption of the 2028 Notes is conditional on the offering closing, and the notes are not registered under the Securities Act.

• · Offering is a private placement under Rule 144A (QIBs) and Regulation S (non-U.S. investors), so the notes will not be registered under the Securities Act
• · Redemption of the 2028 Notes is conditioned on consummation of the offering
• · Press release explicitly states it is not a notice of redemption for the 2028 Notes
• · NCLH expects to add 16 ships across its brands through 2037

15-10-2026

Synaptics Incorporated (SYNA) disclosed that Esther Song, Vice President, Corporate Controller and Principal Accounting Officer, resigned effective October 28, 2026 to pursue other opportunities, with the company stating her departure was not due to any disagreement on operations, accounting, or policies. Kermit Nolan, Vice President, Finance, was appointed Principal Accounting Officer effective the same date without additional compensation. The filing is a routine officer transition with no reported financial metrics.

• · Nolan returned under a consulting agreement dated June 10, 2026, became a Company employee on September 1, 2026 following the CFO's departure, and previously served as Chief Accounting Officer from February 2019 until retiring at the end of 2023.
• · Song remains employed and receives her current compensation and benefits until the October 28, 2026 effective date.

15-10-2026

SUNation Energy, Inc. (SUNE) entered into a letter agreement amendment dated October 15, 2026 with lender MBB Energy, LLC to extend the Maturity Date of its Secured Revolving Line of Credit Agreement (originally dated April 14, 2025, previously amended April 14, 2026) to April 15, 2027. The filing discloses no new borrowing amounts, interest rate changes, or covenant modifications, and the Borrower reaffirms its existing obligations and representations, including that no Default is continuing. The amendment is primarily a debt maturity extension rather than a new financing or a material change in terms.

• · Maturity Date of the Secured Revolving Line of Credit extended from the prior date to April 15, 2027
• · Amendment becomes effective upon countersignature by the Lender
• · Borrower bears the Lender's costs and reasonable legal fees for the amendment, whether or not it takes effect
• · Borrower represents that no Default is continuing or would result from the Effective Date

15-10-2026

Sow Good Inc. (SOWG) disclosed that its wholly owned subsidiary SOWG Tanzania Inc. entered into an Extension Letter amending the Sunset Date of the Share Purchase Agreement dated April 20, 2026 (as amended August 21, 2026) with Ryzon Materials Limited, Uranex Tanzania Limited, Magnis Technologies (Tanzania) Limited, and Uranex ESIP Pty Limited. The Sunset Date is extended to October 30, 2026. The filing contains no purchase price, deal value, or financial results.

• · Sunset Date under the SPA extended to October 30, 2026
• · Original SPA dated April 20, 2026; first amendment via Deed of Amendment dated August 21, 2026
• · Full Letter filed as Exhibit 10.1

15-10-2026

Blackstone Inc. disclosed that Joseph Baratta notified the board on October 9, 2026 of his intention to resign as a director effective December 31, 2026, in connection with his planned retirement. As a result, the board size will shrink from eight to seven members effective on that date. Mr. Baratta will continue to serve on the board until the effective date.

• · Resignation is tied to Mr. Baratta's planned retirement, not a disclosed dispute or disagreement with the company
• · Mr. Baratta remains a director until December 31, 2026, so the change is not immediate
• · No successor director or replacement appointment is disclosed in this filing

15-10-2026

Endovia Health Sciences, Inc. (NYSE American: EDVA) entered into a letter agreement dated October 15, 2026 with C/M Capital Master Fund, LP to amend the Securities Purchase Agreement dated September 19, 2025 that establishes an equity line of credit facility. The amendment raises the beneficial ownership limitation from 4.99% to 9.99%, effective immediately, and waives certain notice requirements to the extent inconsistent with the letter agreement. The filing does not disclose any financial amounts, share counts, or dilution figures.

• · Purchase Agreement dated September 19, 2025 was originally filed as Exhibit 10.3 to the Company's 8-K filed September 25, 2025
• · Resales under the Purchase Agreement are registered on Form S-1 (File No. 333-298112), declared effective August 24, 2026
• · Common stock par value is $0.001 and trades on NYSE American under symbol EDVA
• · The filing lists SBEVW as the trading symbol in the request header, but the filing itself identifies the registrant as Endovia Health Sciences with ticker EDVA; the company name and ticker in the request do not match the filing content