US Material Events SEC 8-K Filings — October 20, 2026

20-10-2026

Hertz Global Holdings announced that its majority-owned subsidiary Oro Mobility has secured an $80 million strategic equity investment from a consortium including Cohen Private Ventures and funds affiliated with Certares Opportunities LLC and/or Knighthead Capital Management, LLC. Hertz will retain majority economic ownership of Oro and continue as its fleet and corporate services partner, with the capital earmarked for fleet expansion, infrastructure, technology, talent and partnerships across rideshare rentals, driver-led fleet management and autonomous vehicle fleet management. The filing contains no quantitative performance results, so the financial impact on Hertz's consolidated figures is not disclosed.

• · Hertz retains majority economic ownership of Oro Mobility and serves as its fleet and corporate services partner
• · Oro was established by Hertz as part of its transformation strategy to capture new mobility growth opportunities
• · Filing references Hertz's most recent Form 10-K for FY2025, filed with the SEC on February 26, 2026, for risk factors
• · No deal valuation, ownership percentage held by investors, or closing conditions are disclosed

20-10-2026

Maximus (NYSE: MMS) has entered into a definitive agreement to acquire Agile Defense, LLC and certain affiliates for a cash purchase price of $660 Million payable at closing, subject to adjustments, plus potential contingent consideration tied to performance objectives. The acquisition is expected to close in the first quarter of Maximus' 2027 fiscal year, subject to regulatory approvals and customary closing conditions, and is intended to accelerate its strategy to expand in defense and national security markets. The filing does not provide Agile Defense's revenue, earnings, or margin figures, so the financial impact on Maximus cannot be assessed from this release.

• · Agile Defense was founded in 1998 and is headquartered in McLean, Virginia; it is privately held and backed by Enlightenment Capital
• · Agile Labs, Agile Defense's innovation engine, is expected to add specialized talent, applied R&D, and emerging-technology capabilities to Maximus
• · Maximus expects to leverage its FedRAMP, CMMC, and rapid-experimentation operating experience in federal missions
• · Conference call scheduled for October 20, 2026 at 9:00 a.m. ET, with a webcast recording to be posted on investor.maximus.com
• · Forward-looking statements flag risks including regulatory approval conditions, integration difficulties, potential litigation, and possible termination rights

20-10-2026

Dream Finders Homes (NYSE: DFH) completed its all-cash acquisition of Beazer Homes USA, Inc. at an enterprise value of approximately $2.2 Billion, with Beazer shareholders receiving $33.50 per share; Beazer has been delisted from the NYSE. The combination makes Dream Finders the sixth-largest U.S. homebuilder and expands its footprint into California, Nevada, Indiana and Delaware. Management acknowledged a challenging housing environment and expects over $100 Million of annual run-rate cost synergies and double-digit percentage EPS accretion in year one, while also committing to return leverage to current metrics within 18 to 24 months, implying leverage will rise post-deal.

• · Beazer common stock ceased trading and was delisted from the NYSE upon completion
• · Transaction described as the ninth acquisition since 2021 IPO and the largest to date
• · Management expects double-digit percentage EPS accretion in year one
• · Strategy includes lowering construction costs and shortening build times via greater scale
• · Filing cautions about legal proceedings, integration risk, indebtedness, and housing demand/affordability headwinds

20-10-2026

On October 19, 2026, Pluri Inc. (PLUR) signed a Securities Purchase Agreement with Chutzpah Holdings LP, a partnership beneficially owned by chairman and largest shareholder Alexandre Weinstein, to issue 833,334 common shares at $1.50 per share plus a warrant for up to 833,334 additional shares at $1.65. The $1,250,000 advance paid by the purchaser in June 2026 is applied in full to the purchase price, so no new cash is due at closing. The securities were issued under Regulation S / Section 4(a)(2) exemptions without registration.

• · Warrant exercise price of $1.65 is a 10% premium to the $1.50 share purchase price
• · The transaction is with a related party: the purchaser is controlled by the chairman and largest shareholder
• · Securities were issued under Regulation S (Rule 903) and Section 4(a)(2) and are unregistered, so resale is restricted absent registration or exemption
• · Warrant transfers require prior written Company consent in its sole discretion
• · Warrant issue date is stated as October 23, 2026, while the Purchase Agreement is dated October 19, 2026

20-10-2026

Vertex Pharmaceuticals appointed Daniel Brennan, former EVP and Chief Financial Officer of Boston Scientific (retired June 2025), as a new independent board member on October 20, 2026, expanding the Board from ten to eleven members. Mr. Brennan also joined the Audit and Finance Committee and received a $400,000 restricted stock unit award vesting in October 2027. The filing discloses no related-party transactions or undisclosed arrangements tied to the appointment.

• · Mr. Brennan was appointed to the Audit and Finance Committee at the time of joining the Board
• · Prior roles: EVP and CFO of Boston Scientific (Jan 2014 to Jun 2025); SVP and Corporate Controller (2010 to 2013); various finance roles (1996 to 2009)
• · Current outside board seats: Waters Corporation (since Nov 2022) and Madrigal Pharmaceuticals (since Aug 2025); former director of Nuance Corporation until its acquisition by Microsoft in March 2022
• · Education: B.S. in Finance and Investments and M.B.A. from Babson College; certified public accountant
• · Non-employee director compensation policy is detailed in Exhibit 10.45 to the FY2025 Form 10-K
• · No Item 404(a) related-person transactions and no arrangement or understanding with other persons regarding the appointment

20-10-2026

BioAtla, Inc. (BCAB) entered into a Standby Equity Purchase Agreement dated October 15, 2026 with YA II PN, LTD. (a Cayman Islands exempt limited company), under which the Company may, at its sole discretion, sell up to $40 million of its common stock (par value $0.0001) to the Investor via Advance Notices during a Commitment Period. The agreement includes a 4.99% beneficial ownership cap, a registration limitation, optional minimum acceptable prices that reduce advance sizes on excluded trading days, and a commitment fee payable by the Company. The filing does not disclose the Company's current financial performance, so the balance of positive and negative metrics cannot be assessed from this exhibit.

• · Advances are at the Company's sole discretion with no mandatory minimum and no non-usage fee.
• · Investor must purchase Advance Shares once an Advance Notice is received (unconditional contract), and may sell shares during the Pricing Period.
• · A Material Outside Event or Black Out Period notified by the Company ends a pending Advance early.
• · Investor may sell shares under the Registration Statement's plan of distribution or an available exemption; no restrictive legends apply while the registration statement is effective.
• · Company must hold the Investor harmless for losses from its defaults and the Investor may seek injunctive relief and specific performance.
• · Company's obligation to maintain the Registration Statement ends upon completion of resale, all shares being sold, or shares being saleable under Rule 144.

20-10-2026

On October 17, 2026, Silgan Holdings signed a Transaction Agreement to form a partnership (MetalCo) with an AIP-affiliated investor, contributing its Metal Containers and Closures Business in exchange for 60% of MetalCo's Class A voting units. The A-VL Investor contributes $1.025 billion in cash for 40%, and Silgan receives a distribution of $2.263 billion less any new Silgan debt, of up to $1.0 billion. Concurrently, MetalCo obtained a put option to acquire Trivium Packaging B.V. for approximately $327.5 million in cash plus assumption of about $3.1 billion of Trivium debt, subject to consultation processes, antitrust clearance and an outside date of nine months from signing; the Transaction Agreement's closing outside date is October 15, 2027.

• · Put Option may be exercised only after works council consultations in France and the Netherlands and the Dutch Merger Code process are completed
• · Trivium Purchase Agreement equity value is fixed via a locked box mechanism as of December 31, 2025
• · Transaction Agreement may be terminated if the Closing has not occurred by October 15, 2027, or if the Put Option Agreement expires unexercised or the Trivium Purchase Agreement terminates
• · Fund IX provided a limited guarantee, subject to a cap, of certain A-VL Investor payment obligations under the Transaction Agreement
• · MetalCo will obtain representation and warranty insurance for the Trivium Purchase Agreement
• · Transaction and Trivium closings are conditioned on each other and on HSR and other antitrust clearances

20-10-2026

Clene Inc. entered into a subaward amendment on October 15, 2026, with New York University (NYU) for the fourth year of an NIH grant, providing up to $7.2 million for the period September 1, 2026 to August 31, 2027. The NIH grant totals $45.1 million over four years and supports an Expanded Access Program for CNM-Au8 in amyotrophic lateral sclerosis (ALS). Other terms of the subaward disclosed in March 2026 remain in effect.

• · Year 4 subaward funding of $7.2M is 10% lower than the $8.0M Year 3 NYU subaward, a decline not discussed in the filing narrative.
• · The NIH grant was announced October 5, 2023, and its four-year period runs through August 31, 2027.
• · The subaward was entered into October 15, 2026, and the 8-K was filed October 20, 2026.

20-10-2026

Fox Corporation announced that Adam Ciongoli, Chief Legal and Policy Officer, will not renew his contract and will step down effective December 1, 2026, transitioning to a special advisor role through June 2028. Nicholas Trutanich, currently Executive Vice President and Principal Deputy General Counsel, will become General Counsel effective the same date, reporting to Executive Chair and CEO Lachlan Murdoch. The change is a leadership succession within the legal function rather than a financial or operational event, with no financial metrics disclosed.

• · Kristopher Jones, EVP and Head of Government Relations, will report directly to John Nallen, President and COO, effective December 1, 2026
• · Trutanich previously served as U.S. Attorney for the District of Nevada (2019 to 2021) and joined Fox in 2021 as Chief Ethics & Compliance Officer
• · Ciongoli's advisory role runs through June 2028, providing continuity of institutional knowledge

20-10-2026

Texas Ventures Acquisition III Corp (TVACW), a SPAC, has filed Exhibit 3.1 proposing a shareholder special resolution to extend its Completion Window from eighteen (18) months to twenty-seven (27) months after the IPO closing date. The amendment would give the company nine additional months to complete a business combination. The filing does not itself disclose a completed merger agreement, target company, or transaction terms.

• · The amendment is proposed as a special resolution requiring shareholder approval, effective immediately upon passage.
• · The Completion Window extension can be exceeded later only if Members approve a later date under the Articles.
• · The filing is an 8-K with Items 1.01, 5.03, 5.07, 7.01 and 9.01, indicating a material agreement, charter amendment, shareholder vote results and related exhibits; the vote outcome is not contained in the excerpt provided.

20-10-2026

Insmed Incorporated (Nasdaq: INSM) appointed two new independent directors to its Board effective October 20, 2026: Paul Hudson, former CEO of Sanofi S.A. (September 2019 through February 2026) and former CEO of Novartis Pharmaceuticals, and Utpal Koppikar, CFO of Verily Health Inc. since April 2023 and former EVP and CFO of Atara Biotherapeutics. The filing is a board appointment announcement with no financial results, deal terms, or quantitative performance data disclosed.

• · Koppikar currently serves on the Board of Directors of C4 Therapeutics, Inc. (Nasdaq: CCCC), a potential interlocking-directorship consideration
• · Insmed's therapeutic focus areas are Respiratory, Immunology & Inflammation, and Neuro & Other Rare
• · Insmed's research engine spans gene therapy, AI-driven protein engineering, RNA end-joining, and synthetic rescue

20-10-2026

Laser Photonics Corp (NASDAQ: LASE) announced the appointment of Tim Peterman as Chief Financial Officer on October 20, 2026. The appointment, alongside the engagement of Sheppard, Mullin, Richter & Hampton LLP as outside securities counsel and CBIZ, Inc. for external financial reporting consulting, is framed by management as part of efforts to establish financial accountability, strengthen reporting processes and build governance. Mr. Peterman previously served as CEO of iMedia Brands (May 2019 to August 2023) and as its CFO (March 2015 to April 2018).

• · Mr. Peterman holds a Bachelor of Science in accounting from the University of Kentucky and is a CPA with an inactive license
• · Mr. Peterman began his career at KPMG in Chicago in 1989
• · Sheppard will advise on securities law, SEC reporting obligations, corporate governance and capital markets matters
• · CBIZ will help adopt best practices in external financial reporting and strengthen internal financial reporting controls and documentation

20-10-2026

TJX Companies disclosed on October 15, 2026 that Senior Executive Vice President and Group President Kenneth Canestrari will step down as an executive officer effective January 31, 2027, while remaining employed until his scheduled retirement on April 30, 2027. The letter agreement extends his employment agreement to April 30, 2027, and removes him from the Management Incentive Plan, LRPIP (for performance periods beginning fiscal 2028 or later) and new SIP equity grants. The change is an orderly, pre-planned transition, with continuing non-compete and confidentiality obligations.

• · Canestrari's employment agreement, dated February 2, 2018 and last amended February 2, 2024, is extended to April 30, 2027
• · He ceases to be an executive officer effective January 31, 2027, but remains a Senior Executive Vice President until April 30, 2027
• · He will receive special service recognition benefits on existing LRPIP and SIP awards after retirement, subject to plan terms

20-10-2026

Dorchester Minerals, L.P. (NASDAQ: DMLP) entered into a non-taxable contribution and exchange agreement on October 16, 2026 to acquire mineral and royalty interests covering approximately 4,300 net royalty acres across three counties in the Williston Basin, North Dakota. The contributing entity will receive 1,250,000 common units in exchange, and cash attributable to the acquired interests from July 1, 2026 onward will be contributed at closing. The acquisition is expected to close on October 30, 2026, subject to customary closing conditions.

• · Acquisition structured as a non-taxable contribution and exchange agreement with an unrelated third party
• · Cash received by the contributing entity attributable to the acquired interests on or after July 1, 2026 will be contributed to the Partnership at closing
• · Expected closing date is October 30, 2026, subject to customary closing conditions
• · Common units trade on the NASDAQ Global Select Market under the symbol DMLP

20-10-2026

Clearfield, Inc. (NASDAQ: CLFD) announced that CEO and co-founder Cheri Beranek will retire as President and Chief Executive Officer effective March 31, 2027, and will remain at the company as President and CEO Emeritus in a non-director role after her successor is appointed. The Board, chaired by Catherine T. Kelly, will launch a search with a nationally recognized firm considering internal and external candidates. The company also expects fiscal 2026 fourth-quarter and full-year results to be in line with prior guidance, based on preliminary unaudited information, with results to be reported November 10, 2026.

• · Beranek co-founded Clearfield in 2008 and is credited as key architect of product and market expansion
• · Beranek remains in her role until the earlier of successor appointment or March 31, 2027
• · Fiscal 2026 Q3 earnings call was held August 5, 2026, the reference point for Q4/full-year guidance
• · Clearfield deploys more than a million fiber ports each year

20-10-2026

Onfolio Holdings, Inc. and its subsidiary Eastern Standard, LLC entered into a Limited Forbearance Agreement with the Payee on October 12, 2026, addressing an $850,000 promissory note that matured October 1, 2026 and is in default after missed September 2026 interest and maturity payments. The Payee will forbear from enforcement only if Maker pays $450,000 by October 31, 2026, followed by monthly $60,000 payments starting December 1, 2026 and a final $45,754.29 payment on July 1, 2027 (total scheduled payments of $915,754.29). The agreement does not extend maturity, does not cure the existing defaults, and default interest continues to accrue, so the company faces acceleration and remedy exposure if payments are missed.

• · Note matured October 1, 2026 and remains matured; forbearance does not extend maturity or establish a new maturity date
• · Existing defaults include the missed September 1, 2026 interest installment and non-payment at maturity
• · Forbearance is conditional: effective only upon receipt of the $450,000 Initial Payment in full, and remedies revive if any monthly payment is missed beyond a ten-day cure period
• · Note is secured by Maker's assets and guaranteed by Onfolio Holdings, Inc.; security interests and guaranty are released only upon timely payment in full
• · Maker and Guarantor waived defenses, offsets and notice/cure arguments regarding the existing defaults
• · Default interest continues to accrue under the note
• · Filing is an 8-K under Items 1.01, 2.04 and 9.01, with the agreement filed as Exhibit 10.1

20-10-2026

The Federal Home Loan Bank of Des Moines announced that Brett Manning has been appointed chief business officer, effective October 16, 2026, succeeding Wil W. Osborn, who became president and chief executive officer on October 1, 2026. Manning, who has been with the Bank since 1998 and most recently served as director of Member Strategies & Solutions, brings nearly 30 years of experience to the role. The filing reports a leadership transition only and contains no quantitative financial results.

• · Manning joined the Bank in Seattle in 1998 and has held several business development and front-line risk management roles.
• · Osborn previously served as chief business officer before becoming president and CEO on October 1, 2026.
• · Manning holds a bachelor's degree in finance (minor in economics) from Western Washington University and is a Chartered Financial Analyst charterholder.

20-10-2026

Whirlpool Corp. appointed Karin Risi to its board of directors effective immediately (announced October 19, 2026), with a seat on the Finance and Human Resources committees. Risi is a former Vanguard managing director and chief strategy and product officer with 28 years at Vanguard and more than 30 years of asset and wealth management experience. The filing is a board appointment rather than an executive departure, and it contains no financial results or guidance.

• · Risi holds a bachelor's degree in finance and an MBA from Villanova University
• · Risi currently serves as an independent director of SEI Investments Company and HarbourVest Partners
• · Risi previously led the build and launch of Vanguard's Personal Advisor wealth management business
• · Whirlpool describes itself as the only major U.S.-based manufacturer of kitchen and laundry appliances

20-10-2026

Bluerock Homes Trust disclosed under Item 2.01 that it completed the disposition of 31 single-family residential units within its 95%-owned ILE joint venture portfolio between January 1 and October 14, 2026, for an aggregate sales price of approximately $6.6 Million and approximately $2.0 Million in net proceeds after mortgage paydowns. Item 9.01 includes unaudited pro forma financials showing the sales' effect on the June 30, 2026 balance sheet and the six months ended June 30, 2026 and year ended December 31, 2025 operations; pro forma net loss attributable to common stockholders widens modestly to $(6,963) thousand from $(6,915) thousand historical, while total revenues decline to $38,972 thousand from $39,028 thousand.

• · Net proceeds of approximately $2.0 Million are after deducting mortgage paydowns, and the pro forma balance sheet reflects only a $340 thousand reduction in mortgages payable and $290 thousand reduction in total assets, indicating the disposed units were a small share of the balance sheet.
• · The pro forma statements do not reflect reinvestment of the sale proceeds, so the figures show the disposition effect alone.
• · Pro forma net loss attributable to noncontrolling interests increases by $117 thousand, and the pro forma gain on sale of real estate investments falls to $713 thousand from $902 thousand historical.
• · Pro forma statements are unaudited and based on management estimates that may differ from standalone results.

20-10-2026

On October 16, 2026, Upstart Network, Inc., a wholly-owned subsidiary of Upstart Holdings, entered into a senior secured revolving credit facility of up to $200 Million with MUFG Bank, Ltd. as administrative and collateral agent. The Revolver is intended to fund the establishment and initial capitalization of Upstart Bank, N.A., will be repaid from affiliate loan sales to Upstart Bank after it opens, and remains subject to required regulatory approvals.

• · Revolver is secured by first-priority liens on substantially all assets of the Borrower, guarantors and certain non-guarantor trust pledgors, but excludes equity interests in and assets of Upstart Bank
• · Upstart Bank is excluded from the guarantee of the Revolver
• · Revolver terminates upon repayment and matures at the earliest of 364 days after closing, 45 days after Upstart Bank's initial capitalization, or full repayment and termination
• · Event of default could make all Revolver obligations immediately due and payable and terminate the facility
• · Upstart Bank opening remains subject to required regulatory approvals, creating timing risk for loan sales and repayment
• · Full Credit Agreement to be filed as an exhibit to the Form 10-K for fiscal year ending December 31, 2026

20-10-2026

Marwynn Holdings (MWYN) acquired the Phase 1 core platform of its Marwynn Group Operating Platform, plus associated IP, from Hong Kong-based Zhituo Software Co., Limited, effective October 15, 2026. The sole consideration is 4,000,000 common shares, fully earned on the acquisition date but deferrable until after the at-the-market program and any reverse split are completed, and subject to board, stockholder, and Nasdaq approvals. The shares are unregistered (Section 4(a)(2)/Regulation S), and Zhituo still owes handover, conformity, and 90-day defect-correction work, with a 30-day handover deadline. The filing does not disclose a per-share price or dollar value for the deal.

• · Ownership of the IP passed on October 15, 2026, and is not contingent on issuing the 4,000,000 shares; a missed handover deadline does not revest the IP in Zhituo or cancel the earned consideration
• · The Company may defer share issuance until the at-the-market program ends and any reverse split is completed, with no added compensation to Zhituo for the deferral
• · Consideration shares are not subject to a contractual lock-up but are expected to be restricted securities
• · Phase 1 excludes subsidiary-specific operating modules, financial bookkeeping functions, and third-party integrations; future phases require separate agreements with no retention obligation
• · Zhituo must give weekly written status updates during handover and remediation; extensions require written Company approval
• · Company may terminate remaining services for convenience on 10 days' notice; termination does not unwind the acquisition

20-10-2026

First Tracks Biotherapeutics (TRAX) closed a previously announced private placement of 6,106,870 shares of common stock on October 19, 2026, and entered into a registration rights agreement with the investors. The Company must file or confidentially submit a resale registration statement with the SEC as promptly as reasonably practicable, and no later than 30 days after the closing date. The filing discloses no proceeds amount, price per share, or financial results.

• · Resale registration statement deadline: no later than 30 days after the October 19, 2026 Closing Date (approximately November 18, 2026)
• · Registration Rights Agreement filed as Exhibit 10.1; certain portions redacted under Item 601(b)(2)(ii) and 601(b)(10)(iv) of Regulation S-K, and schedules omitted under Item 601(a)(5)
• · Common stock trades on Nasdaq under the symbol TRAX; the Company is an emerging growth company

20-10-2026

FS CREIT Finance WF-2 LLC, a subsidiary of FS Credit Real Estate Income Trust, Inc., entered into Amendment No. 2 to its Master Repurchase and Securities Contract with Wells Fargo Bank, N.A., exercising the first one-year Extension Period option to move the Maturity Date from October 18, 2026 to October 18, 2027, with one further extension option remaining. The Maximum Amount is set at $79,330,309.85, subject to reduction by principal payments, repurchases, and other purchase price reductions, and cannot be increased by future funding. The amendment is effective only upon execution by all parties, payment of an Extension Fee, and satisfaction of Extension Conditions as determined by Buyer in its sole discretion.

• · Original Master Repurchase and Securities Contract dated October 18, 2024, previously amended by Amendment No. 1 dated March 26, 2025
• · Amendment dated as of October 16, 2026; new Maturity Date is October 18, 2027
• · Seller represented full compliance and no Default or Event of Default as of the amendment date
• · Guarantor and Pledgor reaffirmed their Guarantee and Pledge Agreement obligations and waived defenses and claims against Buyer
• · Seller pays Buyer's reasonable fees and expenses, including legal counsel costs
• · Governed by New York law; includes jury trial waiver and non-exclusive New York/federal court jurisdiction
• · Amendment is an execution version and effectiveness is conditional on the Extension Fee payment and Buyer's sole-discretion determination of Extension Conditions

20-10-2026

Southern Indiana Gas and Electric Company (SIGECO), a subsidiary of CenterPoint Energy Inc (CNP), entered into a Bond Purchase Agreement dated October 20, 2026 to issue $260 million aggregate principal amount of First Mortgage Bonds in three tranches: $130 million 5.99% Series 2026A due 2031 (closing October 20, 2026), $80 million 6.15% Series 2026B due 2033 (closing December 15, 2026), and $50 million 6.33% Series 2027A due 2037 (closing February 25, 2027). The bonds are sold at 100% of principal to institutional purchasers under a private placement and secured by the company's Amended and Restated Indenture of Mortgage and Deed of Trust. The filing is a routine long-term debt financing with no negative or flat performance metrics disclosed.

• · Bonds are issued under an Amended and Restated Indenture of Mortgage and Deed of Trust dated January 1, 2023, with Deutsche Bank Trust Company Americas as Trustee
• · The filing includes a make-whole amount provision for optional prepayments (Section 8.2 and 8.6)
• · Purchasers' obligations are several and not joint
• · Filing items include 1.01 (Material Agreement), 2.03 (Creation of a Direct Financial Obligation), and 9.01 (Financial Statements and Exhibits)

20-10-2026

Northern Trust (NTRS) announced the appointment of Rima Qureshi, former executive vice president and chief strategy officer of Verizon Communications, to its board of directors, effective immediately. Qureshi brings nearly four decades of strategy and transformation experience, including 23 years at Ericsson and more than 15 years on public company boards, including 15 years on the Mastercard board. The filing contains no financial results, so no period-over-period performance metrics are reported.

• · Qureshi currently serves on the boards of BT Group plc, Loblaw Companies Limited and Swift
• · Qureshi previously served as chief executive officer of Ericsson North America
• · Qureshi joined Verizon in 2017

20-10-2026

Neptune Insurance Holdings (NYSE: NP) reported record third quarter 2026 results, with revenue up 34.3% YoY to $59.6M, net income up 49.9% to $17.3M (29.0% margin), and Adjusted EBITDA up 37.5% to $36.8M (61.7% margin). Written premium grew 31% to a record $132.7M. However, Adjusted EBITDA margin (61.7%) is only modestly higher than the prior year (+1.5pp), nine-month net income margin contracted 2.2pp YoY, and twelve-month net income was essentially flat (+0.1%) as net income margin fell 7.6pp to 22.7%. Share-based compensation rose sharply to $7.0M from $0.1M, a major driver of the gap between Adjusted and GAAP earnings. The filing also references an officer change under Item 5.02.

• · Nine-month revenue rose 32.3% to $153.2M; nine-month net income grew 22.2% to $40.4M, but net income margin fell 2.2pp to 26.4%
• · Twelve-month net income margin fell 7.6pp to 22.7% while twelve-month net income was flat at $44.7M
• · Q3 interest expense (net of interest income) fell 37.9% to $3.3M, supporting earnings
• · Q3 income tax expense rose 88.7% to $7.5M, a meaningful drag on net income growth
• · Share-based compensation rose to $7.0M in Q3 from $0.1M, widening the gap between GAAP and adjusted earnings
• · Item 5.02 (officer change) is disclosed in this 8-K but its details are not included in the provided exhibit text

20-10-2026

PURE Bioscience, Inc. closed a private placement on October 15, 2026, raising $555,000 by issuing 10,183,486 shares of common stock at $0.0545 per share to accredited investors under a Securities Purchase Agreement. Director Tom Y. Lee invested the full $555,000 directly and through affiliates, and the disinterested board members approved the financing. Net proceeds are expected to be approximately $555,000, earmarked for general corporate purposes, R&D, administrative expenses, and working capital.

• · Director Tom Y. Lee was the sole disclosed investor, committing the entire $555,000 raised, which is a related-party participation the disinterested board approved
• · Shares were issued under Section 4(a)(2) and Rule 506 of Regulation D, so they are unregistered and subject to resale restrictions
• · Securities Purchase Agreement form is filed as Exhibit 10.1

20-10-2026

Randall P. Gabe, Senior Vice President and Chief Administrative Officer of Southwest Gas Corporation, notified the company on October 20, 2026 of his intention to retire on or before June 1, 2027, after 30 years of service. Until then he will serve as Senior Vice President/Business Development, supporting the 2028 Great Basin Expansion project and overseeing the Emerging Technology and Innovation team. The filing states the retirement was not the result of any disagreement with the company or Southwest Gas Holdings on operations, policies, or practices.

• · Retirement is effective on or before June 1, 2027
• · Gabe's new role is Senior Vice President/Business Development, with responsibility for the Emerging Technology and Innovation team through the effective date
• · The filing explicitly states no disagreement with the company on operations, policies, or practices

20-10-2026

Live Oak Bancshares, Inc. disclosed that Renato Derraik, Chief Information & Digital Officer of Live Oak Banking Company, notified the company on October 14, 2026 of his resignation to pursue other endeavors. His last day of employment with the Bank will be November 6, 2026. The filing contains no financial results, guidance, or quantitative performance data, and no successor has been named in this disclosure.

• · Resignation notice given October 14, 2026; effective last day of employment November 6, 2026
• · Filing covers Item 5.02(b) departure of a certain officer; no successor or compensatory arrangements disclosed

20-10-2026

AST SpaceMobile entered into a new three-year executive employment agreement with Andrew M. Johnson, its EVP, CFO and Chief Legal Officer, effective October 14, 2026, superseding his prior agreement. The agreement sets a base salary of not less than $250,000, bonus eligibility, RSU eligibility under the 2024 Incentive Award Plan, and severance of 12 months' base salary plus up to 12 months of COBRA subsidy and accelerated vesting on termination without Cause, for Good Reason, or on non-renewal.

• · Johnson's agreement carries a non-compete and confidentiality/invention assignment covenants under a previously executed agreement, with severance conditioned on a release of claims and continued compliance
• · Johnson holds the combined CFO and Chief Legal Officer roles, and is also an Eligible Employee under the change-of-control severance policy
• · Filing was signed October 20, 2026, six days after the October 14, 2026 effective date of the agreement

20-10-2026

Apollo Global Management announced that Meyer "Micky" Malka, founder and managing partner of Ribbit Capital, will join its Board of Directors effective January 1, 2027, expanding the board to 14 directors while maintaining a two-thirds independent composition. The appointment is a board addition rather than an executive change, and the release is a routine governance announcement with no reported financial results or performance metrics.

• · Malka currently serves on the board of Robinhood Markets, Inc.
• · Malka co-founded Heptagon Group, Banco Lemon, and Bling Nation/Lemon Inc.; Patagon.com was acquired by Banco Santander in 2000 and Banco Lemon by Banco do Brasil in 2009
• · Malka holds an economics degree from the Universidad Católica Andrés Bello in Caracas, Venezuela
• · Gary Cohn, as Lead Independent Director, praised Malka's entrepreneurial track record and global perspective

20-10-2026

Inhibikase Therapeutics (Nasdaq: IKT) appointed Scott M. Wasserman, MD, to its Board of Directors effective October 19, 2026, while Dennis Berman resigned from the Board concurrently. Dr. Wasserman is currently Chief Medical Officer of Kailera Therapeutics and brings more than two decades of cardiology and clinical development experience, including senior roles at Amgen in the development of Repatha, Evenity, and Aimovig. The announcement is a board governance change with no disclosed financial figures.

• · Board appointment effective October 19, 2026, one day before the October 20, 2026 announcement
• · Dennis Berman's resignation from the Board was announced concurrently with the appointment
• · Dr. Wasserman previously served as Venture Partner at Frazier Life Sciences and as CEO and co-founder of Latigo Biotherapeutics
• · Filing references Items 5.02, 7.01 and 9.01, with the press release furnished as Exhibit 99.1

20-10-2026

On October 14, 2026, LanzaTech Global and its subsidiary LanzaTech, Inc. completed a recapitalization and deleveraging of LanzaJet and its subsidiary LanzaJet Freedom Pines Fuels LLC (FPF) to support LanzaJet's next phase of growth at the Soperton, Georgia facility. LanzaJet issued $10,000,000 of senior secured notes to Future Solution Investments LLC (FSI), an affiliate of a large existing LanzaTech stockholder, with up to $25,000,000 total possible, and LanzaTech received a Class Y warrant that would give it 66.67% of LanzaJet's fully diluted shares and at least 66.67% of its voting power upon exercise. The filing does not quantify the impact on LanzaTech's current financial results, and the Company has agreed to backstop up to $5,000,000 of the second tranche if not otherwise funded.

• · Senior secured notes mature October 14, 2029, with interest at prime (floor 7.00%) plus 2.25%, cash-paid at 7.00% for first eleven payments with the excess accrued
• · Minimum return payment on repayment: 1.20x principal through first anniversary, 1.25x through second anniversary, 1.30x thereafter
• · Notes are secured by first-priority liens on substantially all LanzaJet and FPF assets, including intellectual property and a collateral assignment of LanzaJet's license from LanzaTech
• · LanzaTech issued warrants to FSI's designee LanzaTech Global SPV, LLC, an entity controlled by a large existing LanzaTech stockholder, under the Warrant Issuance Agreement
• · Class Y Warrant is automatically exercised upon a Qualified Equity Financing, change of control, IPO, or liquidation of LanzaJet; the Class Y Voting Multiplier does not apply until exercise except for certain approval determinations
• · LanzaTech retains the right to designate the LanzaJet Board chairperson and one additional director

20-10-2026

On October 15, 2026, Treasure Global Inc (TGL) entered into three Regulation S subscription agreements with Chan Meng Chun, Pusparajan a/l Vadiveloo and Teo Chong Chan, all Malaysian citizens and related persons of the company, to purchase US$1.2 million of common stock in two US$200,000 tranches each, totaling US$400,000 per investor. Shares are priced at the greater of $0.45 or the prior-day closing price, and if all tranches price at $0.45 the company may issue roughly 2,666,666 shares. The filing does not disclose any regulatory action or negative performance metrics, and the deal is a capital raise from insiders.

• · Tranche 1 completion date is October 21, 2026 and Tranche 2 completion date is November 20, 2026
• · All investors are related persons of the company, so the sale is an insider purchase of company stock
• · Shares are restricted securities subject to a six-month Regulation S distribution compliance period and Rule 144 resale limits
• · Company may terminate a subscription and cancel shares if an investor fails to pay; investors may terminate if shares are not transferred
• · Agreements are governed by Malaysian law with jurisdiction in Malaysian courts

20-10-2026

Silvia, Inc. (formerly ProCap Financial, Inc.; Nasdaq: SVIA) announced an aggressive company-wide cost-cutting initiative expected to generate more than $10 million in annualized savings, achieved through reductions in compensation and operating expenses, lower compute and personnel costs, and renegotiated vendor contracts. The release also cites the addition of new executive team members at a more efficient cost structure, and Anthony Pompliano is identified as Chairman and CEO. The filing does not provide the specific officer change details that would normally accompany Items 5.02 disclosures, and the savings are expected to begin in the current fiscal year with full run-rate benefit thereafter.

• · Company was formerly ProCap Financial, Inc. and changed its name to Silvia, Inc. with a new Nasdaq ticker SVIA
• · Savings attributed to reduced compute and personnel expenses, renegotiated key vendor contracts, and addition of executives at a more efficient cost structure
• · Management has not quantified the impact in detail and will provide additional details at the next regularly scheduled financial update
• · Filing references Item 5.02 (officer departure/election) but the exhibit contains no departure or appointment particulars
• · Company describes itself as the first publicly traded agentic finance firm and references a website transition in forward-looking statements

20-10-2026

Next Bridge Hydrocarbons, Inc. entered a Securities Exchange Agreement dated October 14, 2026 with Panther Bridge, LLC to repurchase its $6,000,000 18% Unsecured Promissory Note (principal outstanding, plus unpaid interest) and its 3,000,000 shares of Series A Redeemable Preferred Stock (with accrued unpaid dividends). The Company pays for these by issuing a revolving Line of Credit Agreement with a $20,000,000 maximum outstanding principal, of which $10,000,000 is deemed advanced at closing. The Company is therefore swapping a debt and preferred equity obligation for a larger, revolving credit facility, which increases its potential leverage even though the existing instruments are retired.

• · The original note was described as presently due and payable, so the exchange addresses an outstanding maturity and accrued interest.
• · Accrued and unpaid preferred dividends were part of the consideration, and the Note Holder's rights to unpaid principal, interest and dividends transfer to the Company.
• · The new credit instruments and any shares issuable under the Line of Credit are unregistered restricted securities under the Securities Act of 1933.
• · Closing requires a subordination agreement among the Company, Panther Bridge and Gregory McCabe, plus a Board corporate resolution approving the transaction.
• · The agreement is an exhibit (Exhibit 10.1) filed with an 8-K covering Items 1.01, 2.03, 3.02 and 9.01; Item 2.03 relates to the creation of a direct financial obligation and Item 3.02 to unregistered equity sales.

20-10-2026

Netcapital Inc. (NCPLW) entered into a Securities Purchase Agreement dated October 13, 2026 with Hinterland Partners LLC, a Delaware LLC, for a private placement of securities under Section 4(a)(2) of the Securities Act of 1933 and Rule 506(b). The exhibit discloses that the Company is delinquent on its annual report for the fiscal year ended April 30, 2026 and its Form 10-Q for the quarter ended July 31, 2026, that it previously determined certain issued financial statements should no longer be relied upon (a non-reliance disclosure), and that a change in independent auditor and possible re-audit or restatement may follow. The representations are expressly qualified by these matters, which the Company characterizes as previously disclosed.

• · The Company has not yet filed its annual report for the fiscal year ended April 30, 2026 or its 10-Q for the quarter ended July 31, 2026, as disclosed via Form 12b-25 late-filing notifications.
• · The Buyer is a Delaware LLC with an address in Wilmington, DE; the Company is a Utah corporation headquartered in Boston, MA.
• · The financing package includes a Note, Warrants, and a Pledge Agreement, indicating potentially dilutive and secured instruments beyond the base securities purchase.
• · The Company's representations exclude any breach arising from the non-reliance determination, including any auditor change or re-audit or restatement.
• · The Company represents that Buyer is not required to register as a broker-dealer and that the Buyer did not solicit the transaction.

20-10-2026

Entravision Communications Corporation (NYSE: EVC) appointed Gary Ferrera and Brian Krzanich as independent directors on October 14, 2026, expanding the Board from seven to nine members. Mr. Ferrera joins the Audit Committee; both receive standard non-employee director compensation, including a prorated initial RSU grant. The filing discloses no material financial results, and no departures are reported.

• · Gary Ferrera was appointed to the Audit Committee
• · Both directors were determined to be independent under NYSE listing standards and Exchange Act rules
• · Neither director has a material interest in any related-party transaction under Item 404(a) of Regulation S-K
• · Directors serve until the 2027 annual meeting of stockholders
• · Ferrera previously served as CFO at MoneyGram, Driven Brands, and Skillsoft; Krzanich was formerly CEO of CDK Global and Intel
• · Compensation references the Non-Employee Director Compensation Policy disclosed in Exhibit 10.14 to a Form 10-Q filed August 4, 2023

20-10-2026

HII announced that former CEO and President Mike Petters has been elected to the company's board of directors, returning to a board role after stepping down as CEO in 2022. CEO Chris Kastner and Chairman Kirkland Donald both praised his shipbuilding expertise as HII ramps up capacity for the U.S. Navy. The filing contains no financial results, so no period-over-period performance comparison applies.

• · Petters stepped down as first CEO and president in 2022 after steering the 2011 spin-off from Northrop Grumman
• · Petters began at Newport News Shipbuilding in 1987 in the Los Angeles-class submarine construction division
• · Petters holds a physics bachelor's degree from the U.S. Naval Academy (1982) and an MBA from the College of William and Mary
• · Petters previously served as chairman of the Virginia Business Council and the Aerospace Industries Association

20-10-2026

On October 15, 2026, DCG China Limited agreed to sell 9,641,110 shares of ESG Inc. common stock (approximately 61.836% of outstanding common stock) to BevPoint Capital LP for a total purchase price of $250,000, payable as $125,000 at closing and a $125,000 promissory note due six months after closing. No change in control has occurred yet; closing is subject to conditions including expiration of the Rule 14f-1 period, lender agreement effectiveness, and director transition documentation. The Board also approved one-time restricted stock awards totaling 94,045 shares to officers and directors, with the CEO receiving $118,000 (62,461 shares) and the CFO receiving $30,000 (15,880 shares).

• · Company receives none of the purchase price; proceeds go entirely to DCG China Limited
• · No change in control has occurred as of the report date; closing is pending
• · Incumbent officers and directors are expected to resign and Buyer-designated successors appointed at closing, subject to Rule 14f-1 timing
• · Contemplated later business combination could lead to issuance of one Series A Control Preferred Stock giving Buyer at least 90% of voting power; requires separate Board approval and is not a closing condition
• · Transfer restrictions and restoration protections apply while the Buyer Note remains outstanding
• · Award shares are separate from the Control Agreement consideration; post-issuance Control Shares represent approximately 61.47% of outstanding stock
• · Awards are restricted securities and do not revive or extend prior director or officer compensation arrangements after March 31, 2026

20-10-2026

Myriad Genetics entered a definitive agreement to sell its Prenatal Health testing business (Prequel, Foresight, SneakPeek, and FirstGene tests) to Labcorp for $210 million in cash, plus the value of the business's inventory at closing. Management expects the transaction to be accretive to revenue growth and profitability and to strengthen the balance sheet, while Labcorp expects it to add approximately $160 million in revenue in year one. The deal is subject to regulatory clearance and customary closing conditions, with closing expected by early 2027.

• · Myriad expects further commentary on the transaction and related organizational changes on its Q3 earnings call on November 4, 2026
• · Labcorp expects the transaction to be slightly accretive to adjusted earnings in year one and to reach average diagnostics segment margins by end of year two after integration
• · Myriad's advisors are Guggenheim Securities (financial) and Covington & Burlington (legal); Labcorp's are Barclays (financial) and Polsinelli (legal)
• · Myriad's Annual Report on Form 10-K was filed February 24, 2026, and is referenced for risk factors

20-10-2026

Suja Life, Inc. (NASDAQ: SUJA) announced the appointments of Robert B. Engel and Zahir Ibrahim as independent directors effective October 16, 2026, expanding the Board to nine members, seven of whom are independent. Engel will join the Audit Committee, and the appointments add financial, accounting, and capital markets expertise as the company pursues its growth strategy. The filing contains no financial results, quantitative performance metrics, or negative developments.

• · Engel serves as CEO and Managing Director of BLT Advisory Services, LLC, and is an independent director of Allient, Inc. (Audit Committee) and Chairman of Alaska Power & Telephone
• · Engel previously chaired the Risk Committee at Heartland Financial USA, Inc.
• · Ibrahim was most recently CFO of BARK, Inc. and led KIND through its 2020 sale to Mars
• · Ibrahim was earlier CFO of Annie's, Inc., which was sold to General Mills
• · Suja's brands reach consumers through thousands of retail doors nationally; the company operates a vertically integrated high-pressure processing and cold-pressed facility

20-10-2026

Beazer Homes USA, Inc. (BZH) filed an 8-K with Items 1.02, 2.01, 3.01, 3.03, 5.01, 5.02, 5.03 and 9.01, which in the preliminary classification points to a material agreement termination and a merger/acquisition-related transaction. The attached exhibit provided here is only Exhibit 3.1, the Second Amended and Restated Certificate of Incorporation, which contains no monetary amounts, deal terms, counterparties, or financial results. The filing's core economic substance cannot be verified from the content supplied.

• · Exhibit 3.1 restates the charter with 1,000 authorized common shares at $0.01 par value, a notably small authorized share count that may reflect a post-transaction capital structure (e.g., a subsidiary or wholly owned entity) and should be verified against the full filing
• · Articles VII and VIII eliminate director monetary liability to the fullest extent permitted by Delaware law and mandate indemnification and advancement of expenses for directors and officers
• · Directors may be removed with or without cause by majority vote of outstanding common stock, and stockholder action by written consent under DGCL Section 228 is permitted
• · The supplied content does not include the body of the 8-K, so Items 1.02, 2.01, 3.01, 3.03, 5.01, 5.02 and 5.03 cannot be substantiated; the merger partner, consideration, termination terms, and any officer or director changes are unknown

20-10-2026

The Trade Desk, Inc. effected an option repricing on October 19, 2026, reducing the exercise price of eligible outstanding stock options under its 2025 Incentive Award Plan to $12.26, the closing price on the Effective Date, after stockholders approved the Repricing at a special meeting that day. Options exceeding that closing price were repriced, while incentive stock options and CEO Jeff Green's market-based performance options were excluded. The repricing is intended to restore incentive and retention value without increasing equity overhang.

• · Repriced options revert to original exercise prices if the service provider terminates (other than termination by the Company without cause) or exercises before April 19, 2027
• · Proposal One received 441,097,211 votes for and 232,477,009 against, with 299,747 abstentions; Proposal Two (adjournment) was not needed
• · Class B shares carry 10 votes each, so Class B holders have outsized influence in stockholder votes
• · CEO Jeff Green's market-based performance options granted in October 2021 and September 2026 were excluded from the repricing

20-10-2026

StubHub Holdings, Inc. (NYSE: STUB) disclosed that its Board of Directors appointed Andrew Raab, Co-Founder of investment firm FPR Partners, to fill an existing vacancy as a director effective October 16, 2026, with a term expiring at the 2027 annual meeting. Raab is not expected to serve on any Board committee. The filing also discloses a prior consulting agreement (dated March 27, 2026) with Raab for a three-year term, with RSUs granted at an aggregate grant date fair value of $200,000, and a prior $2.0 million Series O preferred stock purchase by Raab in August 2025.

• · Raab's director term expires at the Company's 2027 annual meeting of stockholders
• · Raab previously served as Principal at Hellman and Friedman, Associate at Bain Capital, and Analyst at Donaldson, Lufkin and Jenrette; holds MBA from Stanford GSB and BA from University of Michigan
• · Raab's director compensation follows the non-employee director program disclosed in the FY2025 10-K filed March 5, 2026 and the proxy filed April 30, 2026
• · Company will enter its standard indemnification agreement with Raab
• · Filing discloses a related-party relationship: Raab's prior preferred stock investment and consulting arrangement, which the Company states requires disclosure under Item 404(a) of Regulation S-K

20-10-2026

Newell Brands (NASDAQ: NWL) announced the appointment of Guillermo Beade as Chief Operating Officer, effective October 26, 2026, reporting to CEO Chris Peterson and joining the Executive Committee. The COO role carries enterprise accountability for global sales, central marketing, and supply chain, with a mandate to improve connectivity across these functions and strengthen structure, systems, and talent. The filing discloses no quantitative financial results, guidance, or deal terms.

• · Beade previously served as President of SC Johnson Consumer Brands North America and as CEO of SC Johnson Lifestyle Brands
• · Management cites prior simplification of the portfolio and improvements to supply chain and go-to-market models as the basis for the structural change
• · The filing is an 8-K with Items 5.02 and 9.01, and the press release is furnished as Exhibit 99.1

20-10-2026

Mount Logan Management LLC, a wholly owned subsidiary of Mount Logan Capital Inc. (MLCI), has signed a definitive agreement to succeed Alternative Fund Advisors, LLC (AFA) as investment adviser to the AFA Asset Based Lending Fund, to be renamed Mount Logan Asset Based Lending Fund upon closing. The Fund manages approximately $230 million in net assets, which would bring MLM's combined interval fund assets to approximately $460 million, and MLCI expects the transaction to be immediately accretive to FRE upon closing. Closing is expected in Q1 2027, subject to shareholder approval and regulatory approvals; the Fund's quarterly repurchase offers are capped at 5% of net assets (with a possible range of 5% to 25% subject to board approval), and the proxy statement has not yet been filed.

• · Transaction requires approval by a majority of Fund shareholders and customary regulatory approvals; the board of trustees of the Fund and Mount Logan's board have unanimously approved it
• · The transaction includes an Asset Purchase Agreement under which MLM acquires certain business records, intellectual property, and goodwill of AFA related to managing the Fund
• · The Fund launched June 30, 2021, and holds approximately 650 underlying investments across asset-based lending, specialty finance, real estate, and other private credit niches
• · MLCI reported over $2 billion in assets under management as of June 30, 2026
• · FRE is a non-GAAP measure and the accretion estimate is a forward-looking statement that may differ materially from actual results
• · Advisers to the parties include Dechert LLP (Mount Logan), Faegre Drinker Biddle & Reath LLP (Fund), Reitler Kailas & Rosenblatt LLP and Berkshire Global Advisors (AFA)

20-10-2026

PDS Biotechnology appointed three new directors (John Dawson CBE, Deborah Ramsdell, and Bruce Wendel), effective October 18, 2026, following the resignations of four existing directors (Stephen Glover, Kamil Ali-Jackson, Gregory Freitag, and Otis Brawley). The board was reconstituted, including new Audit and Compensation committee compositions, to support advancement of PDS0301 toward a Phase 3 trial in metastatic colorectal cancer and partnership efforts for PDS0101. The filing does not disclose financial results, and the governance change is presented as a strategic enhancement rather than a response to a stated performance issue.

• · Board appointments and resignations effective October 18, 2026; announcement dated October 20, 2026
• · Otis Brawley's oncology experience was cited by the CEO as having shaped the clinical development strategy
• · Bruce Wendel currently serves on the board of ImmunityBio; prior board service includes GT BioPharma (Nov 2020 to May 2025) and Verastem (June 2016 to May 2021)
• · Deborah Ramsdell became CEO of Pluvia Biotech in August 2026, a concurrent external leadership role
• · Audit Committee is chaired by James Banaag with John Dawson and Bruce Wendel as members
• · Nominating and Governance Committee includes Dr. Ilian Iliev, who is not a new appointee

20-10-2026

Launch Two Acquisition Corp. (LPBBU), a Cayman Islands SPAC, and NuCube Energy, Inc. entered into Amendment No. 1 dated October 19, 2026 to their June 25, 2026 Business Combination Agreement. The amendment authorizes NuCube to sell a new Series A-4 Preferred Stock through Company Financings, extends the Outside Date to January 7, 2027, and increases the SPAC's employee stock purchase plan reservation to 2% of fully diluted capitalization, while the financing terms remain subject to investor-favorability limits and the amendment does not disclose the aggregate proceeds amount.

• · Company Financing Investors are excluded from the Company Stockholder definition for earnout purposes and will not participate in Earnout Shares for their Company Financing Shares
• · Company Financing proceeds count toward Net Cash Proceeds and the Minimum Cash Condition under Section 6.2(c)
• · Company Financings are deemed disclosed against NuCube's representations and warranties, so they do not trigger the bring-down test under Section 6.3(a)
• · Financing terms more favorable to investors in the aggregate than the Company Financing Terms require mutual SPAC and Company consent
• · The Outside Date for closing moved from its prior date to January 7, 2027, 5:00 pm Eastern

20-10-2026

AlTi Global, Inc. entered into an $85,000,000 Credit Facility Credit Agreement dated October 19, 2026, with Diameter Finance Administration LLC as Administrative Agent and other financial institutions as Lenders, with ALTI Global Holdings, LLC as Borrower. The agreement includes revolving credit and delayed draw term loan (DDTL) commitments, extensive affirmative and negative covenants, a Total Net Leverage Ratio financial covenant, and standard events of default. The filing excerpt is a table of contents and does not disclose pricing, maturity, or drawn amounts.

• · Financial covenant is a Total Net Leverage Ratio test (Article VII), with an equity cure right (Section 7.2)
• · Agreement includes Section 8.1 Events of Default and Section 5.16 quarterly lender calls
• · Negative covenants cover liens, asset sales, mergers, loans and investments, indebtedness, dividends, and affiliate transactions
• · Agreement includes a Benchmark Replacement provision (Section 2.12) and Limited Condition Acquisition provisions (Section 1.5)