US Merger & Acquisition SEC Filings — October 01, 2026

01-10-2026

NSTS Bancorp, Inc. completed its merger with Brookfield Bancshares, Inc. effective October 1, 2026, with shareholders receiving $14.31 per share in cash, totaling approximately $73.7 million. The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity. The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.

• · The merger was approved by shareholders with 3,762,060 votes for and only 3,905 against, representing 71.69% of outstanding shares.
• · The company's common stock was delisted from Nasdaq, and the company ceased to exist as a separate entity.
• · The company's directors and executive officers ceased to hold their positions as of the Effective Time.
• · The Bank will continue to operate under its existing name and federal savings association charter as a subsidiary of Brookfield.
• · The company's Certificate of Incorporation and Bylaws ceased to be in effect by operation of law.
• · Brookfield intends to file a Form 15 with the SEC to deregister the common stock and suspend reporting obligations.

01-10-2026

Inseego Corp. completed its acquisition of Nokia's Fixed Wireless Access (FWA) business on October 1, 2026, a transaction expected to approximately double Inseego's revenue and expand its global footprint across Europe, the Middle East, Asia, Oceania, and the Americas. Under the terms, Nokia received an equity ownership stake of approximately 1.9 million shares (about 11% interest) and warrants for up to 0.8 million shares at $4.26 per share, plus a $10 million cash investment. Nokia will also make an additional $10 million cash payment to Inseego by October 15, 2026 to support engineering investments. Approximately 250 personnel from the acquired business will support expanded operations, and Inseego has established an international headquarters in Amsterdam and a development center in Athens.

• · Inseego established an international headquarters in Amsterdam and a development center in Athens, and expanded its presence in Bangalore.
• · Nokia will provide support through the transition and refer new FWA opportunities to Inseego.
• · Technology collaboration areas include AI-RAN, converged fiber and 5G connectivity, end-to-end network optimization, and distributed edge computing.
• · Approximately 250 personnel from the acquired business will support operations, including employees joining Inseego and Nokia personnel under a transition services agreement.

01-10-2026

LFTD PARTNERS INC. filed an 8-K on October 1, 2026, reporting the termination of a material definitive agreement (Item 1.02) and the completion of an acquisition or disposition of assets (Item 2.01). The filing also includes Regulation FD disclosure (Item 7.01) and financial statements (Item 9.01). However, the filing does not disclose the counterparty, deal value, consideration type, or any financial metrics, making it impossible to assess the strategic rationale, valuation, or shareholder impact.

• · The filing does not disclose the identity of the counterparty or the nature of the terminated agreement.
• · No financial statements, pro forma data, or exhibits are summarized in the filing text.
• · The acquisition/disposition could be either an asset purchase or a stock transaction, but no details are provided.
• · No breakup fees, termination penalties, or go-shop provisions are mentioned.

01-10-2026

CenterPoint Energy completed the $2.62 billion sale of its Ohio natural gas business (Vectren Energy Delivery of Ohio, LLC) to National Fuel Gas Company, receiving all required federal and state approvals including from the Public Utilities Commission of Ohio. The divested assets include approximately 5,900 miles of pipeline serving about 335,000 metered customers in West Central Ohio. Proceeds will support CenterPoint's $66.7 billion, 10-year capital plan, while the company continues to serve nearly 7 million metered customers in Indiana, Minnesota, and Texas.

• · Transaction received all required federal and state approvals, including review by the Public Utilities Commission of Ohio.
• · National Fuel Gas Company is headquartered in Western New York.
• · CenterPoint is the only investor-owned electric and gas utility based in Texas.
• · CenterPoint and its predecessor companies have been in business for more than 150 years.
• · The sale closed on October 1, 2026.

01-10-2026

Sadot Group Inc. filed an 8-K on October 1, 2026, announcing the creation of 3,575 shares of Series D Non-Voting Contingently Convertible Preferred Stock with an aggregate stated value of $3,575,000 as partial consideration for the acquisition of the SalesIQ Platform from Softtech Resources Limited. The Series D Preferred is non-convertible until milestones are met, including achieving annual recurring revenue (ARR) of at least $250,000 within 36 months of issuance and obtaining shareholder and Nasdaq approvals. The instrument is structured as permanent equity, with no dividends, no redemption rights, and no liquidation preference.

• · The Series D Preferred has no voting rights, no dividends, no redemption rights, and no liquidation preference.
• · Conversion is contingent on three conditions: achievement of ARR ≥ $250,000 within 36 months, shareholder approval, and Nasdaq confirmation that the issuance does not trigger a back-door listing or new listing application.
• · The preferred stock is intended to be classified as permanent equity under US GAAP (ASC 480 and ASC 815-40).
• · Series E Non-Voting Contingently Convertible Preferred Stock was issued concurrently under the same Purchase Agreement.
• · The Purchase Agreement was entered on September 30, 2026.

01-10-2026

National Fuel Gas Company (NFG) completed its acquisition of CenterPoint Energy's Ohio natural gas utility, Vectren Energy Delivery of Ohio, LLC, for an undisclosed amount. The deal adds approximately 335,000 customers across 16 Ohio counties, doubling NFG's utility rate base and expanding its regulated footprint into a new state. The company's total utility customer base grows to ~1.1 million, and approximately 200 employees will join NFG, though no financial terms or expected cost synergies were disclosed.

• · The acquired entity will be renamed National Fuel Gas Distribution of Ohio, LLC.
• · Existing customer billing cycles, payment methods, and online account access will remain unchanged initially.
• · NFG plans to be an active corporate citizen through local community support and employee volunteerism.
• · The acquisition is expected to provide a platform for continued regulated investment opportunities and further balance the company's business mix.
• · No purchase price or valuation metrics were disclosed in the filing.

01-10-2026

Liquidity Services (LQDT) completed the acquisition of Auction Holdings, Inc., which operates Invaluable, AuctionZip, and RFC Auction Systems, for $80 million in cash on a debt-free, cash-free basis. The acquisition expands Liquidity Services' global footprint in the collectibles, fine art, and antiques market, adding approximately four million registered bidders and over $500 million in gross merchandise sales (GMS) for the fiscal year ended December 31, 2025. The deal is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27, but the company did not provide a reconciliation of the Non-GAAP measure due to the difficulty of estimating certain items.

• · Invaluable's platform supports multi-currency and multi-lingual transactions.
• · Invaluable offers proprietary pricing data via subscription service.
• · The acquisition is expected to be accretive to GAAP and Non-GAAP Adjusted Diluted EPS in FY27.
• · Liquidity Services funded the acquisition with cash on hand.
• · Invaluable's leadership team is expected to remain with the business post-closing.
• · The acquisition is part of Liquidity Services' strategy to invest in marketplace platforms in sectors ripe for innovation.
• · Liquidity Services has over $15 billion in completed transactions and serves more than six million qualified buyers and 15,000 corporate and government sellers.

01-10-2026

H2O America (NASDAQ: HTO) announced the completion of its Texas subsidiary Texas Water Company's (TWC) acquisition of all assets of Quadvest, more than doubling H2O America's water and wastewater connections in Texas and expanding into the Houston region. The company projects Texas customers will grow from 8% to 26% of its overall customer base by 2029, with double-digit customer growth expected. However, the acquisition carries integration risks, and the company notes potential regulatory, operational, and financial uncertainties that could affect projected benefits.

• · Quadvest has served Houston-area customers since 1978.
• · TWC has served Texas Hill Country customers since 2006.
• · The acquisition more than doubles H2O America's water and wastewater connections in Texas.
• · Operations continue without interruption for Quadvest customers.
• · Locally based employees and leadership serving Houston-area customers have been retained.
• · The acquisition is expected to be accretive to H2O America's long-term EPS growth rate (forward-looking).
• · Risks include integration challenges, regulatory actions, climate change, and financing availability.

01-10-2026

Ashford Hospitality Trust completed the sale of the 220-room Embassy Suites Las Vegas for approximately $42.7 million in cash, net of selling expenses, and used about $41.2 million to repay the mortgage lender. The transaction closed on September 25, 2026, and the company recorded a preliminary non-recurring gain, with pro forma financials reflecting the removal of the hotel's assets and operations. While the sale strengthens liquidity, it also reduces the company's asset base and incurs a loss on extinguishment of debt, reflecting a mixed impact on financial performance.

• · Pro forma net loss for the year ended December 31, 2025, improved from a historical loss of $188,159 thousand to $156,992 thousand, reflecting the removal of the hotel's operations and the non-recurring gain.
• · Pro forma operating income for the year ended December 31, 2025, increased from $116,415 thousand to $144,721 thousand, a 24.3% improvement.
• · Pro forma interest expense for the year ended December 31, 2025, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit remained at $143 thousand, unchanged.
• · Pro forma net loss allocated to redeemable noncontrolling interests reflected an ownership percentage of 1.43% for the year ended December 31, 2025 and 1.41% for the six months ended June 30, 2026.
• · Pro forma total assets decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock remained at $11 thousand, unchanged.
• · Pro forma common stock remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding remained at 83,944 thousand, unchanged.
• · Pro forma operating income for the six months ended June 30, 2026, decreased from $209,576 thousand to $207,455 thousand, a 1.0% decline.
• · Pro forma interest expense for the six months ended June 30, 2026, decreased from $129,224 thousand to $127,664 thousand, a 1.2% decline.
• · Pro forma write-off of premiums, loan costs and exit fees for the six months ended June 30, 2026, decreased from $1,559 thousand to $1,486 thousand, a 4.7% decline.
• · Pro forma loss on extinguishment of debt for the six months ended June 30, 2026, remained at $1,975 thousand, unchanged.
• · Pro forma equity in earnings (loss) of unconsolidated entities for the six months ended June 30, 2026, remained at a loss of $325 thousand, unchanged.
• · Pro forma realized and unrealized loss on derivatives for the six months ended June 30, 2026, remained at $5,346 thousand, unchanged.
• · Pro forma income tax benefit for the six months ended June 30, 2026, remained at $143 thousand, unchanged.
• · Pro forma net loss for the six months ended June 30, 2026, improved from $188,159 thousand to $156,992 thousand, a 16.6% improvement.
• · Pro forma net loss allocated to redeemable noncontrolling interests for the six months ended June 30, 2026, reflected an ownership percentage of 1.41%.
• · Pro forma total assets for the six months ended June 30, 2026, decreased from $2,334,450 thousand to $2,322,186 thousand, a 0.5% decline.
• · Pro forma total liabilities for the six months ended June 30, 2026, decreased from $2,890,988 thousand to $2,847,500 thousand, a 1.5% decline.
• · Pro forma total equity (deficit) for the six months ended June 30, 2026, improved from $(556,538) thousand to $(525,314) thousand, a 5.6% improvement.
• · Pro forma indebtedness, net, for the six months ended June 30, 2026, decreased from $1,905,747 thousand to $1,864,727 thousand, a 2.2% decline.
• · Pro forma debt associated with hotels in receivership for the six months ended June 30, 2026, decreased from $31,224 thousand to $30,974 thousand, a 0.8% decline.
• · Pro forma accrued interest associated with hotels in receivership for the six months ended June 30, 2026, remained at $94,327 thousand, unchanged.
• · Pro forma dividends and distributions payable for the six months ended June 30, 2026, remained at $4,247 thousand, unchanged.
• · Pro forma due to Ashford Inc., net, for the six months ended June 30, 2026, remained at $52,552 thousand, unchanged.
• · Pro forma due to related parties, net, for the six months ended June 30, 2026, remained at $3,654 thousand, unchanged.
• · Pro forma Series D Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma Series F Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series G Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $15 thousand, unchanged.
• · Pro forma Series H Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $10 thousand, unchanged.
• · Pro forma Series I Cumulative Preferred Stock for the six months ended June 30, 2026, remained at $11 thousand, unchanged.
• · Pro forma common stock for the six months ended June 30, 2026, remained at $65 thousand, unchanged.
• · Pro forma additional paid-in capital for the six months ended June 30, 2026, remained at $187,498 thousand, unchanged.
• · Pro forma accumulated other comprehensive income (loss) for the six months ended June 30, 2026, remained at $0 thousand, unchanged.
• · Pro forma noncontrolling interest in consolidated entities for the six months ended June 30, 2026, remained at $14,347 thousand, unchanged.
• · Pro forma diluted weighted average common shares outstanding for the six months ended June 30, 2026, remained at 83,944 thousand, unchanged.

01-10-2026

5E Advanced Materials, Inc. subsidiary 5E SVM, LLC issued a $6.22M promissory note to Karnavati Holdings, Inc. on October 1, 2026, bearing 14.50% PIK interest and maturing September 30, 2031. The note is tied to an Asset Purchase Agreement dated September 14, 2026, and requires a mandatory $1.22M prepayment 12 months after closing. The filing does not disclose any revenue, profit, or operational metrics, so no period-over-period comparisons are available.

• · The note is issued by 5E SVM, LLC, a wholly owned subsidiary of 5E Advanced Materials, Inc.
• · Interest is paid in kind (PIK) by adding accrued interest to principal, unless borrower elects cash payment with 3 business days' notice.
• · The note is secured by an Asset Purchase Agreement dated September 14, 2026, and a Sale Order satisfactory to the lender.
• · A Change of Control event is triggered if any person/group acquires >35% of the Guarantor's voting stock or if the Borrower ceases to be a wholly owned subsidiary of the Guarantor.
• · The filing does not disclose the purpose of the loan or the assets being acquired under the Asset Purchase Agreement.

01-10-2026

Gentherm (THRM) completed its combination with Modine's Performance Technologies business via a Reverse Morris Trust transaction, creating a global market leader in thermal and precision flow management technologies. The deal closed with Modine shareholders receiving 0.44619 Gentherm shares per Modine share, resulting in Modine shareholders owning ~43.62% and pre-closing Gentherm shareholders owning ~56.38% of the combined company. Gentherm also declared a special dividend of $2.07 per share payable October 7, 2026, and appointed former Ford CTO Paul Mascarenas to its board, which expands to 10 members.

• · Transaction structured as a Reverse Morris Trust (RMT) intended to be tax-free to Modine and its shareholders for U.S. federal income tax purposes.
• · Modine shareholders received 0.44619 shares of Gentherm common stock per Modine share held as of September 28, 2026 record date.
• · Modine will continue using the Modine brand in its Commercial HVAC segment (Heat Transfer Solutions and HVAC Technologies) under a license with Gentherm.
• · Paul Mascarenas holds a B.S. in Mechanical Engineering from University of London, King's College and an honorary doctorate from Chongqing University.
• · Gentherm acquired the Modine brand, domains, and trademarks and will continue to go to market as Modine.

01-10-2026

Modine completed the spin-off of its Performance Technologies business and its combination with Gentherm via a Reverse Morris Trust transaction, effective October 1, 2026. Modine shareholders received 0.44619 Gentherm shares per Modine share, representing about 43.62% of the combined company, and Modine received a cash distribution of approximately $156 million to repay debt. The transaction valued Performance Technologies at approximately $946.4 million, and Modine plans to change its name to Modexus Solutions pending shareholder approval, while Gentherm will operate under the Modine brand.

• · Record date for spin-off was September 28, 2026.
• · Special dividend of $2.07 per share payable on October 7, 2026 to Gentherm shareholders as of September 28, 2026.
• · Modine shareholders continue to hold same number of Modine shares post-transaction.
• · Modine expects to call special shareholder meeting within next three months to vote on name change to Modexus Solutions.
• · Gentherm acquired Modine brand, domains, and trademarks; Modine will license brand for certain businesses.
• · Transaction intended to be tax-free for U.S. federal income tax purposes, except cash in lieu of fractional shares.
• · Modine's common stock expected to continue trading on NYSE under ticker 'MOD' after name change.

01-10-2026

Sizzle Acquisition Corp. II (SZZL) announced that Pubco (Trasteel S.A.) confidentially submitted a draft registration statement on Form F-4 to the SEC on September 30, 2026, in connection with its proposed business combination with Trasteel Holding S.A. This milestone advances the previously announced merger, but the registration statement remains subject to SEC review and has not yet been declared effective. No financial terms or performance metrics were disclosed in this filing.

• · The draft registration statement on Form F-4 was confidentially submitted to the SEC on September 30, 2026.
• · The Business Combination Agreement was originally entered into on April 13, 2026, and has been amended.
• · The registration statement has not been filed or declared effective and remains subject to SEC review.
• · The filing is a Regulation FD disclosure and does not contain financial statements or new financial data.

01-10-2026

BRC Group Holdings, Inc. (RILY) announced a definitive agreement to acquire Sangoma Technologies Corporation for an enterprise value of approximately $204 million (C$289 million), comprising ~$170M in cash and ~$10M in BRC shares. The combined trailing-twelve-month revenue of BRC's communications businesses and Sangoma was approximately $441 million as of June 2026. However, the filing explicitly warns that Sangoma's recent operating results reflect declining Adjusted EBITDA and reduced guidance, with no assurance that prior revenue growth rates or margins will be restored, and the transaction is subject to shareholder and regulatory approvals with an expected close no later than early 2027.

• · Sangoma shareholders will receive $4.925 in cash and 0.04767 of a BRC share per Sangoma share.
• · The transaction is expected to be partially funded through a $215M senior secured term loan facility with Banc of California as sole lead arranger.
• · The transaction is not subject to any financing condition.
• · Completion requires approval by at least two-thirds of votes cast by Sangoma shareholders and a simple majority excluding certain shares per MI 61-101.
• · Sangoma shares will be delisted from TSX and Nasdaq upon closing; BRC will become a reporting issuer under Canadian securities laws.
• · The filing explicitly warns that Sangoma's recent operating results reflect declining Adjusted EBITDA and reduced guidance.

01-10-2026

Aureus Greenway Holdings Inc. (AGH) completed its merger with Powerus, effective October 1, 2026, with Powerus surviving as a wholly owned subsidiary. AGH was renamed Powerus Corporation and continues trading on Nasdaq under the symbol PUSA. The combined company is a U.S. defense technology firm focused on autonomous drones and unmanned systems. While the merger positions Powerus for scale, the filing also highlights that several previously announced milestones—including a $90 million Air Force IDIQ contract ceiling, a $60 million Australia-New Zealand distribution agreement, and a $30 million equity investment—are non-binding or subject to significant contingencies, with no guaranteed future orders or revenue.

• · The merger was completed effective October 1, 2026, with Powerus merging into a newly formed subsidiary of AGH and Powerus continuing as the surviving entity.
• · AGH was renamed Powerus Corporation and continues trading on Nasdaq under the symbol PUSA (no change in symbol).
• · The $2.5 million purchase order for 1,500 FPV aircraft does not guarantee future orders, a continuing customer relationship, or program-of-record status.
• · The U.S. Air Force IDIQ contract has a ceiling of $90 million but orders are at the government's discretion and actual awards may be materially less.
• · The $60 million Australia-New Zealand distribution agreement and $30 million equity investment are non-binding or subject to contingencies.
• · The memorandum of understanding with Swarmer and with Pakistani defense officials are exploratory and may not result in definitive agreements.
• · The UAE manufacturing facility arrangement does not guarantee any particular level of production or sales.
• · The Falcon Peak 26.2 designation as an industry participant does not constitute a procurement contract or purchase commitment.

01-10-2026

Armada Acquisition Corp. II held an extraordinary general meeting on September 30, 2026, where shareholders approved all key proposals for its business combination with Ripple Labs Inc. and Evernorth Holdings Inc., including the Business Combination Proposal (20,514,034 for, 1,362,081 against), the Merger Proposal (20,514,597 for, 1,362,089 against), and the Domestication Proposal (7,880,000 for, 0 against). The advisory proposals on Delaware documents and organizational documents were also approved on a non-binding basis. The Adjournment Proposal was not needed as sufficient votes were present. The transaction involves a change of domicile from Cayman Islands to Delaware, with the post-combination entity to be named Arrington Capital SPAC I Inc.

• · The Business Combination Agreement was dated October 19, 2025.
• · The record date for the meeting was August 20, 2026.
• · The definitive proxy statement/prospectus was filed on August 27, 2026.
• · The Domestication Proposal was voted on only by Class B shareholders (7,880,000 shares), with no votes against or abstentions.
• · The Adjournment Proposal was not presented because sufficient votes were present to approve the other proposals.
• · The post-combination entity will be domiciled in Delaware as Arrington Capital SPAC I Inc.
• · The company's principal executive offices are at 382 NE 191 St, Suite 52895, Miami, FL 33179-3899.

01-10-2026

Mangoceuticals, Inc. (MGRX) announced a $2.5 million strategic investment in its former wholly-owned subsidiary, MangoRx IP Holdings, LLC, with an initial tranche of $1.75 million received. The investment is at the subsidiary level and does not involve the issuance of MGRX common stock, thus avoiding dilution for public shareholders. The funds will support the commercialization of the company's antiviral intellectual property portfolio, which has potential applications in oral care and feed additives markets valued at $34.8 billion and $39.8 billion respectively in 2025.

• · The investment does not involve issuance of MGRX common stock, warrants, or other parent company securities.
• · Patent No. 11,517,523 protects the technology in the U.S.; corresponding patents are granted or pending in the EU, Canada, China, India, Australia, and Japan.
• · The second tranche of $750,000 is payable by November 28, 2026.
• · The offering was conducted under Section 4(a)(2) of the Securities Act and/or Rule 506(b) of Regulation D.
• · The company faces risks including potential non-compliance with Nasdaq listing standards and a significant number of outstanding warrants and convertible securities.

01-10-2026

Plum Acquisition Corp. IV announced that its merger partner, Controlled Thermal Resources Holdings Inc. (CTR), has secured agreements with strategic investors to strengthen its capital structure ahead of the planned business combination. The deal is expected to support CTR's flagship Hell's Kitchen lithium project, but the filing provides no specific financial figures or completion timeline, and the transaction remains subject to shareholder approval and regulatory conditions.

• · The press release was issued on October 1, 2026.
• · CTR entered into agreements with strategic investors to strengthen its capital structure.
• · The business combination is subject to approval by Plum IV shareholders and other closing conditions.
• · Plum IV's securities trade on the Nasdaq Global Market under symbols PLMKU, PLMK, and PLMKW.
• · The combined company's securities are expected to trade on Nasdaq after the transaction.
• · Plum IV is an emerging growth company and has elected not to use the extended transition period for complying with new financial accounting standards.

01-10-2026

La Rosa Holdings Corp. (NASDAQ: LRHC) announced on October 1, 2026 the acquisition of next-generation NVIDIA B300 GPUs, which will be leased back under a long-term lease to generate recurring revenue, advancing its transition into AI infrastructure. Concurrently, the company will evaluate strategic alternatives for its real estate operations, including a potential divestiture, and announced a leadership change with Nicholas Adler appointed CEO and interim CFO, while founder Joe La Rosa steps down to lead the real estate business. The company also intends to change its corporate name and Nasdaq ticker, but no financial terms were disclosed.

• · Nicholas Adler appointed CEO and interim CFO effective October 1, 2026; he has served as Chairman since December 2025.
• · Joe La Rosa, founder and former CEO, will lead the real estate business and remain on the Board.
• · The company intends to change its corporate name and Nasdaq ticker, with updates to follow.
• · No financial terms of the GPU acquisition or lease were disclosed.
• · The company plans to evaluate strategic alternatives for real estate operations, including a potential divestiture.

01-10-2026

Alpha Modus Holdings, Inc. closed a PIPE transaction on September 30, 2026, issuing 51,621,560 shares of Class A Common Stock and warrants for an additional 51,621,560 shares at $4.36/share to non-U.S. investors in exchange for 3,170 bitcoin. The bitcoin, held by a newly-formed subsidiary, is valued at over $250 million based on a reference price of ~$83,612.20 per bitcoin. The company believes this transaction has resolved a prior Nasdaq delisting risk by boosting stockholders' equity well above the $2.5 million minimum requirement, though Nasdaq will continue to monitor compliance.

• · The company had previously failed to meet Nasdaq's $500,000 minimum net income standard, $35M alternative minimum market value, and $2.5M minimum stockholders' equity.
• · Nasdaq granted an extension for the company to submit a compliance plan, which has now been accepted.
• · Despite the transaction, Nasdaq will continue to monitor the company's equity compliance, and failure at the next periodic report could lead to delisting.
• · Potential consequences of delisting include reduced liquidity, lower stock price, difficulty raising equity, and inability to provide equity incentives to employees.

01-10-2026

Launch Two Acquisition Corp. filed an 8-K on October 1, 2026, reporting the conversion of 5,749,999 Class B ordinary shares into Class A ordinary shares held by its sponsor, and disclosing plans to enter into Non-Redemption Agreements with shareholders to secure approval for extending its business combination deadline from October 9, 2026 to April 9, 2027. The filing indicates the company is actively working to avoid liquidation and complete a merger, but the outcome remains uncertain and dependent on shareholder votes.

• · The conversion was exempt from registration under Section 3(a)(9) of the Securities Act.
• · The Non-Redemption Agreements are intended to increase the likelihood of approval for the extension proposal and retain more funds in the trust account.
• · The extension proposal seeks to move the business combination deadline from October 9, 2026 to April 9, 2027.
• · The company is an emerging growth company and has elected not to use the extended transition period for complying with new accounting standards.