US Corporate Distress Financial Stress SEC Filings — March 09, 2026

09-03-2026

Aureus Greenway Holdings Inc. (AGH) entered into an Agreement and Plan of Merger dated March 8, 2026, with Autonomous Power Corporation, Aureus Merger Sub Inc., and Andrew Fox as Stockholder Representative, under which AGH's wholly-owned subsidiary will merge with Autonomous Power, surviving as a wholly-owned subsidiary of AGH. The Parent Board and Company Board unanimously approved the transaction, with requisite stockholder consents to be delivered promptly, and the merger is intended to qualify as a tax-free reorganization under Section 368(a) of the Code. AGH will amend its charter to change its name to Powerus Corporation effective at closing.

• ·Filing Date: March 09, 2026
• ·Agreement Date: March 8, 2026
• ·Closing to occur on second Business Day after satisfaction of conditions in Article VI
• ·Simultaneous execution of Lock-Up Agreements (Exhibit A) by Company Significant Holders and Leak-Out Agreements (Exhibit B) by Parent Significant Holders, effective at Closing
• ·Parent name change to Powerus Corporation via Parent Charter Amendment

09-03-2026

Mag Magna Corp. (MGNC) entered into an Equity Purchase Agreement dated February 25, 2026, with Monroe Street Capital Partners, LP, enabling the company to issue and sell up to $30M of common stock to the investor from time to time over a commitment period of up to 24 months. The investor will receive 15,000 initial commitment shares. No financial performance data, period-over-period comparisons, or operational metrics are disclosed in the filing.

• ·Agreement filed as Exhibit 10.1 in 8-K on March 09, 2026, covering Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 3.02 (Unregistered Sales of Equity Securities), and 9.01 (Financial Statements and Exhibits).
• ·Purchase price set at 80% of the lowest traded price on relevant trading days, subject to conditions including effective registration statement and no material adverse effects.
• ·Commitment period ends on the earlier of full $30M utilization, 24 months from execution, company termination notice (with restrictions), registration statement ineffectiveness, or bankruptcy events.

09-03-2026

Netlist, Inc. entered into the First Amendment to Lease with University Research Park LLC, dated March 4, 2026, as reported in this 8-K filing under Item 1.01 (Entry into a Material Definitive Agreement). The amendment is attached as Exhibit 10.1. The filing was signed by Gail M. Sasaki, Executive Vice President and Chief Financial Officer, on March 9, 2026.

09-03-2026

Longeveron Inc. reported the immediate resignation of Board member and Audit Committee chairman Richard Kender on March 3, 2026, due to his new role as Executive Chairman and Interim CEO at Seres Therapeutics, resulting in temporary non-compliance with Nasdaq Listing Rule 5605(c)(2)(A) for lacking three independent audit committee members and a financial expert. On March 4, 2026, the company appointed existing Board member Dr. Roger Hajjar to the Audit Committee, restoring the minimum three independent members but still without a financial expert. Longeveron plans to appoint or elect a qualified independent audit committee financial expert within the 180-day cure period or at the next annual shareholders' meeting.

• ·Resignation not due to any disagreement with company operations, policies, practices, management, or Board.
• ·Seres Therapeutics announced Kender's new role on March 2, 2026.

09-03-2026

Battalion Oil Corporation entered into a definitive agreement to raise approximately $15 million gross ($14.1 million net after fees) through a private placement of common stock at $5.50 per share and/or prefunded warrants with a new institutional investor, with Roth Capital Partners as sole placement agent. The offering is expected to close on March 4, 2026, subject to customary conditions, with proceeds intended for working capital and general corporate purposes. The company also noted an increase in average oil production of approximately 1,200 net barrels per day in January compared to December.

• ·Expected closing date: March 4, 2026, subject to customary conditions
• ·Company to file resale registration statement on Form S-3 within 20 days of closing
• ·Securities offered in unregistered private placement under Securities Act exemptions
• ·Oil production increase of approximately 1,200 net barrels per day (January vs. December)

09-03-2026

Bunker Hill Mining Corp. closed a brokered LIFE offering of 150,808,332 units at C$0.18 for gross proceeds of C$27,145,500, a concurrent non-brokered private placement of 8,926,668 units for C$1,606,800, and a warrant exercise for C$5,000,000, totaling C$33,752,300 in aggregate proceeds. Net proceeds will fund working capital for the ramp-up of the Bunker Hill Mine to commercial production, exploration, and general corporate purposes. No declines or flat metrics reported; however, the offering involves dilution to existing shareholders and includes minor insider participation of 300,000 units.

• ·Each LIFE Unit includes one Common Share and one Warrant exercisable at C$0.30 for 36 months.
• ·Compensation Options exercisable at C$0.18 for 24 months.
• ·Insider participation relied on exemptions under MI 61-101.
• ·LIFE Units subject to 6-month U.S. hold period; registration statement to be filed within 5 business days.
• ·Announcement date: March 5, 2026; reverse split news releases: February 9, 2026 and March 3, 2026.

09-03-2026

Alexander’s, Inc. (NYSE: ALX) entered into an agreement to sell its unencumbered Rego Park I property in Queens, New York, to Northwell Health, Inc., for a gross purchase price of $235.5M and net proceeds of $202M, expecting a financial statement gain of approximately $147M. The 338,000 sq ft vacant structure on 5.9 acres, built in 1959 with a 1,236-space parking garage, was recently vacated by relocating tenants to adjacent Rego Park II. The sale is subject to customary closing conditions and expected to close by Q3 2026.

• ·Rego Park I located at intersection of Queens Boulevard and Junction Boulevard, adjacent to Long Island Expressway
• ·Property built in 1959 as three-story vacant structure
• ·Tenants relocated to adjacent Rego Park II shopping center
• ·Contact phone: (201) 587-8541

09-03-2026

enGene Holdings Inc. entered into a Sales Agreement with Leerink Partners LLC on March 9, 2026, enabling at-the-market sales of common shares with an aggregate offering price of up to $100M, subject to a commission of up to 3.0% with no obligation to sell any shares. The company simultaneously terminated its prior sales agreement with Jefferies LLC effective March 6, 2026, under which no common shares were sold and no termination penalties apply. This establishes a new financing vehicle but provides no assurance of actual sales or proceeds.

• ·Termination notice to Jefferies LLC delivered February 27, 2026.
• ·No shares offered or sold in Canada under new Sales Agreement.
• ·Sales pursuant to effective shelf registration on Form S-3 (File No. 333-293597).
• ·Prospectus supplement filed March 9, 2026.

09-03-2026

Relmada Therapeutics announced positive 12-month Phase 2 interim data for NDV-01 in high-risk NMIBC, achieving a 76% complete response (CR) rate at 12 months (95% at any time) and 80% CR at 12 months (94% anytime) in BCG-unresponsive patients, with no progression to muscle-invasive disease, no radical cystectomies, and a favorable safety profile (no ≥Grade 3 TRAEs or discontinuations). The results support advancing to the Phase 3 RESCUE registrational program in mid-2026 for 2L BCG-unresponsive and adjuvant intermediate-risk NMIBC. While CR rates showed slight declines over time (87% at 3 months to 76% at 12 months overall), no major negative outcomes were reported.

• ·No patients progressed to muscle-invasive disease or underwent radical cystectomy.
• ·Phase 3 RESCUE Pathway 1: Open-label RCT in adjuvant intermediate-risk NMIBC post-TURBT vs observation (primary endpoint: DFS).
• ·Phase 3 RESCUE Pathway 2: Single-arm trial in 2L BCG-unresponsive NMIBC with CIS (primary endpoint: CR rate at any time).
• ·Upcoming milestones: US IND clearance mid-2026, Phase 3 initiation mid-2026, initial 3-month Phase 3 results YE 2026.
• ·NDV-01 patents protected through 2038; administration <5 minutes without anesthesia.

09-03-2026

On March 3, 2026, Lightpath Fiber Issuer LLC, a bankruptcy-remote indirect subsidiary of Optimum Communications, Inc., completed a $1.657B securitization financing by issuing Secured Fiber Network Revenue Notes, Series 2026-1, consisting of $1.527B Class A-2 Notes at 5.597% interest and $130M Class B Notes at 5.890% interest. The net proceeds were used to repay in full $1,553.3M of existing debt, including 5.625% senior notes due 2028, 3.875% senior secured notes due 2027, and a term loan facility, with remaining proceeds for general corporate purposes. The notes are secured by fiber network assets and customer contracts in New York City, Boston metro areas, New Jersey, Connecticut, Pennsylvania, and Virginia, with an anticipated repayment date of March 25, 2031, and legal final maturity in March 2056.

• ·Notes subject to rapid amortization if debt service coverage ratio fails to meet thresholds.
• ·Securitized assets include fiber network assets and customer contracts in New York City, Boston metro areas, New Jersey, Connecticut, Pennsylvania, and Virginia.
• ·Legal final maturity date of the Notes: March 2056.

09-03-2026

Spruce Biosciences reported FY2025 financial results with total operating expenses of $36.5M (down 40% YoY from $61.1M) and net loss of $39.0M (improved 26% from $53.0M YoY), driven by lower R&D spending after ceasing tildacerfont development, though G&A rose 16% YoY to $17.0M and collaboration revenue fell to $0 from $4.9M. Cash stood at $48.9M as of Dec 31, 2025, funding operations into early 2027, bolstered by a January 2026 $50M loan facility from Avenue Capital (initial $15M tranche). Key updates include positive FDA Type B meetings supporting Q4 2026 BLA for TA-ERT in MPS IIIB, appointment of Dale Hooks as CCO, and other leadership additions.

• ·Stock-based compensation expenses: $2.6M in FY2025 (down from $5.3M in FY2024)
• ·Net loss per share: $(50.83) in FY2025 vs $(96.40) in FY2024
• ·Weighted-average shares outstanding: 766,598 in FY2025 (up from 550,146 in FY2024)
• ·PRV program reauthorized through September 30, 2029; TA-ERT eligible if approved

09-03-2026

Korro Bio, Inc. (KRRO) announced an oversubscribed $85M PIPE financing led by Venrock Healthcare Capital Partners with participation from new and existing investors, expected to close on or about March 10, 2026. Gross proceeds, combined with $85.2M in unaudited cash, cash equivalents, and marketable securities as of December 31, 2025, are expected to extend the cash runway into the second half of 2028 to fund clinical milestones for KRRO-121 in urea cycle disorders and the GalNAc-conjugated AATD program. The financing involves selling 4,501,928 common shares at $11.11 each and pre-funded warrants for 3,148,836 shares.

• ·PIPE closing subject to customary conditions on or about March 10, 2026
• ·Placement agents: Citigroup, Cantor, Oppenheimer & Co., William Blair
• ·Company to file SEC registration for resale of PIPE shares and warrant shares
• ·Cash runway extends into second half of 2028

09-03-2026

Lisata Therapeutics, Inc. (Nasdaq: LSTA) has entered a definitive agreement to be acquired by Kuva Labs, Inc. via tender offer at $5.00 per share in cash plus one contingent value right (CVR) for a potential additional $1.00 per share if an NDA or equivalent for certepetide is filed/accepted within 7 years of closing. The board unanimously recommends tendering shares, with closure expected in Q2 2026 subject to customary conditions including majority tender; post-close, LSTA will delist from Nasdaq and deregister as a reporting company. The CVR payout is uncertain and may result in no additional payment if the milestone is unmet.

• ·Tender offer requires majority of outstanding shares; no financing condition.
• ·CVR milestone: NDA or similar filing/acceptance for certepetide prior to 7th anniversary of closing or CVR termination.
• ·Advisors: Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. (Lisata legal), H.C. Wainwright & Co. (Lisata financial), Goodwin Procter LLP (Kuva legal).

09-03-2026

Xencor, Inc. received a notice on March 4, 2026, from Genentech, Inc. and F. Hoffmann-La Roche Ltd terminating their Amended and Restated Collaboration and License Agreement in its entirety for convenience, effective September 4, 2026. The agreement covered efbalropendekin alfa, the sole active collaboration product, which Roche removed from its development pipeline as announced in January 2025. Xencor had anticipated this administrative termination after opting out of co-development and ceasing cost-sharing activities in the first half of 2024.

• ·Agreement effective as of June 1, 2024.
• ·Genentech assumed sole responsibility for clinical, regulatory, and commercial activities after Xencor's opt-out.
• ·Termination elected for convenience.

09-03-2026

ProFrac Holding Corp. entered into the Ninth Amendment to its Credit Agreement on March 3, 2026, reducing maximum availability to $275M while extending the scheduled maturity by six months to September 3, 2027. SOFR loan margins were revised to start at 1.75%-2.25% with 0.25% step-ups every three months up to 3.00%-3.50%, the unused line fee set at 0.375%, and certain negative covenant exceptions curtailed or removed. The $15M minimum liquidity covenant was replaced with a stricter $45M minimum availability covenant.

• ·Amendment effective March 3, 2026; filed March 9, 2026
• ·Ninth Amendment attached as Exhibit 10.1

09-03-2026

Occidental Petroleum (OXY) announced early tender results for its cash tender offers and consent solicitations on several senior notes and debentures, increasing the Aggregate Cap from $700M to $1.2B and fully accepting $21.5M of 0% 2036 Notes and $843.3M of 6.125% 2031 Notes, while prorating acceptance of $335.2M (28.7%) of 6.625% 2030 Notes due to oversubscription. No tenders were accepted for the 7.200% 2029 or 7.950% 2029 Debentures. Requisite consents were obtained only for the 6.125% 2031 Notes amendments, with early settlement on March 9, 2026.

• ·Early Tender Time: 5:00 p.m. NYT on March 4, 2026
• ·Early Settlement Date: March 9, 2026
• ·Tender Offers Expiration Date: March 19, 2026 (unless extended)
• ·Offer to Purchase dated February 19, 2026
• ·Early Tender Premium: $30 per $1,000 principal for accepted notes
• ·Requisite consents not obtained for 6.625% 2030 Notes, 7.200% 2029 Debentures, or 7.950% 2029 Debentures
• ·Accreted value for 0.000% 2036 Notes as of April 10, 2026: approximately $580,925.31 per $1M principal at maturity

09-03-2026

Cypherpunk Technologies Inc. received a Nasdaq notification letter on March 4, 2026, stating that its common stock (CYPH) closing bid price was below the $1.00 per share minimum for 30 consecutive business days, violating Listing Rule 5550(a)(2). The company has 180 days until August 31, 2026, to regain compliance by sustaining a $1.00 closing bid price for 10 consecutive business days, with potential for an additional 180-day period if other listing criteria are met. The company plans to monitor the issue and explore options like a reverse stock split but provides no assurance of success, and trading remains unaffected currently.

• ·Notice does not currently impact listing or trading of CYPH on Nasdaq Capital Market.
• ·Potential additional 180 calendar days compliance if meets market value of publicly held shares and other initial listing standards (except bid price), with written notice to Nasdaq of intent to cure, possibly via reverse stock split.

09-03-2026

Transcat, Inc. (Nasdaq: TRNS) appointed Jaime Irick as President and Chief Executive Officer effective March 29, 2026, succeeding Lee D. Rudow, who is retiring after 14 years but will serve as a senior advisor through March 2027. Irick, a proven leader with experience at Pittsburgh Paints Company (including a $2B carve-out) and PPG Industries (overseeing $3B in revenue and 7,000+ employees), was also added to the Board and Executive Committee. Chairman Gary Haseley highlighted Irick's track record in growth, integrations like the $1.1B Ennis-Flint deal, and shareholder value creation.

• ·Jaime Irick holds a degree in Systems Engineering from the United States Military Academy at West Point and an MBA from Harvard Business School; prior U.S. Army Field Artillery Officer and Airborne Ranger.
• ·Irick plans to meet investors and analysts after Transcat’s Fourth Quarter and Full Year 2026 conference call and webcast.
• ·Transcat provides services to regulated industries including Life Science (pharmaceutical, biotechnology, medical device), aerospace/defense, energy/utilities; operates calibration labs in U.S., Puerto Rico, Canada, Ireland.

09-03-2026

Envirotech Vehicles, Inc. entered into a Securities Purchase Agreement dated March 6, 2026, to issue and sell debentures with an aggregate principal amount of up to $11M ($4M at First Closing and $7M at Second Closing) at a purchase price equal to 96% of the principal amount, along with warrants exercisable into 1,291,778 common shares as a commitment fee. The Second Closing is contingent on the effectiveness of the SEPA Registration Statement and must occur by June 30, 2026. Issuances are subject to a Nasdaq Exchange Cap of 2,584,850 common shares (19.99% of outstanding shares) without shareholder approval.

• ·First Closing to occur on first Business Day conditions are met, at 10:00 a.m. New York time
• ·Second Closing on first Business Day after SEPA Registration Statement declared effective by SEC
• ·Buyer is accredited investor acquiring Securities for investment purposes, not public distribution
• ·Securities include restrictive legends unless registered or Rule 144 applicable

09-03-2026

Humana Inc. priced a $1.0 billion public offering of fixed-to-fixed rate junior subordinated notes due 2056 at 100.000% of principal amount, expected to close on March 9, 2026. Net proceeds of approximately $986 million will be used for general corporate purposes, including repayment of existing indebtedness such as commercial paper borrowings. The offering is led by joint book-running managers including Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Truist Securities, Inc., and Wells Fargo Securities, LLC.

• ·Announcement date: March 5, 2026
• ·Offered pursuant to effective shelf registration statement with SEC
• ·Risk disclosure: Medicare Advantage Star Ratings significantly declined in 2025; ongoing lawsuit against 2025 ratings decision appealed October 14, 2025, potentially impacting 2026 quality bonus payments

09-03-2026

Abbott Laboratories filed an 8-K announcing entry into a material agreement for the issuance of multiple series of senior notes, including Floating Rate Notes due 2029, 3.700% Notes due 2029, 4.000% Notes due 2031, 4.300% Notes due 2033, 4.650% Notes due 2036, 4.750% Notes due 2038, 5.500% Notes due 2056, and 5.600% Notes due 2066, creating a direct financial obligation under Items 1.01 and 2.03. Forward-looking statements reference a proposed acquisition of Exact Sciences and the expected use of proceeds from the notes offering, subject to risks and uncertainties. No principal amounts, pricing details, or performance metrics were disclosed.

• ·Filing date: March 09, 2026
• ·Legal opinion provided by Wachtell, Lipton, Rosen & Katz
• ·References risks in Abbott’s Form 10-K for year ended December 31, 2025

09-03-2026

Universal Health Services, Inc. entered into a Voting Agreement dated March 9, 2026, with Holders Douglas L. Braunstein, HEC Master Fund LP, and Braunstein 2015 Trust, as a material inducement to proceed with the Merger Agreement involving the merger of UHS Merger Subsidiary, Inc. with Talkspace, Inc. The Holders agree to vote their Existing Shares (as listed in Schedule A) and any New Shares acquired prior to termination in favor of the merger at the Company Stockholders’ Meeting or by written consent. No specific share counts or financial terms are disclosed in the agreement.

• ·Agreement terminates in accordance with Section 5.13 of the document.
• ·Holders represent ownership of Subject Shares free of encumbrances except as permitted under the agreement.
• ·No brokers' fees entitled based on Holders' arrangements.

09-03-2026

NIKE, Inc. entered into a new 364-Day Credit Agreement dated March 6, 2026, with Bank of America, N.A. as Administrative Agent, Citibank N.A. and JPMorgan Chase Bank, N.A. as Co-Syndication Agents, and other banks as Co-Documentation Agents and arrangers, providing revolving commitments in USD and alternative currencies including Canadian Dollars, Euros, Sterling, and Yen. The facility features an Applicable Facility Fee Rate of 0.03% and Applicable Margin of 0.595% for Term SOFR/Alternative Currency Loans (0.00% for Base Rate Loans), succeeding the 2025 Credit Agreement dated March 7, 2025. No specific total commitment amount or draws were disclosed.

• ·CUSIP Numbers: Deal - 65410VBA5; Revolving Commitment - 65410VBB3
• ·Alternative Currencies: Canadian Dollars, Euros, Sterling, Yen
• ·Prior agreement: 2025 Credit Agreement dated March 7, 2025

09-03-2026

Ingram Micro Holding Corporation announced the launch of a $200 million secondary offering of its common stock by Ingram Holdco, LLC (an affiliate of Platinum Equity, LLC), with a 30-day underwriter option for an additional $37.5 million; the Selling Stockholder will receive all proceeds, and the Company will receive none. Concurrently, the Company intends to repurchase at least $50 million of its shares directly from the Selling Stockholder at the underwriters' net price, as part of its existing $100 million share repurchase program funded by cash on hand. The repurchase is expected to close with the offering but is not conditioned on it, while the offering closing is not dependent on the repurchase.

• ·Underwriter Representatives: Morgan Stanley & Co. LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC.
• ·Shelf registration statement on Form S-3 declared effective by SEC.
• ·Announcement date: March 5, 2026; Filing date: March 9, 2026.
• ·Company reaches more than 90% of the global population through IT sales channel.

09-03-2026

Unknown Company filed an 8-K on March 9, 2026, disclosing entry into a material Indenture and Security Agreement dated March 5, 2026, between OWL ROCK CLO XXIV, LLC (Issuer) and The Bank of New York Mellon Trust Company, National Association (Collateral Trustee). The agreement provides for the issuance of secured Notes and Class A-L Loans, secured by Collateral Obligations listed in Schedule 1, Accounts, Eligible Investments, and other Assets (excluding Preferred Shares Payment Account). No specific principal amounts, interest rates, or performance metrics are detailed in the filing.

• ·Filing includes Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), and 9.01 (Exhibits).
• ·Agreement covers grant of collateral including Collateral Obligations, Accounts, Eligible Investments, and related agreements like Collateral Management Agreement, Class A-L Credit Agreement, and BDC Loan Sale Agreement.

09-03-2026

American Airlines Group Inc. (Parent/Guarantor) and American Airlines, Inc. (Borrower) entered into the Eleventh Amendment to their Amended and Restated Credit and Guaranty Agreement on March 5, 2026, effective upon satisfaction of specified conditions, terminating all existing Revolving Commitments (with no outstanding Revolving Loans) and establishing new 2026 Incremental Revolving Commitments of $1.296B and LC Commitments of $195M provided by designated 2026 Incremental Revolving Lenders and Issuing Lenders. Citibank, N.A. serves as Administrative Agent and is designated as lead arranger and bookrunner. The amendment confirms no Default or Event of Default exists post-effectiveness.

• ·Original Credit Agreement dated April 20, 2015, with prior amendments on October 26, 2015; September 22, 2016; June 14, 2017; August 21, 2017; September 17, 2018; December 10, 2018; November 8, 2019; January 29, 2020; March 13, 2023; and June 4, 2024.
• ·Effectiveness requires officer certificates on Collateral Coverage Ratio and Liquidity, legal opinions from Latham & Watkins LLP, payment of fees including a one-time non-refundable fee per fee letter, and confirmation of no Default or Event of Default.
• ·References audited financials from Form 10-K for fiscal year ended December 31, 2025, and subsequent 8-Ks.

09-03-2026

SM Energy Company issued and sold $1.0 billion in aggregate principal amount of 6.625% Senior Notes due 2034 on March 9, 2026, via a Purchase Agreement dated March 4, 2026, with BofA Securities, Inc. as representative of initial purchasers. The Notes, governed by an Indenture with U.S. Bank Trust Company, National Association as trustee, bear 6.625% annual interest payable semi-annually starting October 15, 2026, and mature April 15, 2034, with specified redemption options and covenants limiting debt, dividends, and asset sales. No period-over-period financial metrics are provided in the filing.

• ·Notes offered only to qualified institutional buyers under Rule 144A and non-U.S. persons under Regulation S.
• ·Covenants terminate upon Notes receiving investment grade rating from two Rating Agencies.
• ·Events of default include cross-acceleration for other indebtedness aggregating $100M or more.

09-03-2026

Valero Energy Corporation entered into an underwriting agreement on March 5, 2026, with SMBC Nikko Securities America, Inc., Citigroup Global Markets Inc., MUFG Securities Americas Inc., and Wells Fargo Securities, LLC for the issuance and sale of $850M aggregate principal amount of 5.150% Senior Notes due 2036. The notes are to be issued under an existing indenture dated March 10, 2015, with U.S. Bank Trust Company, National Association as trustee, and the offering is registered under Form S-3 (No. 333-284608). The issuance is expected to close on March 10, 2026.

• ·Underwriting agreement filed as Exhibit 1.1; terms of Notes as Exhibit 4.2; form of Notes as Exhibit 4.3.
• ·Prospectus supplement dated March 5, 2026, filed pursuant to Rule 424(b).
• ·Opinion of Baker Botts L.L.P. provided as Exhibit 5.1.

09-03-2026

Catheter Precision, Inc. adopted a Certificate of Designation for Series [C][D] Convertible Preferred Stock, authorizing issuance of up to an unspecified number of shares pursuant to a Purchase Agreement, with terms including conversion rights and protective covenants. These covenants restrict the Company from incurring new indebtedness (other than Permitted Indebtedness), liens, paying dividends, or engaging in acquisitions, mergers, or asset sales exceeding 10% of assets without Required Holders' consent, applicable while 33.33% of issued shares remain outstanding. Currently, 2,229 preferred shares are issued and outstanding out of 10,000,000 authorized.

• ·Covenants prohibit amendments to charter documents materially adverse to holders (except specific quorum or designation amendments).
• ·Company restricted from Change of Control transactions without consent.
• ·Acquisition limit: no transactions for >10% of total consolidated assets.

09-03-2026

Cannae Funding A, LLC, a subsidiary of Cannae Holdings, Inc., fully prepaid and terminated its Margin Loan Agreement with Bank of America N.A. effective March 6, 2026, by paying the Pay-Off Amount of $58,680.56 consisting entirely of commitment fees (principal and interest at $0). All obligations were discharged, liens on collateral (including shares and cash) automatically terminated, and pledged collateral is to be returned to the borrower. This eliminates the margin loan facility originally dated November 30, 2020, with multiple amendments through August 27, 2025.

• ·Margin Loan Agreement amendments: August 16, 2021; December 10, 2021; January 19, 2022; May 12, 2022; June 16, 2023; August 17, 2023; March 4, 2024; August 27, 2025
• ·Pay-Off Date: March 6, 2026
• ·Governing law: State of New York

09-03-2026

Alternus Clean Energy, Inc. and its wholly owned subsidiary Alt Alliance LLC entered into a Subscription Agreement with an unnamed investor for a Promissory Note and shares of Series C Convertible Preferred Stock in an unspecified Principal Amount. The agreement includes standard representations, warranties, and conditions for an accredited or non-U.S. investor, with payment via wire transfers in initial and subsequent tranches per a drawdown schedule. No specific financial amounts, performance metrics, or period-over-period changes are disclosed in the filing.

• ·Investor must wire initial tranche upon acceptance, with subsequent tranches per Schedule 1 drawdown schedule.
• ·Securities issued in reliance on Regulation D or Regulation S exemptions; resale restrictions apply for 12 months for non-U.S. persons.
• ·Governing law: Nevada; disputes resolved by arbitration in New York under ICC Rules.

09-03-2026

United Therapeutics Corporation announced a new $2B stock repurchase authorization over the next year, with $1.5B Accelerated Share Repurchase (ASR) agreements executed with Citibank, N.A. ($750M uncollared terminating in Q2 2026 and $750M collared terminating in Q3 2026), leaving $500M for discretionary repurchases. An upfront payment of $1.5B is due around March 11, 2026, with initial share deliveries of ~70% for uncollared and ~50% for collared based on March 9 closing price. CEO Martine Rothblatt cited strong business momentum, growth durability, and a valuation disconnect as rationale for returning capital to shareholders.

• ·Uncollared ASR final shares based on avg daily VWAP less discount; terminates Q2 2026.
• ·Collared ASR final shares based on avg daily VWAP less discount, subject to min/max collar; terminates Q3 2026.
• ·At final settlement, may receive additional shares or, in limited cases, make cash payment or deliver shares to Citi.

09-03-2026

Dave Inc. entered into a Confirmation for a base (and potentially additional) call option transaction with a Dealer to hedge its issuance of 0% Convertible Senior Notes due 2031 with an initial principal amount of $175M, which may increase by up to $25M pursuant to an option held by Initial Purchasers. The transaction involves options on Dave Inc.'s Class A common stock (DAVE), governed by the 2002 ISDA Equity Derivatives Definitions and linked to an Indenture dated March 9, 2026. No premium amounts, strike prices, or other quantitative settlement terms were specified in the filing.

• ·Trade Date: March [__], 2026
• ·Premium Payment Date: March [__], 2026
• ·Indenture dated March 9, 2026
• ·Preliminary Offering Memorandum dated March 3, 2026
• ·Free Convertibility Date: January 1, 2031
• ·Expiration Date: April 1, 2031

09-03-2026

Belpointe PREP, LLC, through its indirect wholly-owned subsidiary BPOZ 100 Tokeneke Holding, LLC, extended a $5M convertible promissory note at 3.6% interest to 100 Tokeneke Road, LLC to fund the purchase of real property at 100 Tokeneke Road, Darien, Connecticut. Concurrently, Belpointe Tokeneke Investment, LLC—a related party linked to family members of CEO Brandon E. Lacoff—provided a $3.25M convertible note, with $625K mandatorily converted into a 50% ownership stake in 100 Tokeneke Partners, LLC. Both transactions were approved by the Company's Conflicts Committee in compliance with related party policies.

• ·Loans bear interest at 3.6% per annum (365/366-day year basis) and are due March 3, 2026 unless converted.
• ·Convertible into Class A units of Tokeneke Partners at $14.50 per unit (subject to adjustment).
• ·Notes to be filed as exhibits in Q1 2026 10-Q.

09-03-2026

WYTEC INTERNATIONAL INC. entered into a Securities Purchase Agreement dated March 2, 2026, with 1800 DIAGONAL LENDING LLC for the sale of a promissory note with an aggregate principal amount of $71,300 (including $9,300 Original Issue Discount), implying a purchase price of $62,000. The closing was scheduled for on or about March 3, 2026, at 12:00 noon EST, with the note convertible into common shares only upon default. The company has 495,000,000 authorized shares of common stock, of which 17,180,367 are issued and outstanding as of the agreement date.

• ·Agreement relies on exemption from registration under Section of 1933 Act.
• ·Closing subject to conditions in Sections 6 and 7 of the Agreement.

09-03-2026

On March 3, 2026, LiveOne, Inc., along with its wholly-owned subsidiary Slacker, Inc., entered into a Shares Issuance Agreement with Music and Entertainment Rights Licensing Independent Network Limited (Merlin) to issue 500,000 shares of common stock at a deemed price of $7.50 per share, valued at $3.75M, as payment for outstanding and future music royalty obligations under the amended Digital Music Services Agreement (DMSA). The DMSA has been extended through November 30, 2026, with a possible further extension to November 30, 2027. The Company will receive no cash proceeds from the share issuance, which settles obligations without immediate cash outlay but results in shareholder dilution.

• ·Shares issued pursuant to effective S-3 Registration Statement (File No. 333-284916, filed February 13, 2025) with prospectus supplement filed March 10, 2026.
• ·Settlement of share issuance expected on or about March 10, 2026.
• ·Merlin's sale proceeds from shares offset against DMSA royalties; upon DMSA termination, Slacker has option to repurchase unsold shares or pay cash.
• ·Merlin excludes index rebalancing days from average daily trading volume calculation.

09-03-2026

Forward Industries, Inc. completed reincorporation from New York to Texas via merger of its New York entity into a new Texas corporation effective around March 4, 2026, with the Certificate of Formation filed as Exhibit 3.1. The new entity authorizes 304M shares at $0.01 par value (300M common, 4M preferred) and appoints a five-member initial board of directors. Governance provisions include board-managed affairs, director removal only for cause by 2/3 shareholder vote, and liability limitations under Texas law.

• ·Original New York incorporation: March 1, 1961.
• ·Registered office: 1999 Bryan St., #900, Dallas, TX 75201-3136.
• ·Initial directors' address: 700 Veterans Memorial Hwy, Suite 100, Hauppauge, NY 11788.
• ·Directors removable only for cause by 2/3 shareholder vote.
• ·No shareholder vote required for new stock series designations by board.

09-03-2026

Genesis Energy, L.P. entered into an Eighth Amended and Restated Credit Agreement on March 4, 2026, establishing a $900M senior secured revolving credit facility expandable to $1.3B, maturing March 4, 2031 (with potential early maturity triggers tied to $150M+ outstanding senior notes). This replaces the Seventh Amended and Restated Credit Agreement dated July 19, 2024, which was fully repaid using new proceeds. Interest margins range from 1.25%-2.50% (ABR) to 2.25%-3.50% (Term SOFR), with commitment fees of 0.30%-0.50%, all leverage-based; no performance declines noted as this is a refinancing event.

• ·Maturity subject to one-year extensions up to two times upon request and conditions.
• ·Secured by guarantees from substantially all Restricted Subsidiaries and liens on substantial assets.
• ·Contains covenants including maximum leverage ratio, maximum senior secured leverage ratio, and minimum interest coverage ratio.
• ·Early maturity on October 16, 2028 if >$150M 2029 notes outstanding; January 14, 2030 if >$150M 2030 notes outstanding.

09-03-2026

TPI Composites, Inc., in Chapter 11 bankruptcy since August 11, 2025, entered a Stock and Asset Purchase Agreement on March 6, 2026, with ECP Blade Holdings LLC to sell equity in certain subsidiaries and assets related to its wind blade manufacturing, storage, inspection/repair services, and engineering support in the US, Mexico, and Europe for $20M cash, subject to adjustments, liability assumptions, court approval, operational milestones, Oaktree consents, and governmental approvals. The transaction risks failure if not closed by June 30, 2026, amid ongoing bankruptcy proceedings and challenges in repaying DIP financing.

• ·Petition Date for Chapter 11: August 11, 2025
• ·Bankruptcy Court: United States Bankruptcy Court for the Southern District of Texas, Case No. 25-34655
• ·ECP Purchase Agreement termination possible if not consummated by June 30, 2026
• ·DIP Credit Agreement dated August 14, 2025, with Oaktree Fund Administration, LLC

09-03-2026

Sallie Mae (SLM Corporation) announced a $200M accelerated share repurchase (ASR) agreement with Goldman Sachs & Co. LLC, as part of its $500M share repurchase program authorized by the Board on January 22, 2026. This brings first-quarter 2026 repurchases and commitments to nearly $300M, reflecting disciplined capital allocation amid market dislocation. The ASR will be prefunded on March 10, 2026, with completion expected before the end of Q2 2026.

• ·ASR prefunding scheduled for March 10, 2026
• ·Final ASR settlement based on volume-weighted average price of common stock, less discount
• ·Share repurchase program effective January 22, 2026

09-03-2026

REalloys Inc. (NASDAQ: ALOY) announced a proposed underwritten public offering of common stock, with Clear Street as lead book-running manager and Needham & Company as joint book-running manager, including a 30-day underwriter option for additional shares; proceeds intended for working capital and general corporate purposes. The offering is subject to market conditions with no assurance of completion, size, or terms, and relies on an effective shelf registration statement (Form S-3, File No. 333-284626, effective February 10, 2025). Extensive forward-looking risks are highlighted, including market fluctuations, regulatory issues, and supply chain uncertainties.

• ·Shelf registration statement on Form S-3 (File No. 333-284626) declared effective by SEC on February 10, 2025
• ·Preliminary prospectus supplement to be filed with SEC
• ·Contacts: Clear Street (ecm@clearstreet.io), Needham & Company (prospectus@needhamco.com, (800) 903-3268)

09-03-2026

Napo Pharmaceuticals, Inc., a subsidiary of Jaguar Health, Inc., entered into a Security Agreement dated March 6, 2026, with Streeterville Capital, LLC, granting a first-priority security interest in specified Lechlemer Collateral and TDPRV Collateral to secure Jaguar's $10.81M Secured Promissory Note issued November 12, 2025, as part of a restructuring. The agreement includes covenants restricting liens, dispositions, and IP licensing on the collateral, with automatic termination of security interests upon full Note repayment and payment/expiration of a Return Bonus. No financial performance metrics are disclosed, but the pledge signals ongoing debt obligations and potential asset encumbrance.

• ·Collateral consists of Lechlemer Collateral (Schedule A) and TDPRV Collateral (Schedule B), including all related intellectual property.
• ·Permitted Liens explicitly defined, excluding most new encumbrances on collateral.
• ·Napo authorizes UCC-1 filings in Delaware; covenants require 15-day prior notice of name/address changes or new subsidiaries (except Napo EU S.p.A.).
• ·Security interests automatically terminate: Lechlemer upon full Note repayment; TDPRV upon full Return Bonus payment or right expiration.

09-03-2026

The Marzetti Company (formerly Lancaster Colony Corporation) entered into the First Amendment to its Credit Agreement, originally dated March 6, 2024, effective as of March 4, 2026, with JPMorgan Chase Bank, N.A. as Administrative Agent and lenders including The Huntington National Bank, Bank of America, N.A., and Greenstone Farm Credit Services, ACA. The amendment modifies terms by deleting certain text and adding new provisions as shown in Exhibit A, with no specific financial amounts, changes in commitments, or impacts disclosed. Representations confirm no defaults exist before or after the amendment, and all conditions for effectiveness were satisfied.

• ·SEC 8-K filed March 9, 2026, covering Items 1.01 (Entry into Material Agreement), 2.03 (Creation of Direct Financial Obligation), and 9.01 (Financial Statements)
• ·Amendment ratified existing Credit Agreement without waiver of any lender rights or future amendments

09-03-2026

Ondas Holdings Inc. (ONDS) entered into a merger agreement with U.S. defense prime contractor Mistral Inc. to expand direct participation in U.S. Department of Defense programs, federal agencies, and state/local law enforcement, leveraging Mistral's decades of experience and over $1B in IDIQ and DOD contracts. The transaction adds U.S.-based manufacturing, integration capabilities, and prime contract access for Army and Special Operations, aligning with Ondas' strategy to transition to multi-year DoD vehicles. No historical financial comparisons or declines are provided in the filing.

• ·Filing Date: March 09, 2026
• ·Earnings conference call: March 25, 2026 at 8:30 a.m. Eastern Time
• ·Mistral headquartered in Bethesda, MD
• ·Merger with subsidiary of Ondas, maintaining Mistral’s current contract administration

09-03-2026

Selectis Health, Inc. entered into a definitive Purchase and Sale Agreement effective March 5, 2026, under which its subsidiaries agreed to sell two skilled nursing facilities—Glen Eagle Healthcare and Rehab (101 beds) and Eastman Healthcare and Rehab (100 beds)—for $15.7M, subject to prorations and adjustments. An accompanying Operations Transfer Agreement was also executed to shift operations to buyer-affiliated entities if the sale closes. However, consummation depends on due diligence and customary conditions, with no assurance the transactions will complete.

• ·Facilities located at 206 Main Street E, Abbeville, Georgia and 556 Chester Highway, Eastman, Georgia
• ·Registrant is an emerging growth company
• ·Exhibits include Purchase and Sale Agreement (10.1) and Operations Transfer Agreement (10.2)

09-03-2026

Crestone Air Partners, a majority-owned subsidiary of Air T, Inc. (NASDAQ: AIRT), entered a definitive agreement on March 8, 2026, to acquire Arena Aviation Capital, materially expanding its aviation asset management platform with complementary portfolios and expertise. Upon closing, subject to conditions and approvals, the combined entity will manage approximately 124 aircraft and 17 engines leased globally, over $4B in assets under management, and more than 55 employees across 5 countries. The deal is positioned as a strategic fit for consolidation, synergies in operations, and enhanced global support for clients.

• ·Transaction advised by Pillsbury Winthrop Shaw Pittman LLP (legal), Kroll, LLC (financial), and PwC (tax).
• ·Combined offices in Denver, Amsterdam, Dublin, with satellite presences in Singapore and Buenos Aires.
• ·Acquisition subject to closing conditions and approvals; portion of Arena's management team to take key roles post-closing.

09-03-2026

dMY Squared Technology Group, Inc. entered into additional PIPE Subscription Agreements on March 6, 2026, with new investors for $1.45 million in Holdco Class A ordinary shares at the Redemption Price, increasing the total PIPE Investment from $110.4 million to $111.86 million. This includes a $1 million commitment from Penchant Family Holdings LLC, controlled by Danielle Lambert, a Holdco director nominee. The move advances the previously announced Business Combination with Horizon Quantum Holdings Ltd. and Horizon Quantum Computing Pte. Ltd., with no declines or flat metrics reported.

• ·Business Combination Agreement dated September 9, 2025
• ·Registration Statement effective February 17, 2026
• ·Definitive Proxy Statement mailed February 17, 2026 for dMY Special Meeting
• ·dMY Annual Report on Form 10-K for FY ended December 31, 2024, filed April 3, 2025

09-03-2026

On March 6, 2026, The Cannabist Company Holdings Inc. announced that an ad hoc group of noteholders agreed to extend the forbearance on the Company's 9.25% Senior Secured Notes due December 31, 2028, and 9.00% Senior Secured Convertible Notes due December 31, 2028, until March 17, 2026, preventing exercise of remedies under the indenture. This follows a previously announced forbearance agreement, providing short-term relief amid ongoing noteholder negotiations. No principal amounts or financial impacts were disclosed.

• ·Filing signed and dated March 9, 2026.
• ·Registrant is an emerging growth company.
• ·References risk factors in Form 10-K for year ended December 31, 2024, and Form 10-Q for quarter ended September 30, 2025.