US Corporate Distress Financial Stress SEC Filings — March 10, 2026

10-03-2026

AN2 Therapeutics, Inc. (Nasdaq: ANTX) announced a $40M private placement financing, expecting gross proceeds from selling 8,245,611 shares of common stock at $2.85 per share and pre-funded warrants to purchase up to 5,789,493 shares at $2.84999 per warrant. The financing includes participation from Coastlands Capital, Commodore Capital, Vivo Capital, and other institutional investors, with Leerink Partners as exclusive placement agent. The transaction is expected to close on March 10, 2026, subject to customary conditions.

• ·Pre-funded warrants exercisable immediately at $0.00001 per share until fully exercised, subject to ownership limits.
• ·Private placement conducted per Nasdaq rules, priced at Minimum Price requirement.
• ·AN2 Therapeutics to file SEC registration statement for resale of shares and warrant shares.
• ·Pipeline targets: polycythemia vera, NTM lung disease (M. abscessus), Chagas disease, melioidosis, oncology, infectious diseases.

10-03-2026

Guided Therapeutics, Inc. completed a Warrant Exchange on March 2, 2026, for eligible warrants from its September 1, 2022 Private Offering, with 4,825,000 warrant shares (22.7% of outstanding eligible warrants) tendered, resulting in $980,000 cash proceeds and issuance of 4,825,000 restricted common shares. Shares outstanding increased from 86,691,976 to 91,516,976, representing about 5.6% dilution. However, participation was low, leaving 16,398,080 eligible warrants outstanding, with expirations in 2026 and 2027.

• ·Eligible warrants originally priced at $0.65 exchanged at $0.25; those at $0.50 at $0.20.
• ·Expiration of Warrant Exchange: February 25, 2026 at 8:00 a.m. ET.
• ·Offer to Exchange dated February 11, 2026.
• ·Of remaining warrants: 11,973,080 expire Sep 1-Oct 18, 2026; 4,425,000 expire Sep 1-Oct 18, 2027.
• ·Shares issued in reliance on Section 3(a)(9) exemption; no commissions paid.

10-03-2026

Walker & Dunlop hosted Investor Day 2026, highlighting its 'Journey to ‘30' strategy targeting $80B+ annual origination volume, $35B+ property sales volume, $2B+ total revenues, and $400-500M adjusted EBITDA. Historical scale-up included employee growth to 1,466 and 46 offices by 2025, with market leadership as #1 Fannie Mae DUS lender, #3 Freddie Mac Optigo, and #4 multifamily broker; however, adjusted EBITDA declined 4% YoY to $316M in 2025 from $329M in 2024 amid rate-driven transaction volume drops (e.g., per banker/broker fell to $141M in 2023 before recovering to $248M). MSR revenue declined due to duration shifts and fee compression despite GSE origination activity.

• ·Debt origination volume dropped to $429B market-wide in 2023 before rising to $634B in 2025 amid rising 10yr UST rates.
• ·#1 Fannie Mae DUS® lender, #3 Freddie Mac Optigo® lender, #2 combined GSE lender, and #4 multifamily broker in 2025.
• ·Institutional CRE AUM for Carlyle, Blackstone, Ares, KKR grew at 28% CAGR, outpacing market 10% CAGR.

10-03-2026

Passage Bio, Inc. terminated its 15-year lease for approximately 62,000 square feet of laboratory space with Hopewell Campus Owner LLC, effective March 4, 2026, following a January 2025 restructuring that ceased operations at the site. The termination required a $4.8M fee plus accrued rent through February 14, 2026, representing a near-term cash outflow. However, the company expects its cash and cash equivalents to fund operations through Q1 2027.

• ·Original Hopewell Lease dated December 15, 2020, with 15-year term from March 2021 commencement.
• ·Lease termination agreement executed March 4, 2026; 8-K filed March 10, 2026.

10-03-2026

Atlas Energy Solutions Inc. (AESI) executed a Global Framework Agreement with Caterpillar Inc. (CAT) for approximately 1.4 gigawatts of incremental power generation assets, with orders scheduled for 2027 through 2029 and aggregate purchase obligations of $840 million. The agreement supports Atlas's private grid development pipeline, with forecasts to own and operate 2.0 gigawatts of power generation assets by 2030. An investor presentation titled 'Long-Term Power Strategy' was posted on the company's IR website.

• ·Orders scheduled for 2027 through 2029
• ·Annual Report on Form 10-K filed with SEC on February 24, 2026

10-03-2026

APLD ComputeCo 2 LLC, a subsidiary of Applied Digital Corporation, completed a private offering of $2.15B aggregate principal amount of 6.750% Senior Secured Notes due 2031, issued at 98.000% of principal, to fund development of 200 MW IT load at the Polaris Forge 2 AI Factory campus in Harwood, North Dakota, leased to Oracle. The notes carry semi-annual interest payments starting September 15, 2026, with principal amortization post-commencement dates, restrictive covenants limiting indebtedness and dividends, and a completion guarantee from the parent company. Separately, CFO Saidal Mohmand received a $750,000 bonus for financing efforts on Polaris Forge 1 and 2 campuses.

• ·Notes mature March 15, 2031; interest payable semi-annually on March 15 and September 15, beginning September 15, 2026
• ·Issuer may redeem notes after March 15, 2028 at set prices; prior, at 100% plus make-whole premium or up to 40% with equity proceeds
• ·Indenture covenants restrict additional debt, dividends, investments, liens, asset sales, affiliate transactions, and non-related operations
• ·Funds deposited in escrow pending conditions; amortization begins after final commencement date of datacenter leases
• ·Company provides completion guarantee for construction of projects

10-03-2026

U.S. Energy Corp. entered into an underwriting agreement on March 9, 2026, with Roth Capital Partners, LLC, for the sale of 8,800,000 shares of common stock at $1.00 per share, which closed on March 10, 2026, generating approximately $8.2 million in net proceeds. The proceeds will fund development of the Kevin Dome asset in Montana, general corporate purposes, and working capital. The agreement includes a 60-day lock-up period for the company, directors, and executive officers.

• ·Underwriting agreement contains customary indemnification provisions and closing conditions.
• ·Shelf registration on Form S-3 (File No. 333-290232) filed September 12, 2025, effective September 23, 2025.
• ·Final prospectus supplement filed March 9, 2026.

10-03-2026

The Clorox Company entered into a 364-day revolving credit agreement dated March 6, 2026, with banks including JPMorgan Chase Bank, N.A., Citibank, N.A., and Wells Fargo Bank, National Association as administrative agents, to support its acquisition of GOJO Industries, Inc. The acquisition is governed by a Membership Interest Purchase Agreement dated January 17, 2026. No specific commitment amounts or pricing details are provided in the filing excerpt.

• ·Filing date: March 10, 2026
• ·Credit agreement maturity: 364 days from March 6, 2026
• ·SEC items reported: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Financial Statements and Exhibits)

10-03-2026

ClearSign Technologies Corporation amended its Certificate of Incorporation to authorize 89.5M shares of capital stock, consisting of 87.5M shares of common stock and 2M shares of preferred stock, each with a par value of $0.0001 per share. The amendment implements a 1-for-10 reverse stock split effective 12:01 a.m. ET on March 16, 2026, converting every 10 outstanding shares of old common stock into 1 share of new common stock without changing the total authorized shares. No fractional shares will result in cash payments; instead, they will be rounded up to the nearest whole share.

• ·Reverse stock split ratio: 1-for-10
• ·Original Certificate filed June 14, 2023; previously amended June 25, 2024
• ·Amendment adopted per Section 242 of Delaware General Corporation Law
• ·Signed March 6, 2026

10-03-2026

On March 4, 2026, PennantPark Private Income Fund SPV, LLC, a wholly-owned subsidiary of PennantPark Private Income Fund, entered into a first amendment to its senior secured revolving credit facility, increasing the borrowing capacity from $65M to $120M. No other material terms of the facility, originally dated October 1, 2026, were modified. This amendment enhances the company's liquidity without any reported drawbacks.

• ·Original credit facility dated as of October 1, 2026
• ·Amendment filed as Exhibit 10.1

10-03-2026

The U.S. Bankruptcy Court for the Southern District of Texas confirmed the Amended Joint Prepackaged Plan of Reorganization for Nine Energy Service, Inc. and its debtor affiliates on March 4, 2026, following Chapter 11 petitions filed on February 1, 2026, and a Restructuring Support Agreement (RSA) executed the same day with over 70% of Senior Secured Notes Claims holders and 100% of Prepetition ABL Claims holders. The rapid prepackaged process, completed in just over a month with no unresolved objections, reflects strong creditor support but underscores the company's debt distress necessitating bankruptcy reorganization. No financial metrics were disclosed in the order.

• ·Case No. 26-90295 (CML) in the Southern District of Texas, Houston Division
• ·Petition Date: February 1, 2026
• ·Combined Hearing Date: March 4, 2026
• ·Principal place of business: 2001 Kirby Drive, Suite 200, Houston, TX 77019
• ·Claims agent website: https://dm.epiq11.com/NineEnergy

10-03-2026

CleanCore Solutions, Inc. (ZONE) terminated its Asset Management Agreement with Dogecoin Ventures, Inc. (a subsidiary of House of Doge Inc.) and 21Shares US LLC, originally entered on September 5, 2025, by transferring 70,000,000 Dogecoin tokens (61,250,000 to DCV and 8,750,000 to 21Shares) and providing mutual releases. The company also terminated its executive consulting agreement with Marco Margiotta, paying him $500,000 cash, leading to his resignation as Chief Investment Officer effective March 4, 2026. No financial performance metrics or period-over-period comparisons were disclosed.

• ·Asset Management Agreement termination effective March 6, 2026 (Agreement of Termination dated March 9, 2026)
• ·Consulting Agreement termination effective March 4, 2026
• ·Previous agreements dated September 5, 2025, as disclosed in prior 8-K
• ·Certain provisions survive Asset Management Agreement termination: Section 11 (Liability and Indemnification), Section 12 (Confidentiality), Section 16(i) (Arbitration)

10-03-2026

AECOM entered into Amendment No. 16 to its Syndicated Facility Agreement on March 10, 2026, refinancing its existing revolving credit facility, Term A US facility, and Term B facility through Permitted Credit Agreement Refinancing Indebtedness on substantially the same terms. The Amended Revolving Credit Facility totals $1.5B with a 5-year maturity from the effective date, the Amended Term A US Facility is $950M also with a 5-year maturity, and the Amended Term B Facility is $500M retaining its prior maturity. The transaction involves reallocations among lenders, cashless settlements, and the exit of Departing Lenders.

• ·Original Syndicated Facility Agreement dated October 17, 2014
• ·Maturity for Amended Revolving Credit Facility and Amended Term A US Facility: 5 years from March 10, 2026
• ·Existing Letters of Credit continue under the amended agreement
• ·Waiver of compensation for Amended Facilities Lenders related to refinancing

10-03-2026

Edible Garden AG Incorporated entered into two Interim Order Agreements (IOAs) with Tetra Pak Inc. on March 4, 2026, covering preliminary engineering, design, and procurement services for processing and packaging equipment related to its anticipated production project in Webster City, Iowa. The Processing IOA involves two equal installments creditable toward a final agreement, terminating after approximately eight weeks or upon finalization, while the Packaging IOA requires a non-refundable payment due within 30 days, terminating by May 19, 2026. No financial amounts were disclosed, and both IOAs carry termination risks without a final supply agreement, potentially limiting equipment delivery.

• ·Processing IOA initial payment due within 30 days of invoice, second 30 days thereafter; credits apply if Final Agreement executed.
• ·Packaging IOA payment non-refundable, applied as credit if Final Agreement executed.
• ·Governing law: Texas; no equipment delivery without Final Agreement.
• ·Filing signed March 10, 2026.

10-03-2026

CV Sciences, Inc. (OTCQB:CVSI) announced the modification of its existing outstanding notes to include a conversion feature allowing conversion into common shares at a fixed price of $0.06 per share, described as a successful debt restructuring to enhance financial flexibility and support future growth. CEO Joseph Dowling emphasized this as a transformative step strengthening the balance sheet and positioning the company for sustained profitability. The company recently launched Empowr, a plant-based protein and creatine formula, expanding its +PlusHLTH cannabinoid-free supplement line.

• ·Company offices and facilities located in San Diego, California; Grand Junction, Colorado; and Warsaw, Poland.
• ·+PlusCBD™ is the top-selling hemp-extract brand in the natural products market per SPINS data.

10-03-2026

Eaton Corporation plc terminated its unused $8B term credit agreement on March 6, 2026, with no outstanding loans or penalties, in connection with issuing new senior notes totaling $8.5B USD across U.S. tranches (3.850% 2028 Notes $1.5B, 3.950% 2029 $1.5B, 4.200% 2031 $1.5B, 4.500% 2033 $1B, 4.800% 2036 $2B, 5.450% 2056 $1B) and €1.2B Euro tranches (3.550% 2034 €600M, 4.000% 2038 €600M), yielding net proceeds of $8.436B USD and €1.192B. Proceeds are intended for general corporate purposes, including the acquisition of Boyd Thermal. No negative impacts or declines noted in the filing.

• ·U.S. Notes closed March 6, 2026; Euro Notes closed March 10, 2026.
• ·Notes guaranteed by the Company, Eaton Corp, Eaton Capital, and certain subsidiaries.
• ·Issued under indenture dated May 9, 2025, with supplements dated March 6 and 10, 2026.
• ·Redemption options available at make-whole premium (Treasury Rate +10-15 bps) prior to specified dates, then at par.

10-03-2026

On March 4, 2026, the Board of Directors of Origin Materials, Inc. approved a one-for-thirty (1:30) reverse stock split of its common stock, effective at 5:00 p.m. ET on March 19, 2026, reducing outstanding shares from 162,675,959 to approximately 5,422,532. The split was enabled by stockholder approval of alternate amendments at a special meeting on February 17, 2026, and will adjust equity plans, options, and warrants accordingly, with trading on a split-adjusted basis under 'ORGN' beginning March 20, 2026.

• ·New CUSIP for common stock post-split: 68622D205
• ·Par value per share remains $0.0001
• ·No fractional shares issued; one full share issued in lieu for stockholders
• ·Warrants continue trading as ORGNW; 30 warrants exercisable for one share post-split

10-03-2026

Rocket Pharmaceuticals, Inc. entered into a Sales Agreement with Cantor Fitzgerald & Co. on March 10, 2026, for a Controlled Equity Offering allowing the issuance and sale of common stock shares (par value $0.01 per share) on an at-the-market basis through the agent from time to time. The offering is governed by a Form S-3 Registration Statement (File No. 333-293925) filed on March 2, 2026, and declared effective on March 10, 2026, with sales limited to the Maximum Amount based on registered, authorized, and prospectus constraints. No specific sales volume, pricing, or proceeds are detailed in the agreement.

• ·Registration Statement: Form S-3, File No. 333-293925
• ·Registration filed March 2, 2026; effective March 10, 2026
• ·Exchange: Nasdaq Global Market
• ·Sales methods: at-the-market offerings per Rule 415(a)(4), block transactions, or privately negotiated with consent

10-03-2026

BlackLine, Inc. appointed Storm Duncan and Megan Prichard as independent directors to its Board in connection with a cooperation agreement with activist investor Engaged Capital, LLC, with Duncan also joining the Strategic Committee. The company highlighted projected revenue growth acceleration to 9.1%-9.6% in 2026 following record bookings in 2025, non-GAAP operating margins up nearly 6% over the past two years, and 50% QoQ increase in BlackLine Verity customer adoption from Q3 to Q4 2025. While progress is noted, management acknowledges 'further to go' amid stockholder engagement.

• ·Morgan Stanley serving as financial advisor to BlackLine
• ·Cooperation agreement to be filed as exhibit to Form 8-K
• ·More than 4,300 customers partner with BlackLine

10-03-2026

XMax Inc. entered into a Securities Purchase Agreement on March 9, 2026, for a registered direct offering of 8,500,000 shares of common stock at $4.23 per share, generating aggregate gross proceeds of $35.955 million before deducting offering expenses. The shares are offered pursuant to an effective shelf registration statement on Form S-3 (File No. 333-274970). This capital raise provides liquidity but is dilutive to existing shareholders.

• ·Shelf registration statement on Form S-3 filed October 13, 2023, and declared effective October 23, 2023 (File No. 333-274970)
• ·Common stock par value $0.001 per share; trading symbol XWIN

10-03-2026

Clean Energy Technologies, Inc. entered into a Securities Purchase Agreement dated March 4, 2026, with 1800 Diagonal Lending LLC to issue and sell a promissory note with an aggregate principal amount of $147,840, including $15,840 of Original Issue Discount, for a net purchase price of approximately $132,000. The closing occurred on or about March 5, 2026, under exemptions from SEC registration requirements. The note is convertible into common shares, with the company having 2,000,000,000 authorized shares and 12,166,106 outstanding as of the agreement date.

• ·Agreement relies on exemptions under the Securities Act of 1933.
• ·Buyer is an accredited investor purchasing for investment purposes.
• ·No material adverse changes since September 30, 2025, per company representations.

10-03-2026

Coffee Holding Co., Inc. and Organic Products Trading Company LLC entered into the Twelfth Loan Modification Agreement with Webster Bank on March 4, 2026, amending the maturity date of the Revolving Credit Facility under the original April 25, 2017 Loan Agreement to December 28, 2026. This extension represents the twelfth modification, with no other financial terms or changes detailed. The agreement reaffirms all existing representations, warranties, and obligations without noting any defaults.

• ·Original Amended and Restated Loan and Security Agreement dated April 25, 2017
• ·Borrower/Guarantor resolutions certified as unchanged from June 22, 2022
• ·Governing law: New York
• ·SEC 8-K filed March 10, 2026 covering Items 1.01, 2.03, 9.01

10-03-2026

SolarMax Technology, Inc. received a notice from Nasdaq on March 3, 2026, indicating failure to satisfy Rule 5550(a)(2) minimum bid price requirement of $1 per share. The company has a 180-calendar-day compliance period ending August 31, 2026, to achieve a closing bid price of at least $1 for 10 consecutive business days, potentially via reverse stock split. Non-compliance risks delisting, with immediate action if bid price falls to $0.10 or less for 10 consecutive trading days.

• ·Nasdaq Rule cited: 5550(a)(2)
• ·Company eligible for potential second compliance period if meeting other Nasdaq Capital Market standards excluding bid price
• ·Reverse stock split, if pursued, must be completed no later than 10 business days before compliance period end
• ·Emerging growth company status confirmed

10-03-2026

Hallador Energy Company (HNRG) closed a $120M Senior Secured Credit Agreement on March 5, 2026, maturing March 5, 2029, consisting of a $75M revolving credit facility (with $25M letters of credit and $10M swingline sub-facilities, plus $25M accordion) and a $45M delayed draw term loan facility. The facilities refinance the prior PNC Bank credit agreement (terminated March 5, 2026), extend debt maturities, enhance liquidity, and support working capital, strategic growth, and general purposes. CEO Brent Bilsland highlighted improved debt structure and lender support, including new partner Texas Capital Bank.

• ·Texas Capital Bank serves as administrative agent, swingline lender, and letter of credit issuer.
• ·Old National Bank acted as joint lead arranger and letter of credit issuer; First Financial Bank, N.A. as lender.
• ·Delayed draw term loan available upon satisfying certain conditions in the Credit Agreement.

10-03-2026

TXO Partners, L.P. announced that its 50%-owned joint venture, Cross Timbers Energy, LLC, entered purchase and sale agreements to divest substantially all its oil and gas properties for $200M in aggregate consideration, with TXO expecting $100M in net proceeds. A portion of proceeds will repay a $70M deferred payment due July 31, 2026, from prior acquisition of assets from White Rock Energy, LLC, shifting focus to Williston Basin, San Juan Basin, and Vacuum/Parker fields in Permian Basin. Transactions expected to close in Q2 2026, subject to conditions with no assurance of completion.

• ·Jefferies LLC acting as sole financial advisor; Kelly Hart & Hallman LLP as legal advisor to Cross Timbers.
• ·Closing expected in Q2 2026, subject to customary conditions.
• ·Post-sale focus: Williston Basin (Montana/North Dakota), San Juan Basin (New Mexico/Colorado), Vacuum and Parker fields (Permian Basin, West Texas/New Mexico).

10-03-2026

Fidelity National Information Services, Inc. (FIS) completed the closing of its USD-denominated senior notes offering on March 10, 2026, issuing $2B of 4.450% notes due 2028, $2.3B of 4.550% notes due 2029, $500M of floating rate notes due 2029, and $2B of 4.800% notes due 2031, for a total of $6.8B. Simultaneously, FIS closed its Euro-denominated senior notes offering, issuing €500M of floating rate notes due 2028 and €500M of 3.450% notes due 2030, for a total of €1B. The offerings were conducted under previously filed underwriting agreements and indentures with trustees Regions Bank and U.S. Bank Trust Company.

• ·Underwriting agreements dated March 4, 2026 (USD Notes) and March 5, 2026 (Euro Notes).
• ·Indentures dated March 10, 2026, with Regions Bank (USD Notes portions) and U.S. Bank (other portions).
• ·Offered pursuant to S-3 Registration Statement (File No. 333-288198) filed June 20, 2025, amended February 26, 2026.
• ·Legal opinions provided by Willkie Farr & Gallagher LLP and Troutman Pepper Locke LLP.

10-03-2026

Sono Group N.V. completed a private placement on March 10, 2026, issuing a pre-funded warrant to YA II PN, Ltd. (Yorkville) for gross proceeds of approximately $2 million, exercisable for 283,367 ordinary shares at €0.01 per share. Concurrently, the company issued a $3 million convertible debenture to Yorkville, maturing March 10, 2027, bearing 12% annual interest (18% upon default), convertible into ordinary shares at the lower of $18.75 or 85% of the prior seven-day VWAP. Net proceeds from both totaling $5 million are designated for working capital, with registration rights requiring a resale registration statement filing within 30 days.

• ·Pre-funded warrant exercise price: €0.01 per share.
• ·Debenture conversion price: lower of $18.75 or 85% of 7-day VWAP, subject to floor price.
• ·Registration statement filing deadline: 30 calendar days from March 10, 2026; effectiveness within 90 days (120 days if full SEC review).
• ·Ownership cap on warrant exercise: 4.99% (adjustable up to 9.99% with 61 days' notice).

10-03-2026

Shuttle Pharmaceuticals Holdings, Inc. (SHPH) entered into a securities purchase agreement for a $3.5M public offering, issuing 2,238,800 shares of common stock and pre-funded warrants to purchase 4,761,200 shares, with closing expected on or about March 9, 2026. E.F. Hutton & Co. serves as the exclusive placement agent, and net proceeds will fund up to $1.5M in marketing efforts with the remainder for working capital and general corporate purposes. The offering follows an effective S-1 registration statement filed on February 11, 2026.

• ·S-1 registration statement (File No. 333-293363) originally filed with SEC on February 11, 2026, and effective February 17, 2026.
• ·Press release issued March 6, 2026; 8-K filing date March 10, 2026.

10-03-2026

Encompass Health Corporation entered into a Credit Agreement dated March 9, 2026, establishing a senior secured revolving credit facility with an aggregate principal amount of $1,000,000,000. Truist Bank acts as Administrative Agent and Collateral Agent, with Barclays Bank PLC, Bank of America N.A., Citibank N.A., Goldman Sachs Bank USA, JPMorgan Chase Bank N.A., Morgan Stanley Senior Funding Inc., Wells Fargo Bank N.A., First Horizon Bank, and Regions Bank serving as Syndication Agents, and various entities as Joint Lead Arrangers and Joint Bookrunners. The agreement includes standard provisions for revolving commitments, loans, letters of credit, swingline loans, and covenants.

• ·Deal CUSIP: 29261CAD8
• ·Revolver CUSIP: 29261CAE6
• ·Filing Date: March 10, 2026
• ·SEC Items Reported: 1.01, 1.02, 2.03, 9.01

10-03-2026

Gaming and Leisure Properties, Inc. (GLPI) and its subsidiary GLP Capital, L.P. entered into Amendment No. 3 to their Credit Agreement dated May 13, 2022, effective March 4, 2026, establishing a new Amendment No. 3 Term Facility with $679M in Incremental Term Loan Commitments provided by certain lenders led by Wells Fargo Bank. The amendment also includes updates to guaranties and schedules, with conditions including payoff of prior term loans, legal opinions, solvency certification, and confirmation of REIT status. No defaults exist post-amendment, and all representations and warranties remain true.

• ·Original Credit Agreement dated May 13, 2022; prior amendments on September 2, 2022 (No. 1) and December 2, 2024 (No. 2).
• ·Conditions to effectiveness include executed consents, fees reimbursement, legal opinions from Goodwin Procter LLP and Polsinelli PC, solvency certificate, officer certificates, KYC documentation, payoff of prior Term Loan Credit Agreement, REIT qualification certification, and Approved Guaranty.

10-03-2026

On March 5, 2026, OSR Holdings, Inc. received a notice from Nasdaq granting an additional 180 calendar day extension until August 31, 2026, to regain compliance with Listing Rule 5550(a)(2) requiring a minimum $1.00 bid price per share for its common stock (OSRH), following the expiration of an initial 180-day period on March 4, 2026, after notification on September 5, 2025. While the company meets all other Nasdaq Capital Market listing requirements except bid price, this signals ongoing non-compliance and potential delisting risk. OSR intends to monitor its stock price and pursue options for compliance.

• ·Initial non-compliance notice received September 5, 2025, for 30 consecutive business days below $1.00 bid price.
• ·Compliance achievable if closing bid price >= $1.00 for minimum 10 consecutive business days during extension period.
• ·Company address: 10900 NE 4th Street, Suite 2300, Bellevue, WA 98004.
• ·Emerging growth company status: Yes.

10-03-2026

Welltower OP LLC, a subsidiary of Welltower Inc., entered into an Amended and Restated Credit Agreement on March 6, 2026, establishing a $6.25B unsecured revolving credit facility, replacing the prior $5B revolving facilities plus $1B USD and CAD 250M term loans. The new facility includes a $4.25B Revolving A Tranche maturing March 6, 2030, and a $2B Revolving B Tranche maturing July 24, 2029, with potential expansion up to $1.25B. Interest and fees are tied to debt ratings and sustainability metrics, with no reported declines in capacity.

• ·Revolving A Tranche extendable by two successive 6-month terms upon payment of 0.0625% fee if no default.
• ·Interest based on base rate or SOFR plus margin tied to debt ratings; quarterly facility fee also rating-based.
• ·Sublimits part of, not additional to, Revolving Facility totals.
• ·Agreement includes customary covenants, representations, warranties, and events of default.

10-03-2026

TKO Group Holdings, Inc. announced $1B in share repurchases, consisting of an $800M accelerated share repurchase (ASR) agreement with Morgan Stanley & Co. LLC and a 10b5-1 trading plan for up to $200M, utilizing its existing $2B authorization. Under the ASR, TKO will pay $800M on March 11, 2026, for an initial delivery of 3,136,179 Class A common shares, with final settlement in June 2026. President and COO Mark Shapiro highlighted this as a reflection of confidence in TKO's business and commitment to shareholder value.

• ·10b5-1 Plan repurchases to commence after ASR completion.
• ·TKO's businesses include UFC, WWE, PBR, Zuffa Boxing (joint venture), IMG, and On Location.

10-03-2026

Worthington Steel lowered the minimum acceptance threshold for its voluntary takeover offer for Kloeckner & Co SE to 57.5% after securing approximately 56.9% of shares as of March 9, 2026, extending the acceptance period to March 26, 2026, while keeping the offer price at €11.00 per share (98% premium to undisturbed three-month VWAP as of December 5, 2025). Kloeckner's Management and Supervisory Boards deem the offer attractive and recommend acceptance. However, consummation remains subject to meeting the new threshold, with risks including potential shareholder withdrawals and regulatory approvals.

• ·Offer intention announced January 15, 2026; offer phase started February 5, 2026.
• ·Kloeckner supplies more than 60,000 customers primarily in North America and DACH region (Germany, Austria, Switzerland).
• ·Offer documents available at www.strong-for-good.com.

10-03-2026

Celularity Inc. entered a strategic commercialization partnership licensing its placental-derived biomaterials portfolio, expected to generate up to $35M in non-dilutive upfront and milestone payments plus royalties, while retaining exclusive manufacturing rights for ongoing revenue. The deal includes organizational realignment with personnel transitions to the partner and workforce reductions to lower operating expenses and sharpen focus on longevity therapeutics. Transaction is set to close no later than April 15, 2026.

• ·Exclusive manufacturing at FDA-compliant facility in Florham Park, New Jersey
• ·Expanded commercial and clinical opportunities in Florida, Texas, and Arizona under state investigational use frameworks
• ·pH Partners, LLC acted as financial advisor

10-03-2026

KDP Coffee Co., the coffee segment of Keurig Dr Pepper Inc., reported FY2025 net sales of $4.7B, up 1% YoY from $4.6B but down 2% from FY2023's $4.8B, with net income declining 5% YoY to $700M due to higher cost of sales and lower gross profit (down 7% to $1.9B). Operating cash flow improved significantly to $629M from $459M, while inventories surged 45% to $954M. These audited combined financial statements support KDP's planned Q2 2026 acquisition of JDE Peet’s and subsequent spin-off of the combined coffee business into Global Coffee Co.

• ·Cash and cash equivalents increased to $168M as of Dec 27, 2025 from $132M.
• ·Property, plant, and equipment, net rose to $944M from $866M.
• ·Intangible assets, net declined to $2,951M from $3,045M due to amortization.
• ·Net cash used in investing activities improved to $162M from $241M.
• ·Net transfers to Parent were $329M in FY2025.

10-03-2026

NASDAQ-listed AGAPE ATP Corporation (ATPC), through its subsidiary ATPC Green Energy Sdn. Bhd., entered into a Collaboration Agreement with Dubai-based Citadel Investment LLC on March 10, 2026, to jointly explore opportunities in oil, gas, petroleum products, and petrochemical trading across international markets. The partnership leverages complementary networks for deal structuring, supplier relationships, and cross-border trade on a commission or profit-sharing basis, focusing on high-value opportunities while ensuring compliance with anti-corruption and sanctions regulations. This move strengthens ATPC's global energy trading capabilities, complementing its healthcare, wellness, and renewable energy portfolio.

10-03-2026

Southern First Bancshares, Inc. modified its $15M loan (originated December 28, 2023) with TIB, National Association, effective March 5, 2026, extending the maturity date to March 5, 2027 and establishing quarterly interest payments starting March 5, 2026. Key covenant changes include deletion of the Bank's Return on Average Assets requirement and a new minimum Debt Service Coverage Ratio of 1.25x measured annually; a 0.25% Non-Usage Fee (up to $37,500, net of interest paid) applies at maturity. The pledge of 100% common stock of Southern First Bank as collateral remains in full force.

• ·Loan Agreement amendments delete Section 7.(a)(7) entirely
• ·Borrower reaffirms no existing defaults under Loan Documents post-modification

10-03-2026

NEXGEL, Inc. signed a definitive agreement to license and acquire a portfolio of 6 commercial-stage regenerative biomaterial products from Celularity Inc., expected to triple annual revenue to about $35 million and make the company immediately profitable upon closing. The deal includes an experienced commercial team and three new 510(k) filings planned for 2026, 2027, and 2028, with closing anticipated in Q1 or early Q2 2026 subject to $14.9 million in additional financing. No historical performance declines or flat metrics are disclosed in the filing.

• ·Portfolio focused on tendon repair, skin grafts, and bone growth with over a decade of clinical use and existing insurance reimbursement.
• ·Palladium Capital Group, LLC acted as placement agent on the financing.
• ·Further details to be filed in a subsequent Form 8-K.

10-03-2026

Grayscale Zcash Trust (ZEC) entered into the Second Amended and Restated Declaration of Trust and Trust Agreement on March 9, 2026, following shareholder approval of four proposals via a consent solicitation initiated on February 12, 2026. All proposals received strong support, with aggregate consents ranging from 97.94% to 99.72% of outstanding shares, enabling changes such as cash creation/redemption of baskets, daily sponsor fee payments, omnibus account holdings, and sponsor amendment rights. No significant opposition or revocations were noted, with consents finalized by March 3, 2026.

• ·Proposal 1 votes: For 299,134; Against 13,480; Abstain 200
• ·Proposal 2 votes: For 248,091; Against 63,518; Abstain 1,205
• ·Proposal 3 votes: For 282,530; Against 29,905; Abstain 379
• ·Proposal 4 votes: For 213,270; Against 29,905; Abstain 379
• ·Consent solicitation concluded March 3, 2026 at 4:00 p.m. New York City time

10-03-2026

Amcor Flexibles North America, Inc., a subsidiary of Amcor plc, completed the issuance of $750M aggregate principal 4.250% Guaranteed Senior Notes due 2029 and $750M 5.125% Guaranteed Senior Notes due 2036 on March 5, 2026, fully guaranteed by Amcor plc and affiliates including Berry Global entities. Net proceeds of approximately $1.489B will repay $600M of 3.625% notes due 2026, $750M of Berry Global's 4.875% notes due 2026, commercial paper, and other debt, extending maturities without noted drawbacks.

• ·Interest on 2029 Notes payable semi-annually March 8 and September 8, commencing September 8, 2026; matures March 8, 2029.
• ·Interest on 2036 Notes payable semi-annually March 12 and September 12, commencing September 12, 2026; matures March 12, 2036.
• ·Underwriting Agreement dated March 5, 2026, with Goldman Sachs & Co. LLC and J.P. Morgan Securities LLC as representatives.

10-03-2026

PMGC Holdings Inc. amended its Articles of Incorporation via a Certificate of Amendment filed on March 4, 2026, effective March 10, 2026, implementing a 6-for-1 reverse stock split on its Common Stock. Post-amendment, the company is authorized to issue 583,333,334 total shares, consisting of 83,333,334 shares of Common Stock and 500,000,000 shares of Preferred Stock, each with a par value of $0.0001 per share. No fractional shares will be issued; holders entitled to fractions will receive one whole share instead.

• ·Certificate filed with Nevada Secretary of State on March 4, 2026.
• ·Amendment adopted by Board of Directors; no shareholder vote details on class rights alterations.
• ·Reverse stock split applies to issued and outstanding Common Stock immediately prior to effective time.

10-03-2026

Lixte Biotechnology Holdings, Inc. entered into an Amended and Restated Share Exchange Agreement on March 6, 2026 (effective November 21, 2025) with its subsidiary Liora Technologies Europe Ltd and Orbit Capital Inc., consolidating prior transactions including the acquisition of 100% of Liora, issuance of 2,700 Series C Preferred shares, termination of a royalty agreement, and Orbit's exchange of those shares for 700,000 common shares to reacquire 20% ownership in Liora. This restructuring clarifies the parties' intended ownership structure without any reported financial impacts or performance changes.

• ·Original Share Exchange Agreement dated November 21, 2025
• ·Royalty Agreement terminated December 16, 2025
• ·Post-Closing Share Exchange Agreement dated December 30, 2025
• ·A&R Agreement filed as Exhibit 10.1