US Corporate Distress Financial Stress SEC Filings — March 13, 2026

13-03-2026

Olenox Industries Inc. (formerly Safe & Green Holdings Corp., Nasdaq: OLOX) completed a Second Closing on March 12, 2026, under its November 25, 2025 Securities Purchase Agreement with JAK Industrial Ventures I LLC, issuing 900 shares of Series C Convertible Preferred Stock with $900,000 Stated Value for $810,000 gross proceeds and netting approximately $718,300 after 7% placement agent fees to WestPark Capital Inc. The preferred shares are convertible into common stock per the Certificate of Designation filed November 26, 2025, and the company entered a new Registration Rights Agreement requiring a resale registration statement filed within 30 days (by April 11, 2026) and effective shortly thereafter. The sale relied on exemptions under Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D.

• ·Registration statement filing deadline: no later than 30 days from March 12, 2026 (April 11, 2026)
• ·SEC effectiveness deadlines: 30 days after filing (extendable to 45/60 days for partial/full review)
• ·Initial closing disclosed in 8-K filed December 2, 2025
• ·Sale exempted under Section 4(a)(2) of Securities Act and Rule 506(b) of Regulation D

13-03-2026

Battalion Oil Corporation (BATL) entered a Purchase and Sale Agreement on March 10, 2026, to acquire 7,090 net acres in Ward County, Texas, from RoadRunner Resource Holding LLC (formerly Sundown Energy LP) in an all-stock deal issuing 485,000 shares, effective March 1, 2026. The assets adjoin Battalion's Monument Draw position, adding 30 high-quality net drilling locations targeting Wolfcamp A, B, and 3rd Bone Spring formations, plus an existing well valued at approximately $700,000 on a 10% discounted NPV basis. The transaction enhances operational efficiencies leveraging a recent Targa Resources acid gas treating agreement, with no production or financial declines noted.

• ·Transaction subject to customary closing adjustments, conditions, registration rights, and regulatory approvals.
• ·Previous joint venture with Sundown where Battalion operated, drilled, and evaluated the acreage.

13-03-2026

Global Medical REIT Inc. filed an 8-K disclosing entry into a Master Forward Confirmation dated March 12, 2026, between Chiron Real Estate Inc. (Ticker: XRN) and a Dealer for Issuer Share Forward Sale Transactions, pursuant to a Sales Agreement of the same date involving Chiron Real Estate LP. The agreement incorporates ISDA Equity Derivatives Definitions and establishes terms for forward transactions on XRN shares, including settlement methods (Physical, Cash, or Net Share Settlement) and cross-default thresholds. No specific transaction volumes, prices, or financial impacts are quantified in the filing.

• ·Shares have par value $0.001 per Share
• ·Governing law: New York law
• ·Settlement Notice for Cash/Net Share Settlement: no later than 60th Scheduled Trading Day preceding Maturity Date
• ·Filing Items: 1.01, 5.03, 8.01, 9.01

13-03-2026

Forum Markets, Incorporated (Nasdaq: FRMM) announced a $10 million revolving warehouse facility agreement for financing fully secured first-lien auto loans originated via Automatic USA and analyzed by Karus, Inc., expecting 12%-13% annualized yield independent of token issuance timing. The 12-month facility enables 24/7/365 loan settlement using blockchain infrastructure from Liquidity.io, collateralized by Texas Capital Bank Government Money Market ETF, to support Forum's strategy of tokenizing real-world credit assets. While generating immediate double-digit yields from warehouse lending, long-term held auto loans are projected at high single-digit yields, blending for enhanced tokenized product returns amid forward-looking risks.

• ·12-month facility term with 7-10 business day loan holding periods
• ·Partners with Automatic USA for automated dealer-level loan applications and Karus for AI-driven credit analytics
• ·Settlement via Liquidity.io blockchain infrastructure for 24/7/365 basis

13-03-2026

Mobivity Holdings Corp. entered into a Master Services Agreement (MSA) with PayPal, Inc. on March 9, 2026, under which Mobivity will provide offer planning and placement services for PayPal's marketing promotions and advertisements via statements of work or insertion orders. The MSA has an initial one-year term with automatic annual renewals and performance-based compensation settled monthly, but it will be assigned to Mistplay Inc. upon closing of the Asset Purchase Agreement dated January 16, 2026. The agreement includes standard representations, warranties, confidentiality, indemnification, and liability limitations, governed by Delaware law.

• ·MSA termination requires 30 days' written notice prior to end of current term; PayPal restricted from terminating during promotional flights except as specified in IO/SOW.
• ·Mobivity may cancel IO/SOW for non-payment or third-party partner refusal.
• ·Definitive information statement on Asset Purchase Agreement filed with SEC on March 5, 2026.
• ·MSA portions redacted as non-material/confidential; full version available to SEC upon request.

13-03-2026

Karman Holdings Inc. executed a Fourth Amendment to its Credit Agreement on March 9, 2026, adding $100M in incremental revolving credit commitments from new lenders, increasing total revolving commitments to $150M for working capital and general corporate purposes. The amendment removes prior limits on incremental revolving commitments and confirms no Events of Default post-effectiveness, with solvency certified. Conditions precedent including representations, warranties, legal opinions, and KYC compliance were satisfied.

• ·Original Credit Agreement dated April 1, 2025; prior amendments: First on May 27, 2025, Second on October 24, 2025, Third on February 2, 2026
• ·Legal opinions from Willkie Farr & Gallagher LLP (New York counsel) and Stoel Rives LLP (Washington counsel to Systima Technologies, Inc. and Five Axis Industries, Inc.)

13-03-2026

On March 11, 2026, Talphera, Inc. (TLPH) received a notice from Nasdaq indicating non-compliance with the minimum bid price requirement of $1.00 per share under Nasdaq Listing Rule 5550(a)(2), due to the deficiency persisting for 30 consecutive business days. The company has 180 calendar days, until September 7, 2026, to regain compliance by maintaining a $1.00 closing bid price for at least 10 consecutive business days, with no immediate impact on current listing. Failure to comply could lead to delisting, though the company plans to monitor its stock price and explore options, including a potential reverse stock split in a second 180-day period if eligible.

• ·Nasdaq Listing Rule 5810(c)(3)(A) governs the 180-day compliance period and potential second period.
• ·Company address: 1850 Gateway Drive, Suite 175, San Mateo, California 94404.
• ·Risk factors detailed in Form 10-Q filed November 12, 2025.

13-03-2026

AMC Networks Inc. completed early settlement of its Exchange Offer and Consent Solicitation on March 13, 2026, exchanging $830.6 million (95% of outstanding) of 10.25% Senior Secured Notes due 2029 for $884 million of new 10.50% Senior Secured Notes due 2032, extending maturity from 2029 to 2032. The transaction amends the Old Notes Indenture to permit up to $50 million in equity buybacks, with $44.4 million of Old Notes remaining outstanding. The New Notes are fungible with $400 million Original 2032 Notes issued July 3, 2025.

• ·Early Tender Time: 5:00 p.m., New York City time, on March 6, 2026
• ·New Notes interest rate: 10.50% per annum, payable semi-annually on January 15 and July 15, first payment July 15, 2026
• ·New Notes mature on July 15, 2032
• ·First Supplemental Indenture to Old Notes Indenture dated March 9, 2026

13-03-2026

Bioxytran, Inc. (BIXT) filed an 8-K on March 13, 2026, disclosing events under Items 3.03 (material impairments), 5.02 (director/officer departures or elections), 5.03 (amendments to articles of incorporation or bylaws), and 9.01 (financial statements and exhibits). The filing signals potential leadership transitions and governance changes alongside material impairments, which could indicate operational challenges. No specific details on impairments, departing/appointed individuals, or amendment impacts were detailed in the available filing metadata.

• ·CIK: 0001445815
• ·SIC: 2834 - Pharmaceutical Preparations
• ·State of Incorporation: NV
• ·Fiscal Year End: December 31
• ·Business Address: 75 2nd Ave, Suite 605, Needham, MA 02494
• ·Former names: America's Driving Ranges, Inc.; U.S. Natural Nutrients & Minerals, Inc.; U.S. Rare Earth Minerals, Inc.

13-03-2026

IRIDEX Corporation entered into a triple net office lease for approximately 30,784 rentable square feet (Suite 150) at Hellyer Oaks Technology Park, 5215 Hellyer Avenue, San Jose, CA, with landlords SFIII Hellyer, LLC and SFIII FOS Hellyer Holding, LLC. The 90-month term commences upon substantial completion of tenant improvements, anticipated July 1, 2026, with base rent starting at $53,872 monthly ($1.75 per sq ft) escalating to $2.15 per sq ft by year 8, and a $132,500 security deposit. Tenant receives 114 unreserved parking spaces and an option to extend for 60 months, subject to conditions.

• ·Lease includes one 60-month extension option for Original Tenant, exercisable if no default and no material adverse financial change.
• ·Permitted use: administrative/general office, research & development, manufacturing, storage, and distribution.
• ·Brokers: Cushman & Wakefield U.S., Inc. (Landlord), Hughes Marino (Tenant).

13-03-2026

Littelfuse, Inc. entered into an Amended and Restated Credit Agreement dated March 12, 2026, establishing an $800M revolving credit facility with Bank of America, N.A. as Agent, Swing Line Lender, and L/C Issuer. The facility includes a $200M Alternative Currency Sublimit and features pricing tiers for interest rates and fees based on the Consolidated Net Leverage Ratio. No performance declines or flat metrics are reported, as this is a financing agreement.

• ·Applicable Rate tiers range from 0.100% commitment fee and 1.00% for Term SOFR/Alternative Currency loans at Pricing Level 1 (<1.25:1 Net Leverage) to 0.175% fee and 1.75% loans at Level 4 (>3.00:1).

13-03-2026

Sadot Group Inc. received a Nasdaq notice on March 9, 2026, stating it violated Listing Rule 5640 by issuing 10,000 shares of Series A Preferred Stock on February 11, 2026, with super-voting rights (14.5255 votes per share on an as-if-converted basis at $1.00), disproportionately affecting common shareholders' voting rights. The company amended the agreement on March 2, 2026, reducing votes to 5.1596 per share, thereby regaining compliance. Nasdaq has closed the matter subject to disclosure requirements.

• ·Original Securities Purchase Agreement dated February 11, 2026
• ·First Amendment to Stock Purchase Agreement dated March 2, 2026
• ·Prior 8-K disclosure of Amendment filed March 6, 2026
• ·Initial voting rights: 14.5255 votes per Preferred share (as-if-converted at $1.00)
• ·Amended voting rights: 5.1596 votes per Preferred share

13-03-2026

Apollo Debt Solutions BDC's wholly owned subsidiary, Grouse Funding LLC, entered into the Second Amendment to its Secured Credit Facility on March 12, 2026, increasing the maximum facility amount from $500M to $1B. The amendment also extends the reinvestment period from January 30, 2028, to March 12, 2029 (three years post-amendment), and the maturity date from January 30, 2030, to March 12, 2031 (five years post-amendment). This provides enhanced liquidity and extended funding runway with no reported drawbacks.

• ·Original Credit Agreement dated July 7, 2022
• ·Amendment filed as Exhibit 10.1
• ·Grouse Secured Credit Facility parties include Company as investment manager and guarantor

13-03-2026

HealthStream (Nasdaq: HSTM) announced that its Board of Directors approved a new share repurchase program authorizing up to $10 million of its common stock. Repurchases may be conducted in the open market, via Rule 10b5-1 plans, or privately, subject to market conditions, liquidity, and securities laws, with the program terminating on September 12, 2026, or upon full expenditure. The program does not obligate the company to repurchase any shares and can be suspended or discontinued at any time.

• ·Repurchases subject to Rule 10b-18 and Rule 10b5-1 of the Securities Exchange Act of 1934
• ·Reference to Annual Report on Form 10-K for year ended December 31, 2025, filed February 27, 2026

13-03-2026

Venture Global, Inc. (NYSE: VG) announced the final investment decision (FID) and financial close for Phase 2 of its CP2 LNG project, securing $8.6 billion in project financing and bringing the total CP2 financing to $20.7 billion, the largest standalone project financing in the U.S. bank market. This milestone, achieved without outside equity, positions Venture Global to become the largest U.S. LNG exporter with over 100 MTPA of capacity across its projects, following five FIDs in less than seven years and over $95 billion in capital markets transactions. CP2 has a peak capacity of 29 MTPA with nearly all nameplate capacity contracted long-term to customers in Europe and Asia, contributing to the company's total contracted capacity of over 49 MTPA.

• ·Phase 1 financing for CP2 announced July 2025
• ·Lender group for Phase 2 includes 25+ banks such as J.P. Morgan Chase, Goldman Sachs, and Bank of China
• ·Lead Arrangers: BBVA and MUFG Bank for Construction Term Loan and Working Capital Facility
• ·Counsel: Latham & Watkins LLP (Venture Global), Skadden, Arps, Slate, Meagher & Flom LLP (lenders)

13-03-2026

TruGolf Holdings, Inc. filed amended and restated Articles of Incorporation effective March 13, 2026, authorizing 1.02B total shares: 1B Class A Common Stock (1 vote per share), 10M Class B Common Stock (25 votes per share, issuable only to founders Christopher Jones, Steve Johnson, David Ashby and permitted owners), and 10M Preferred Stock (par value $0.0001 per share). Class B shares convert to Class A upon transfer (except to permitted owners) and provide equal economic rights but enhanced voting control. The amendments also designate 50,000 shares of Series A Convertible Preferred Stock, including 37,033 issuable upon exercise of Preferred Warrants.

• ·Class B Common Stock voting rights: 25 votes per share vs. 1 vote for Class A.
• ·Registered office: 112 North Curry Street, Carson City, NV 89703; agent: Corporation Service Company.
• ·Preferred Stock board authority to designate series without stockholder approval.

13-03-2026

WhiteHorse Finance Credit I, LLC entered into the Twelfth Amendment to its Fifth Amended and Restated Loan Agreement on March 10, 2026, reducing the Financing Commitments from $100M to $50M USD, a 50% decline. The Administrative Agent and Lenders waived the 1.00% premium otherwise payable under Section 4.03(c)(ii). The overall Financing Limit remains up to $375M USD, with restrictions on non-USD currency utilization.

• ·Not more than 20% of Financing Limit may be utilized in Permitted Non-USD Currencies; not more than 10% in GBP
• ·Portfolio Manager certifies no Default, Event of Default, or Market Value Cure Failure as of amendment date

13-03-2026

On March 9, 2026, ClearOne, Inc. entered into a Warrant Repurchase Agreement with CVI Investments, Inc., repurchasing outstanding warrants issued on September 12, 2021, exercisable for 24,155 shares of common stock. The company paid $22,000 ($0.9108 per underlying share) to retire the warrants, which were subsequently cancelled, reducing potential future dilution. No other financial impacts or comparisons were disclosed.

• ·Filing submitted on March 13, 2026, reporting earliest event on March 9, 2026
• ·Warrant Repurchase Agreement filed as Exhibit 10.1

13-03-2026

Functional Brands Inc. entered into an Exchange and Amendment Agreement effective March 9, 2026, allowing the exchange of outstanding Series A and Series B Convertible Preferred Stock into Series C Convertible Preferred Stock (72% portion), senior secured convertible notes (10% portion), cash (10.74% of assigned value, with $450,000 full closing payment and minimum $250,000 at closing), and common stock (12.39% of remaining stated value). The agreement includes amendments to existing preferred stock certificates, designation of new Series C with fixed conversion prices ($0.30-$0.41), and note issuance with 120% of prior closing price conversion. No aggregate exchange volumes or total dilution impact disclosed.

• ·Series A Assigned Value: 80% of Remaining Stated Value per share.
• ·Series B Assigned Value: 100% of Remaining Stated Value per share.
• ·Series C Tier Allocation: 50% at $0.30, 25% at $0.35, 25% at $0.41.
• ·Cash shortfall repayment: 6 equal monthly installments starting Redemption Start Date.
• ·Alternate Conversion Eligibility: 24 months from Initial Closing Date or upon Event of Default.
• ·Fixed Conversion Period: From Exchange Date to earlier of Event of Default or 24 months from Initial Closing.

13-03-2026

Silvaco Group, Inc. entered into an Open Market Sale Agreement with Jefferies LLC on March 13, 2026, enabling the company to offer and sell up to $15.0 million in common stock through an at-the-market offering on Nasdaq. The sales agent will receive up to 3.0% commission on gross sales prices, with the company reimbursing certain expenses and providing indemnification. No shares are obligated to be sold, and the offering uses an effective S-3 registration statement from November 21, 2025.

• ·Sales made pursuant to Form S-3 (File No. 333-291212), effective November 21, 2025, and Prospectus Supplement dated March 13, 2026.
• ·Agreement allows suspension or termination by either party upon notice.
• ·Company made customary representations, warranties, and covenants.

13-03-2026

CapsoVision, Inc. entered into an amendment dated March 9, 2026, to its existing development agreement with Canon Inc., increasing the total development fee by $1 million to approximately $5.1 million due to enhanced features in CMOS image sensor specifications. While this raises costs—with the remaining fee now higher and payable via a master purchase agreement—the upgrade supports advanced evaluation, clinical testing, and FDA 510(k) clearance for capsule endoscopies. The initial $1 million cash payment remains unchanged.

• ·Amendment references original agreement reported in 8-K filed July 15, 2025.
• ·Additional Amount per section 12.5 of original agreement remains unchanged.
• ·All other terms of original agreement remain in full force and effect.

13-03-2026

On March 13, 2026, ParkerVision, Inc. entered into Exchange Agreements with holders of its outstanding convertible promissory notes, exchanging an aggregate principal amount of $675,000 and approximately $13,200 in accrued and unpaid interest for 3,277,099 shares of common stock at an exchange price of $0.21 per share. The exchanged notes were cancelled and extinguished, reducing the company's debt obligations. The transaction relied on the Section 3(a)(9) exemption from registration under the Securities Act, with no commissions paid.

• ·Exchanges effected pursuant to Section 3(a)(9) of the Securities Act, exempt from registration as issued solely to existing security holders with no commission paid.
• ·Form of Exchange Agreement filed as Exhibit 10.1.

13-03-2026

Applied Materials, Inc. held its Annual Meeting of Shareholders on March 12, 2026, electing all ten director nominees with strong majorities (for votes ranging from 536,089,076 to 597,000,433; against votes up to 62,101,403 for Kevin P. March). Shareholders approved on an advisory basis the FY2025 named executive officer compensation (552,486,796 for, 41,457,649 against) and ratified KPMG LLP as independent auditor for FY2026 (636,399,482 for, 46,823,436 against). All three proposals passed decisively, with consistent broker non-votes of 85,096,891 across director elections.

• ·Annual Meeting held on March 12, 2026; filing dated March 13, 2026
• ·Proposal 2 approval advisory for FY2025 executive compensation
• ·Proposal 3 ratification for KPMG LLP as auditor for FY2026
• ·Broker non-votes: 85,096,891 for all director proposals

13-03-2026

Salesforce, Inc. completed a registered public offering of $25B aggregate principal amount of senior notes on March 13, 2026, consisting of eight series maturing between 2028 and 2066 with fixed interest rates ranging from 4.500% to 6.700% per year, payable semi-annually starting September 15, 2026. The net proceeds are being used to repurchase shares of the company's common stock pursuant to accelerated share repurchase agreements. The notes are unsecured senior debt ranking equally with other unsubordinated obligations, with customary redemption and default provisions.

• ·Notes mature on: March 15, 2028 (2028/2029/2033/2036/2046/2056 Notes); September 15, 2031 (2031 Notes); March 15, 2066 (2066 Notes).
• ·Company may redeem notes at applicable redemption price as described in Third Supplemental Indenture.
• ·Events of default include payment failures, covenant breaches, and bankruptcy; acceleration possible by trustee or 25% holders.

13-03-2026

Transuite.Org Inc. (TRSO) announced a Cooperation Agreement with Australian Fintech Group (AFT) and AEEC INTERNATIONAL PTY LTD (operator of AUXSTO digital asset trading platform), including a conditional agreement for TRSO to acquire 51% equity in AEEC to advance Web3 financial infrastructure, digital payments, and ecosystem development. The partnership focuses on global expansion of AUXSTO, public chain services, intelligent terminals, and a four-segment closed-loop digital finance model. While positioned as strategically significant with management optimism, the transaction is conditional on closing requirements and subject to risks including integration challenges, regulatory changes, and potential non-completion.

• ·AEEC established in 2017 and headquartered in Sydney, Australia
• ·AEEC registered with AUSTRAC as a Digital Currency Exchange Provider
• ·AEEC supports direct fiat-to-crypto conversions (AUD and USD)
• ·Filing Date: March 13, 2026; Announcement Date: March 10, 2026

13-03-2026

Calumet, Inc. announced the pricing of a $150M private placement of additional 9.75% Senior Notes due 2031, issued at 105% of par by subsidiaries Calumet Specialty Products Partners, L.P. and Calumet Finance Corp., with closing expected on March 17, 2026. Net proceeds will repay borrowings under the revolving credit facility. The notes supplement $405M of existing notes issued on January 12, 2026, forming a single series.

• ·Offering conducted under Rule 144A and Regulation S; securities unregistered and restricted to qualified institutional buyers and non-U.S. persons.
• ·Maturity date: February 15, 2031.

13-03-2026

NextNRG, Inc. entered into a Stock Purchase Agreement dated March 11, 2026, with Cheetah Capital Inc., under which the company will issue 3,181,818 shares of common stock at $0.55 per share in exchange for the forgiveness of $1.75M in liabilities owed under a promissory note dated July 15, 2025. This debt-for-equity transaction clears the outstanding promissory note obligation but dilutes existing shareholders' equity. The closing occurred on March 11, 2026, with the filing made on March 13, 2026.

• ·Agreement relies on exemption from registration under the Securities Act of 1933.
• ·Buyer qualifies as an accredited investor.
• ·Promissory note dated July 15, 2025, fully satisfied and terminated upon closing.

13-03-2026

Tivic Health Systems, Inc.'s wholly owned subsidiary Velocity Bioworks, Inc. entered into three facility leases in San Antonio, TX on March 9 and 13, 2026: a Microbial Building Lease for 8,042 sq ft over 8 years with aggregate base rent of $5.34M and a $12.5M purchase option within 24 months; a Mammalian Building Lease for 20,144 sq ft over 102 months with aggregate base rent of $6.29M; and an Office Sublease for 8,122 sq ft over 110 months serving as the new principal executive office. These agreements commit the company to significant future rent obligations totaling over $11.63M in aggregate base rent across the facilities, with additional operating expenses, taxes, and utilities.

• ·Microbial Building Lease effective March 13, 2026, with one-time 5-year extension option.
• ·Mammalian Building Lease effective January 1, 2026, with ~3% annual rent increases.
• ·Office Sublease effective March 13, 2026, with ~3% annual rent increases and consent from TPB Merchants Ice LLC.

13-03-2026

Azitra, Inc. received a notification from NYSE American on March 13, 2026, stating non-compliance with the $6.0M minimum stockholders’ equity requirement under Section 1003(a)(iii) of the Company Guide, as its equity stood at $3.8M as of December 31, 2025, amid losses in its five most recent fiscal years. The company was previously non-compliant with the $4.0M requirement under Section 1003(a)(ii), but its compliance plan was accepted on December 16, 2025, providing until April 1, 2027, to regain standards. Non-compliance or lack of progress risks delisting proceedings.

• ·Company reported losses from continuing operations and/or net losses in its five most recent fiscal years ended December 31, 2025.
• ·Previous non-compliance notice received October 1, 2025; compliance plan submitted October 31, 2025.

13-03-2026

MultiSensor AI Holdings, Inc. entered into an At Market Issuance Sales Agreement on March 13, 2026, with Roth Capital Partners, LLC and H.C. Wainwright & Co., LLC, enabling the sale of up to $60M in common stock through at-the-market offerings. Proceeds, if any, will fund working capital and general corporate purposes, with agents earning up to a 3.0% commission. The agreement follows an amendment on March 12, 2026, to the company's October 24, 2025 Securities Purchase Agreement to allow the offering.

• ·Sales Agreement utilizes shelf registration on Form S-3 (File No. 333-284437), effective January 30, 2025.
• ·Offering terminates upon sale of all shares or termination by parties.
• ·Company is an emerging growth company.

13-03-2026

On March 12, 2026, 1606 Corp. entered into a Purchase and Sale Agreement with Jefferson Enterprise Energy, LLC to acquire real property in Angelina County, Texas, including land, improvements, equipment, and permits, for a total of $11.2M, comprising $7M cash at closing and assumption of a mechanic's lien. The Company deposited $250k in non-refundable earnest money, with closing scheduled for April 15, 2026 on an AS-IS basis with all faults. While this represents strategic property expansion, it includes indemnification risks for the seller against the lien and no warranties on the property condition.

• ·Sim Agro Lien recorded as Instrument No. 2025-00458298 in Angelina County, Texas Official Public Records
• ·Company principal offices: 2425 E. Camelback Rd Suite 150, Phoenix, AZ 85016
• ·Earnest money nonrefundable except if Seller fails to perform closing obligations

13-03-2026

Equillium, Inc. entered into a Securities Purchase Agreement on March 11, 2026, with RA Capital Healthcare Fund, L.P. to issue 1,179,508 shares of common stock at $1.854 per share and pre-funded warrants to purchase up to 17,698,593 shares at $1.8539 per warrant share, for gross proceeds of approximately $35 million, with closing anticipated on or about March 13, 2026. Net proceeds will fund development of EQ504, working capital, and general corporate purposes. The company agreed to file a resale registration statement with the SEC within 30 days of closing, subject to penalties for delays.

• ·Pre-funded warrant exercise price: $0.0001 per share, exercisable on cashless basis anytime until fully exercised.
• ·Share price: average closing price over five trading days prior to March 11, 2026.
• ·Warrant price: $1.8539 per warrant share.

13-03-2026

PEDEVCO Corp. adopted its Second Amended and Restated Certificate of Formation, authorizing 400M shares of capital stock (300M Common and 100M Preferred, both at $0.001 par value) and prohibiting non-voting stock issuance. The amendments update the board to list six directors, revise the registered agent to Cogency Global Inc., add corporate opportunity renunciations for the Juniper Investor Group and PED Investor Group (Simon Kukes), and impose supermajority voting requirements for certain amendments, all in alignment with the October 31, 2025 Shareholder Agreement. No financial metrics or performance changes are reported.

• ·Registered office: 1601 Elm Street, Suite 4360, Dallas, Texas 75201
• ·Shareholder Agreement dated October 31, 2025 governs director changes
• ·New Article IX renounces corporate opportunities for Juniper and PED Investor Groups
• ·Supermajority vote required to amend certain provisions (former Article XI, now revised)

13-03-2026

Savara Inc. entered into a lease agreement on March 10, 2026, with ML7 Yardley Partners, LP for approximately 10,795 square feet of office space at 19 W. College Avenue, Suite 200, Yardley, PA 19067, to relocate its headquarters. The lease commences July 1, 2026, and extends to December 1, 2031, with an option for a five-year extension; monthly base rent starts at $28,337 with 2% annual increases, and aggregate base rent over the term totals $1.78M after five months of abatement. The company paid a $28,337 security deposit and will cover its share of operating expenses, taxes, and utilities.

• ·Lease contains customary events of default, representations, warranties, and covenants.
• ·Current headquarters address: 1717 Langhorne Newtown Road, Suite 300, Langhorne, PA 19047.

13-03-2026

Corvus Pharmaceuticals, Inc. entered into an Amended and Restated Open Market Sale Agreement with Jefferies LLC on March 13, 2026, increasing the maximum aggregate offering price for common stock sales to $200M from $100M under the original August 6, 2024 agreement, under which no shares were sold. Jefferies will act as sales agent using commercially reasonable efforts, earning a commission of up to 3.0% of gross sales price. A prospectus supplement to the Form S-3 registration statement (File No. 333-294272) was filed with the SEC.

• ·No shares sold under Original Sales Agreement as of March 13, 2026
• ·Prospectus supplement filed with SEC Registration Statement on Form S-3 (File No. 333-294272)

13-03-2026

Bio Green Med Solution, Inc. received a Nasdaq notice on March 12, 2026, stating that its 6% Convertible Exchangeable Preferred Stock (BGMSP) failed to regain compliance with the $1M minimum Market Value of Publicly Held Shares (MVPHS) requirement after an initial deficiency notice on September 11, 2025, leading to delisting. Trading suspension is set for March 23, 2026, unless appealed by March 19, 2026, which the company does not intend to do, with delisting expected on or after April 2, 2026, and potential OTC Markets trading thereafter. The delisting does not impact the Common Stock (BGMS).

• ·Initial noncompliance notification received on September 11, 2025, for prior 30 consecutive business days.
• ·Compliance period: 180 calendar days until March 10, 2026, per Nasdaq Listing Rule 5810(c)(3)(D).

13-03-2026

Saratoga Investment Corp. entered into Amendment No. 5 to its Equity Distribution Agreement on March 13, 2026, migrating its at-the-market (ATM) offering program to a new shelf registration statement (File No. 333-292765) from the prior one (File No. 333-269186). The ATM Program, originally established on July 30, 2021, allows for sales of up to $300M in aggregate offering price of common stock through agents including Lucid Capital Markets, Ladenburg Thalmann, Compass Point, and Raymond James, with approximately $170.4M remaining available. No specific sales or financial impacts are reported in this filing.

• ·Original Equity Distribution Agreement dated July 30, 2021; prior amendments on June 7, 2023, July 10, 2023, July 19, 2023, and May 15, 2024.
• ·Prospectus dated March 11, 2026; Prospectus Supplement dated March 13, 2026.
• ·Registration Statement File No. 333-292765 (effective); prior shelf File No. 333-269186.

13-03-2026

Northpointe Bancshares, Inc. entered into a Subordinated Note Purchase Agreement dated March 12, 2026, for the issuance and sale of subordinated notes with an aggregate principal amount of up to $20 million, intended to qualify as Tier 2 Capital. The notes mature on March 15, 2036, are unsecured, and proceeds will be used for general corporate purposes, with Piper Sandler & Co. serving as financial advisor. No performance declines or flat metrics are mentioned in the agreement.

• ·Closing Date: March 12, 2026
• ·Maturity Date: March 15, 2036
• ·Notes are subordinated, unsecured, and sold in reliance on exemptions under Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D

13-03-2026

Avis Budget Rental Car Funding (AESOP) LLC, a subsidiary of Avis Budget Group, Inc., entered into a Series 2026-1 Supplement dated March 11, 2026, authorizing the issuance of Series 2026-1 Rental Car Asset Backed Notes in Classes A ($280.4M initial principal at 4.28%), B ($34.6M initial principal at 4.57%), C (4.96%), D (6.53%), and R (8.00%), with potential Class E notes thereafter. The notes are secured by rental car assets, feature a revolving period followed by controlled amortization (e.g., Class A monthly amortization of $46.7M), and are issued under the Second Amended and Restated Base Indenture with The Bank of New York Mellon Trust Company, N.A. as Trustee and Series 2026-1 Agent. No prior period comparisons are available as this represents a new issuance.

• ·Class C Note Rate: 4.96% per annum
• ·Class D Note Rate: 6.53% per annum
• ·Class R Note Rate: 8.000% per annum
• ·Notes are non-segregated series; Class B/C/D/R subordinated to senior classes
• ·Series 2026-1 Closing Date precedes Revolving Period and potential Controlled Amortization Period