US Corporate Distress Financial Stress SEC Filings — March 16, 2026

16-03-2026

Airbnb, Inc. closed a $2.5B public offering of senior notes on March 16, 2026, comprising $850M 4.400% notes due 2029, $850M 4.650% notes due 2031, and $800M 5.250% notes due 2036, under an underwriting agreement dated March 12, 2026, with BofA Securities, Inc., Goldman Sachs & Co. LLC, and Morgan Stanley & Co. LLC as representatives. Net proceeds were used to repay $2.0B of maturing 0% convertible senior notes due March 2026, successfully refinancing short-term obligations with longer maturities to 2029-2036. However, the new notes carry higher interest rates of 4.4%-5.25% compared to 0%, increasing the company's future interest expense.

• ·Notes redeemable prior to Par Call Dates at Treasury Rate plus 10 bps (2029), 15 bps (2031), or 20 bps (2036).
• ·Par Call Dates: February 16, 2029 (2029 Notes), February 16, 2031 (2031 Notes), December 16, 2035 (2036 Notes).
• ·Change of Control Triggering Event allows holders to require repurchase at 101% of principal.
• ·Indenture covenants limit liens, sale-leasebacks, and mergers; events of default include payment defaults and acceleration of other indebtedness over $250M.

16-03-2026

Kennedy-Wilson Holdings, Inc. executed an Amendment dated March 15, 2026, to its Agreement and Plan of Merger originally dated February 16, 2026, with Kona Bidco, LLC (Parent) and Kona Merger Subsidiary, Inc. (Merger Sub). The amendment restates Section 4.05 to require (a) a majority vote of Company Voting Stock (Common Stock, Series A Preferred on as-converted basis, Series B and C Preferred based on warrants) voting as a single class, and (b) a two-thirds vote excluding shares owned by Security Holders and affiliates; it also restates Section 4.06 to confirm no other anti-takeover laws apply except possibly DGCL Section 203. The changes were approved by the Special Committee and do not alter other terms of the Agreement.

• ·Amendment effective as of March 15, 2026; original Agreement dated February 16, 2026.
• ·Special Committee approved the Amendment.
• ·References to Agreement date remain February 16, 2026.

16-03-2026

AH Realty Trust (NYSE: AHRT), formerly Armada Hoffler, entered a binding agreement to sell 11 multifamily properties to an affiliate of Harbor Group International for $562M in cash, with a $15M nonrefundable deposit, expected to close mid-2026 subject to customary conditions. Proceeds will fund debt reduction toward a 5.5x-6.5x net debt to adjusted EBITDA target, simplifying the platform and focusing on retail/office. The company is also in advanced negotiations to sell two real estate financing investments for ~$63M, though no assurances of closing.

• ·Retains Smith’s Landing multifamily asset; intends to market Everly and Solis Gainesville for sale.
• ·Transaction formalizes February 16, 2026 letter of intent.
• ·Rebranded as AH Realty Trust effective March 2, 2026 (NYSE: AHRT).
• ·Restructuring also includes divesting construction and real estate financing businesses; targeting retail acquisitions.

16-03-2026

Urgently reported Q4 2025 revenue of $33.3M, up 4% YoY, gross profit of $8.7M (+23% YoY) with margin expansion to 26% (vs 22%), GAAP operating loss of $2.5M (improved 46% YoY), and non-GAAP operating income of $0.2M. However, full-year 2025 revenue declined 10% YoY to $129.2M despite gross profit growth of 4% and significant operating expense reductions (GAAP -29%, non-GAAP -32%). The company announced a definitive merger agreement to be acquired by Agero, Inc., leading to cancellation of the earnings call and suspension of 2026 guidance.

• ·Q4 consumer satisfaction score of 4.7/5; FY score of 4.6/5.
• ·Cash and equivalents declined to $5.3M as of Dec 31, 2025 from $14.2M prior year.
• ·Total liabilities increased to $90.1M from $85.7M; stockholders' deficit widened to $46.4M from $31.7M.
• ·Q4 net loss of $4.2M improved from $8.7M YoY; FY net loss $20.4M improved from $44.0M.
• ·Revolving credit facility $12.7M as current liability Dec 31, 2025.

16-03-2026

MSC Income Fund, Inc. (NYSE: MSIF) announced the closing of a $150.0 million private investment grade notes offering on March 13, 2026. The unsecured notes bear a fixed interest rate of 6.34% per year, payable semiannually, and mature on May 31, 2029, with optional redemption at par plus accrued interest and a potential make-whole premium. Net proceeds will initially repay a portion of outstanding debt under its revolving credit facility, with re-borrowing to fund investments, operating expenses, and general corporate purposes.

• ·Notes are unsecured and may be redeemed in whole or in part at MSC Income’s option.
• ·Fund's private loan portfolio companies generally have annual revenues between $25M and $500M.
• ·Fund's lower middle market portfolio companies generally have annual revenues between $10M and $150M.
• ·Notes not registered under Securities Act of 1933 and subject to state securities laws exemptions.

16-03-2026

Alto Neuroscience, Inc. (ANRO) announced a $120M private placement financing led by Commodore Capital with participation from investors including Perceptive Advisors and Venrock Healthcare Capital Partners, selling 2.9M shares at $20.00 each and 3.1M pre-funded warrants. Proceeds will fund ALTO-207 development through a planned Phase 3 trial in treatment-resistant depression and potential NDA submission, with pro forma cash of $275M as of February 28, 2026. The deal is expected to close March 17, 2026.

• ·Phase 2b study of ALTO-207 expected to initiate in first half of 2026; Phase 3 in early 2027.
• ·ALTO-207 Phase 2a trial met primary and secondary endpoints, well-tolerated with adverse event rate similar to placebo.

16-03-2026

Acumen Pharmaceuticals announced a $35.75M private placement of common stock at $3.30 per share, led by RA Capital Management with participation from ADAR1 Capital Management, Sands Capital, and others, expected to close on or about March 16, 2026, to fund the Enhanced Brain Delivery (EBD) program targeting an IND submission in mid-2027. Preclinical data from the EBD program, utilizing JCR Pharmaceuticals' J-Brain Cargo® technology, demonstrated development candidates achieving 14-40x higher brain penetration in non-human primates compared to native antibodies, low anemia risk, and suitability for subcutaneous administration. No negative or flat performance metrics were reported.

• ·Private placement price: $3.30 per share
• ·EBD candidates showed 14-40x higher brain levels in NHPs at 24 hours vs. native antibodies
• ·EBD collaboration with JCR announced in July 2025
• ·Ongoing Phase 2 trial of sabirnetug in early symptomatic Alzheimer’s disease

16-03-2026

Zevra Therapeutics sold its entire serdexmethylphenidate (SDX) portfolio, including AZSTARYS® and KP1077, to Commave Therapeutics for $50 million, simultaneously resolving a 2024 lawsuit in Delaware Chancery Court. The company fully repaid its $63 million term loan prior to the agreement, achieving a debt-free balance sheet and enhanced financial flexibility. This allows Zevra to focus on its rare disease pipeline, including therapies for Niemann-Pick disease type C (NPC).

• ·2019 license agreement granted Commave exclusive license to certain SDX products.
• ·Litigation initiated by Commave against Zevra in Delaware Chancery Court in 2024.
• ·Annual Report on Form 10-K for year ended December 31, 2025, filed March 9, 2026.

16-03-2026

Seer, Inc. entered into Amendment No. 1 to its Tax Benefit Preservation Plan on March 13, 2026, clarifying the definition of 'Beneficial Ownership' to address challenges raised in a stockholder lawsuit filed on March 3, 2026, in the Delaware Court of Chancery (Taylor v. Farokhzad). The amendment moots the litigation, leading to its dismissal, with Seer agreeing to pay plaintiff's counsel a $250,000 mootness fee solely to avoid litigation costs. This constitutes a material modification to the rights of security holders.

• ·Original Tax Benefit Preservation Plan dated February 26, 2026.
• ·Amended complaint filed March 3, 2026, in Taylor v. Farokhzad, C.A. No. 2025-1232-PAF, Delaware Court of Chancery.
• ·Amendment clarifies interaction of 'Beneficial Ownership' with Treasury Regulation § 1.382-3(a)(1).

16-03-2026

Phreesia, Inc. refinanced its $110 million bridge loan—originally used for the AccessOne Acquisition—with a new $275 million senior secured revolving credit facility from Capital One, borrowing $92.2 million at closing to repay the remaining balance after a $20 million repayment during the fiscal quarter ended January 31, 2026. The new facility replaces a prior $50 million asset-based revolver and is expected to reduce borrowing costs while enhancing financial flexibility, according to CEO Chaim Indig. No penalties were incurred in terminating the bridge loan or prior facility.

• ·Bridge loan was a 364-day $110M secured term loan dated November 12, 2025.
• ·Phreesia founded in 2005.
• ·New Credit Facility available for working capital, capital expenditures, permitted acquisitions, and general corporate purposes.

16-03-2026

On March 16, 2026, Duke Energy Corporation and subsidiaries including Duke Energy Carolinas, LLC, Duke Energy Progress, LLC, Duke Energy Florida, LLC, Duke Energy Indiana, LLC, Duke Energy Ohio, Inc., Duke Energy Kentucky, Inc., and Piedmont Natural Gas Company, Inc., entered into Amendment No. 3 to their Amended and Restated Credit Agreement originally dated March 18, 2022, with Wells Fargo Bank, National Association as Administrative Agent. The amendment extends the credit facility's termination date from March 16, 2030, to March 16, 2031, providing extended liquidity access. No financial terms such as facility size or costs were disclosed in the filing.

• ·Amendment filed as Exhibit 10.1
• ·Multiple co-registrants including CIKs 0000030371, 0000017797, 0000037637, 0000020290, 0000081020, 0000078460

16-03-2026

Waste Connections, Inc. completed an underwritten public offering of $600M aggregate principal amount of 4.800% Senior Notes due 2036 on March 16, 2026, under an existing indenture supplemented by the Eleventh Supplemental Indenture. The notes are senior unsecured obligations, pay interest semi-annually starting July 15, 2026, mature on July 15, 2036, and include redemption options prior to April 15, 2036 at a make-whole price or par thereafter, with a change of control repurchase at 101% of principal. No subsidiary guarantees or negative performance metrics were reported in connection with the issuance.

• ·Notes rank equally with other unsubordinated debt and senior to future subordinated debt; not guaranteed by subsidiaries.
• ·Customary covenants include limitations on liens, sale-leaseback transactions, and mergers/sales of substantially all assets.
• ·Events of default include non-payment of interest (30 days), principal at maturity, covenant breaches (60 days), and bankruptcy events.

16-03-2026

Honeywell Aerospace Inc. entered into a Registration Rights Agreement dated March 16, 2026, with representatives Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC, covering $16B aggregate principal amount of Senior Notes issued pursuant to a Purchase Agreement dated March 10, 2026. This includes $10B in new money notes (various tranches maturing 2028-2036) issued by the Company and $6B in exchange notes (maturing 2046-2066) sold by selling securityholders, all guaranteed by Honeywell International Inc. The agreement mandates a Registered Exchange Offer to be completed no later than 365 days after the Honeywell Aerospace Spin-Off or related successor assumption.

• ·Registered Exchange Offer must be completed no later than 60 days after Exchange Offer Registration Statement effectiveness, but no later than 365 days after Honeywell Aerospace Spin-Off consummation or successor assumption under Indenture Article 10.
• ·Exchange Offer open for not less than 20 Business Days.
• ·Securities issued under Base Indenture and First Supplemental Indenture, both dated March 16, 2026.

16-03-2026

ACRC Lender LLC, a subsidiary of Ares Commercial Real Estate Corp (ACRE), entered into an amendment to its secured revolving funding facility with City National Bank on March 10, 2026, extending the maturity date to December 31, 2026, in exchange for a renewal fee. The amendment qualifies as a material definitive agreement and creates a direct financial obligation. No specific details on the facility size, fee amount, or other terms were disclosed.

16-03-2026

PENN Entertainment, Inc. closed a private offering of $600 million aggregate principal amount of 6.750% senior notes due April 1, 2031, issued at par under an indenture with Computershare Trust Company, National Association. Proceeds will repay outstanding amounts under its revolving credit facility and support general corporate purposes. The unsecured notes are effectively subordinated to secured indebtedness, including under the Credit Agreement, and include covenants restricting debt incurrence, dividends, investments, liens, and other activities.

• ·Interest payable semi-annually in arrears on April 1 and October 1, commencing October 1, 2026.
• ·Optional redemption prior to April 1, 2028 at make-whole premium or 106.750% of principal with equity offering proceeds (if >=60% notes remain outstanding).
• ·Notes subject to covenants that cease upon investment grade ratings from Moody’s and S&P.
• ·Customary events of default with grace periods.

16-03-2026

Ferrellgas Partners, L.P. achieved the Class B Conversion Threshold on March 13, 2026, following a previously disclosed cash distribution to Class B unitholders. On March 16, 2026, the Partnership elected to convert all outstanding Class B Units into Class A Units at a 5.00 conversion factor, resulting in the issuance of 6,500,000 aggregate Class A Units. The converted units are fully fungible and tradable pari passu with existing Class A Units, with Computershare Inc. serving as conversion agent.

• ·Conversion notice filed as Exhibit 99.1 and posted on Investor Relations website
• ·Partnership Agreement dated March 30, 2021
• ·Public accounting firm confirmed full fungibility of Partially Converted Class A Units

16-03-2026

Lyra Therapeutics, Inc. received a letter from Nasdaq on March 13, 2026, confirming the company's withdrawal of its appeal against a delisting determination issued on February 2, 2026, due to failure to satisfy continued listing rules. Trading in the company's common stock (LYRA) will be suspended at the open of trading on March 17, 2026, with Nasdaq to file a Form 25 Notification of Delisting with the SEC thereafter. This development represents a significant negative milestone with no offsetting positive indicators.

• ·Company headquartered at 480 Arsenal Way, Watertown, Massachusetts 02472.
• ·Registrant's telephone: 617 393-4600.
• ·Securities: Common Stock, $0.001 par value per share, trading symbol LYRA on The Nasdaq Capital Market.

16-03-2026

Sono Group N.V. (SSM) disclosed in an 8-K filing on March 16, 2026, entry into a 2002 ISDA Master Agreement with BLOCKCHAIN.COM (BVI) II LTD dated March 10, 2026. The standard agreement governs potential swaps and derivatives transactions (each a 'Transaction') between the parties, including netting, tax withholding, representations, and events of default. No specific transactions, amounts, or financial obligations are detailed in the exhibit.

• ·Filing Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 8.01, 9.01
• ·Agreement includes standard ISDA provisions on payment netting, tax gross-up, basic representations, and events of default

16-03-2026

Fortune Brands Innovations launched a comprehensive CEO search after Amit Banati stepped aside from the CEO role and board, with David Barry appointed as Interim CEO and Ashley George as Interim CFO amid accelerated departures of Nicholas Fink and Jonathan Baksht. Ed Garden of Garden Investments joined the Board via a cooperation agreement, and the company plans a proxy proposal to declassify the Board. Management will update the full-year 2026 outlook on the Q1 earnings call, citing strong fundamentals despite intensified macroeconomic headwinds.

• ·Appointments effective immediately as of March 16, 2026
• ·Amit Banati was set to assume CEO role in May 2026 but stepped aside
• ·David Barry served as CFO until 2025
• ·Advisors include Goldman Sachs & Co. LLC, Jefferies LLC, Consello (financial); Wachtell, Lipton, Rosen & Katz (legal); Collected Strategies (communications); LDG Advisory (strategic) for Fortune Brands

16-03-2026

Oshkosh Corporation entered into a Fourth Amended and Restated Credit Agreement on March 16, 2026, establishing an unsecured revolving credit facility of $1.6 billion maturing in March 2031, up from the prior $1.55 billion facility dated March 23, 2022. The new agreement allows for potential increases of up to $800 million subject to conditions and includes covenants such as a maximum leverage ratio of 3.75:1 (temporarily up to 4.25:1 post-acquisitions). Additionally, the company amended its $500 million term loan credit agreement dated March 31, 2025, to align terms with the new revolving facility.

• ·Credit facility matures in March 2031.
• ·Maximum leverage ratio covenant: 3.75 to 1.00, temporarily increasable to 4.25 to 1.00 post-material acquisitions.
• ·Interest rates based on Term SOFR, base rate, SONIA, EURIBOR, etc., with adjustable margins.

16-03-2026

PetVivo Holdings, Inc., including subsidiaries PetVivo Animal Health and PetVivo AI, Inc., entered into a Subscription Agreement on March 13, 2026, for $1M in equity financing in exchange for 1,250,000 shares of restricted common stock, with $400K received initially and $600K scheduled by April 15, 2026. The investor also received an option to invest an additional $1.5M for 1,875,000 shares by June 30, 2026. The offering was conducted under Section 4(a)(2) and Regulation D exemptions.

• ·Securities registered: Common Stock (PETV on OTCQX), Warrants (PETVW on OTCID)
• ·Emerging growth company status: Yes

16-03-2026

On March 16, 2026, Outlook Therapeutics entered a Note Purchase Agreement with Atlas Sciences, LLC for an $18.36 million unsecured promissory note to repay $17 million of its $33.1 million March 2025 Note to Avondale Capital, LLC, leaving approximately $10.8 million outstanding; however, the company missed a $3.0 million quarterly repayment obligation as of December 31, 2025, prompting $6.3 million in conversions by Avondale at an average price of $0.47. Cash and equivalents stood at $8.7 million as of December 31, 2025, plus $2.4 million from ATM sales, but is insufficient to fund operations for 12 months, raising substantial doubt about going concern despite EU/UK approvals for ONS-5010/LYTENAVA. US FDA approval remains uncertain following a third Complete Response Letter and failure of the NORSE EIGHT trial to meet its endpoint.

• ·March 2025 Note matures July 1, 2026, with initial conversion price of $2.26; recent conversions at weighted average $0.47.
• ·Received third FDA Complete Response Letter for ONS-5010 BLA as of December 31, 2025, requiring confirmatory efficacy evidence.
• ·NORSE EIGHT trial (under FDA special protocol assessment) did not meet pre-specified non-inferiority endpoint at week 8 in November 2024.
• ·10-K for year ended September 30, 2025 filed December 19, 2025; upcoming 10-Q for quarter ended December 31, 2025.

16-03-2026

VisionWave Holdings, Inc. entered into a Side Letter on March 11, 2026, with C.M. Composite Materials Ltd., Giza Zinger Even Mezzanine, Limited Partnership, and Matania (Mati) Moskovitch, supplementing prior Investment and Share Purchase Agreement and Loan Agreement from February 20, 2026. The Company irrevocably commits to provide at least $5M in funding to the CM Company, including $1.5M for working capital and $3.5M for a new facility outside Israel, while consenting to payments to Giza and agreeing to restrictions on share dilution until Giza obligations are satisfied. No financial performance metrics or period comparisons are disclosed.

• ·Side Letter acknowledges Giza Settlement Agreement dated February 5, 2026, and prior SPA/Loan Agreements dated February 20, 2026.
• ·Company consents to CM Company's payments to Giza, including an immediate payment already made directly by the Company.
• ·Restrictions: No dilution of CM Company shareholders or exercise of Note conversion without Giza consent until obligations satisfied.
• ·CM Company activities outside Israel must be direct, not through subsidiaries unless pledged to Giza.

16-03-2026

TeraWulf Inc. provided unaudited consolidating balance sheet and statement of operations schedules as of and for the year ended December 31, 2025, for compliance with the 2030 Secured Notes Indenture, revealing total assets of $6.56B including $3.27B in cash equivalents and $1.51B in property, plant, and equipment. Total revenue was $168.5M, with $151.6M from digital assets and $16.9M from HPC leasing. However, the company posted a significant net loss of $661.4M, driven by a $430M negative change in fair value of warrants/derivatives, $186M operating loss, and $80M interest expense.

• ·Total current liabilities: $1.74B (consolidated)
• ·Long-term debt: $3.05B (consolidated)
• ·Convertible notes: $2.07B total current and long-term
• ·Stockholders' equity: $140.4M (consolidated)
• ·Equity in net loss of Abernathy Joint Venture: $4.1M
• ·Depreciation: $88.6M

16-03-2026

WisdomTree, Inc. (NYSE: WT) entered a definitive agreement to acquire Atlantic House Holdings Limited for £150M (~$200M), adding ~$5.5B in AUM specialized in defined outcome and derivatives strategies, with the deal expected to close in Q2 2026. Post-acquisition, WisdomTree's pro forma global AUM would reach ~$163B from current ~$157B, modestly accretive in 2026 with revenue synergies from expanded UK distribution and models platform. The transaction builds on prior acquisitions like Ceres Partners in 2025, enhancing active ETF and portfolio solutions capabilities.

• ·Transaction subject to approvals, financing, and customary closing conditions
• ·Atlantic House manages strategies in Liquid Alternatives, Equity Replacement, Fixed Income, Hedging, and bespoke structured notes
• ·Legal advisors: Goodwin Procter LLP (WisdomTree); Piper Sandler & Company (financial advisor to Atlantic House), DAC Beachcroft LLP and Ogilvy & Wachtel (legal to Atlantic House shareholders)

16-03-2026

GABX Leasing LLC, a joint venture between GATX Corporation and Brookfield Infrastructure Partners L.P., issued $500M aggregate principal 4.625% Senior Notes due 2031 and $500M 5.300% Senior Notes due 2036 on March 12, 2026, under an Indenture with U.S. Bank Trust Company as trustee; GATX provides a full guarantee. The notes were issued at 99.860% and 99.799% of par, respectively, with net proceeds of approximately $989.5M to repay a portion of the Issuer's term loan. No operating performance metrics or period comparisons are disclosed.

• ·Interest payable semi-annually on April 15 and October 15, commencing October 15, 2026.
• ·2031 Notes redeemable prior to March 15, 2031 at Treasury Rate +15 basis points; 2036 Notes prior to January 15, 2036 at Treasury Rate +20 basis points.
• ·Holders may require repurchase at 101% of principal upon Change of Control Repurchase Event.

16-03-2026

Varex Imaging Corporation successfully completed a debt refinancing, entering a new $490M Credit Facility (including $350M term loan, $100M revolver, $40M delayed draw term loan) maturing March 13, 2031, while redeeming $368M of 7.875% Senior Secured Notes due 2027 and terminating its prior $155M revolving credit facility. The transaction reduced net debt by $18M and is expected to save more than $7M in annualized cash interest expense due to lower rates. Approximately $42M in cash was used, including $7M call premium, $12M accrued interest, and $5M fees.

• ·Zions Bancorporation, N.A. acted as lead arranger, bookrunner, administrative agent, and collateral agent.
• ·New borrowings at SOFR + 2.50% margin (currently), with interest rate swap fixing SOFR at 3.65%.
• ·Credit Agreement dated March 13, 2026; notes redemption on March 16, 2026.

16-03-2026

Spirit Airlines unveiled its 'Project Soar EmergeCo' business plan under Chapter 11, targeting a reduced fleet of 76 aircraft by mid-August 2026, with projected FY26 revenue of $3.0B (up 6.1% YoY) and operating margin improving to 0.5% from deeply negative prior levels, alongside EBITDAR of $456M. However, FY26 projects net losses of $111M, quarterly revenue declines (e.g., Q2 -14.4%, Q4 -11.5%), and capacity reductions (ASMs down up to 19.1% in some quarters), while FY27 shows improvement to $2.7B revenue and 8.1% operating margin. Restructuring initiatives aim for $1.4B in total cost savings and liquidity boosts of $220-360M from asset sales.

• ·Spirit ranked 3rd among 10 largest North American carriers for on-time performance and most improved in WSJ rankings.
• ·Liquidity initiatives include $150M AerCap settlement, $140M engine OEM credits through 2027, and $60M from ORD gates sales.
• ·Pro forma capital structure at emergence (July 2026 illustrative): Total Debt $2.1B (3.5x 2027E EBITDAR), Net Debt $1.9B (3.2x).
• ·TRASM lift to 10.84¢ under EmergeCo from 0.42¢ baseline.

16-03-2026

Local Bounti Corporation entered into a Convertible Note and Warrant Purchase Agreement with U.S. Bounti, LLC on March 13, 2026, agreeing to issue a convertible note and a warrant for 5,500,000 shares of common stock in exchange for a $15M purchase price. The closing occurred remotely on the Agreement Date, subject to conditions including NYSE rules requiring stockholder approval by June 30, 2026, to exceed the Exchange Cap limiting issuances without approval. No financial performance metrics or declines were disclosed in the agreement.

• ·Stockholder Approval required for issuances exceeding NYSE Exchange Cap (greater than 1% of issued and outstanding Common Stock)
• ·Company to hold Stockholders Meeting no later than June 30, 2026, with additional meetings every 4 months if needed, engaging proxy solicitation firm
• ·Subordination Agreement dated August 1, 2025, among Purchaser, Senior Creditor (Cargill), Company, and others

16-03-2026

Nomadar Corp. ratified an Assignment Agreement of Naming Rights on March 13, 2026, assigning exclusive commercial naming rights for the 'JP Financial Arena Bahía de Cádiz' within its Sportech City Cádiz project to JP Financial 2024, S.L. for an initial five-year term starting March 3, 2026. JP Financial will pay €500,000 ($576K) annually, with the first year's payment already received. The agreement ties activation to project progress and allows termination by the sponsor after three years with 15 days' notice if insufficient progress is made.

• ·Agreement originally executed on March 3, 2026, and filed as Exhibit 10.1.
• ·Cádiz is the parent of Sport City Cádiz, S.L., Nomadar's controlling shareholder.
• ·Sponsor termination right after three years if insufficient project progress.

16-03-2026

Radnostix, Inc. (formerly International Isotopes Inc., INIS) mutually terminated its February 8, 2024 Asset Purchase Agreement with American Fuel Resources, LLC for the DUF6 Plant assets, as AFR could not pay the $12.45M final purchase price by the March 31, 2026 outside date despite nearing NRC approval. The company retains the assets, which it believes have appreciated amid nuclear energy resurgence, and keeps $170k in non-refundable payments ($50k prepayment + $120k NRC fees), but forgoes previously anticipated gain on sale, debt repayment, and improved financial flexibility disclosed in its Q3 2025 10-Q. Management plans to explore new options for the assets.

• ·APA termination due to mutual consent and withdrawal of NRC transfer application.
• ·APA originally allowed termination by mutual written consent.
• ·Previously disclosed APA impacts in 10-Q for quarter ended September 30, 2025 will not occur.

16-03-2026

Hashdex Asset Management announced the permanent reduction of the management fee for the Hashdex Nasdaq CME Crypto Index ETF (NCIQ) to 0.25% per annum effective March 16, 2026, replacing a prior temporary fee waiver to enhance investor accessibility. The ETF, launched February 14, 2025, tracks the Nasdaq CME Crypto Index and provides exposure to seven crypto assets including BTC, ETH, SOL, and others. Hashdex's total AUM is approximately $1B as of March 10, 2026, amid standard risk disclosures noting the fund's small asset base and potential for liquidation if it fails to grow.

• ·Fund name changed to Hashdex Nasdaq CME Crypto Index ETF effective January 20, 2026.
• ·Index name changed to Nasdaq CME Crypto Index effective January 20, 2026.
• ·Hashdex founded in 2018 and offers four index products tracking the NCI across U.S., Latin America, and Europe.

16-03-2026

Elicio Therapeutics, Inc. entered into an At Market Issuance Sales Agreement dated March 16, 2026, with B. Riley Securities, Inc., JonesTrading Institutional Services LLC, and Ladenburg Thalmann & Co. Inc., enabling the company to issue and sell shares of its common stock (par value $0.01 per share) from time to time through the agents as principals or sales agents. Sales are capped at the Maximum Amount, defined as the lesser of limits under the effective Form S-3 registration statement (File No. 333-293861), prospectus supplement, authorized but unissued shares, and Form S-3 General Instruction I.B.6. No specific aggregate dollar amount or share volume was disclosed, and no sales have occurred under the agreement as of the filing.

• ·Agreement filed as Exhibit 10.1 to 8-K.
• ·Sales to be effected pursuant to Registration Statement on Form S-3 (File No. 333-293861).
• ·Agents to receive compensation per Schedule 2 (details not specified in excerpt).

16-03-2026

zSpace, Inc. and 3i, LP entered into an Agreement and Amendment on March 16, 2026, conducting a Second Closing under the April 2025 SPA, issuing a Second Note with $4.3M principal for a $4M purchase price, while using $2M of proceeds to repay principal on the existing $14M First Note and waiving $214k in interest and make-whole amounts. The amendment expands the SPA to permit additional closings up to $7M aggregate principal, bringing total potential Notes to $21.5M, providing the company with net new financing amid ongoing debt obligations.

• ·SPA originally dated April 10, 2025; First Closing on April 11, 2025.
• ·Additional Closings not to occur after 18-month anniversary of Subscription Date.
• ·Second Note maturity is later of 12-month anniversary of its issuance or First Note maturity.
• ·Governing law: State of New York.

16-03-2026

CRISPR Therapeutics AG completed a private offering of $600.0 million aggregate principal amount of Convertible Senior Notes due 2031 on March 16, 2026, including the full exercise of the initial purchasers' $50.0 million option, generating net proceeds of approximately $585.2 million for general corporate purposes. The notes carry an effective coupon of 1.125% (increased to 1.7308% due to anticipated 35% Swiss tax withholding), mature on March 1, 2031, and have an initial conversion rate of 13.0617 common shares per $1,000 principal (approx. $76.56 conversion price, a 45% premium to the $52.80 closing price on March 10, 2026). No declines or underperformance noted in this financing event.

• ·Notes redeemable for cash on or after March 6, 2029, if common share price >=130% of conversion price for specified period.
• ·Interest payable semiannually starting September 1, 2026.
• ·Holders may require repurchase upon fundamental change at 100% principal plus accrued interest.
• ·Events of default include payment defaults, conversion failures, and indebtedness >$60M acceleration.

16-03-2026

Twin Vee PowerCats Co. entered into a 5-year lease agreement on March 12, 2026, with Visconti Holdings, LLC (owned by CEO Joseph Visconti) for its 7.5-acre facility totaling approximately 100,000 square feet, including a 30,000 square foot expansion, located at 3101 S US-1, Fort Pierce, Florida. The lease commences January 1, 2026, and expires December 31, 2030, with initial base rent of $48,208.33 per month plus 7% sales and use tax, annual escalations, and the company responsible for property taxes. The agreement, approved by the Audit Committee, supersedes a prior month-to-month lease that originated January 1, 2021.

• ·Lease includes option to renew for two additional 5-year terms.
• ·Prior lease dated January 1, 2021, initially expired December 31, 2025, and amended December 30, 2025 to month-to-month tenancy.
• ·Registrant is an emerging growth company.

16-03-2026

Greenland Technologies Holding Corp. (GTEC) received a Nasdaq notification on March 12, 2026, stating that its Class A ordinary shares closed below the $1.00 minimum bid price for 30 consecutive business days from January 28 to March 11, 2026, violating Listing Rule 5550(a)(2). The company has 180 days until September 8, 2026, to regain compliance by achieving a $1.00 closing price for 10 consecutive business days, with no assurance of success despite plans to monitor and explore options like share consolidation. Trading and operations remain unaffected currently.

• ·Deficiency based on closing bid prices from January 28, 2026, to March 11, 2026.
• ·Eligible for additional 180 calendar days compliance period if meets other Nasdaq Capital Market initial listing standards (except bid price) by September 8, 2026, and notifies intent to cure.
• ·Press release issued March 16, 2026.