US Corporate Distress Financial Stress SEC Filings — March 20, 2026

20-03-2026

Embecta Corp. (Nasdaq: EMBC) announced a definitive agreement to acquire Owen Mumford Holdings Limited for up to £150 million (£100 million upfront cash plus up to £50 million in performance-based payments tied to Aidaptus® sales over three years post-closing). Owen Mumford generated £69.4 million in net revenue for its FY2025 (ended September 30), with approximately 80% from the UK and U.S., positioning the deal to expand Embecta's drug delivery portfolio and global reach. While expected to drive revenue growth and be accretive to adjusted net income after FY2028 with high-single-digit ROIC by year four, the acquisition will be dilutive to adjusted net income in FY2027.

• ·Expected closing in Embecta's fiscal Q3 2026, subject to regulatory approvals.
• ·Owen Mumford FY ends September 30.
• ·Financed by borrowings under Embecta's revolving credit facility.
• ·To be discussed on FY2026 Q2 earnings call on May 5, 2026.
• ·Owen Mumford founded in 1952, family-owned, headquartered in Oxfordshire, UK.

20-03-2026

StimCell Energetics Inc. (OTCQB: STME) engaged Stonegate Capital Partners, Inc. for research coverage and institutional investor outreach under an Advisory Services Agreement effective March 12, 2026, with services including quarterly research updates and coordination of investor meetings for a 12-month term. Compensation consists of 250,000 shares of common stock issued to Stonegate. CEO David Jeffs highlighted the partnership's potential to elevate visibility and build institutional ownership for the company's eBalance® technology.

• ·Shares subject to a six-month hold period from issuance date.
• ·Shares issued pursuant to exemptions from prospectus requirements of Canadian securities laws and registration requirements of U.S. Securities Act of 1933.
• ·Company focuses on products enhancing cellular function for wellness, anti-aging, insulin sensitivity, high blood pressure, neuropathy, and kidney function.

20-03-2026

Prestige Consumer Healthcare Inc. announced an agreement to acquire the Breathe Right portfolio, including the #1 nasal strip brand, from Foundation Consumer Healthcare for $1.045B in cash (~$900M net of anticipated tax benefits), adding ~$200M LTM revenue (ended Dec 31, 2025) and ~$95M EBITDA at 11.0x multiple (9.5x net). The deal is immediately accretive to revenue, margins, EPS, and FCF, boosting pro-forma revenue to ~$1.3B from standalone ~$1.1B, financed by cash and new term loan with pro-forma net leverage ~4.0x at close (expected H1 FY27) and path to <3.0x by FY28. Historically, FY20-FY25 CAGRs show revenue +3.4%, organic revenue +2.4%, and adjusted EPS +8.8%, reflecting steady but modest organic growth.

• ·Target portfolio: 71% US & Canada revenue, 29% international (mostly Europe).
• ·Breathe Right provides ~30% immediate nasal airflow increase; loyal users average 150+ strips/year.
• ·Acquisition expected to close H1 FY27 (by Sep 30, 2026), subject to regulatory approvals.
• ·Historical net leverage: 4.1x Q2 FY22, down to 2.4x FY25 and FY26E.
• ·Prestige FY25 adjusted net income $226.3M (GAAP $214.6M); FY20 adjusted $151.3M (GAAP $142.3M).

20-03-2026

The Toro Company amended its Restated Certificate of Incorporation, authorizing a total of 176.85M shares of capital stock: 175M common shares (par value $0.01), 1M voting preferred shares (par value $0.01), and 850K non-voting preferred shares (par value $0.01). The amendment also updated Article X to refine provisions eliminating personal liability for directors and officers for breaches of fiduciary duty, with specific exceptions including for officers under Delaware law. These changes were duly adopted by the Board of Directors and stockholders.

• ·Original Certificate of Incorporation filed November 7, 1983
• ·Amendment executed March 17, 2026
• ·Adopted per Section 242 of Delaware General Corporation Law

20-03-2026

Zynex, Inc. and certain subsidiaries had their Third Amended Combined Disclosure Statement and Joint Plan of Reorganization confirmed by the U.S. Bankruptcy Court for the Southern District of Texas on March 19, 2026, with an expected Effective Date no later than March 31, 2026, allowing emergence from Chapter 11 protection filed on December 15, 2025. However, the plan cancels all existing common stock (30,781,021 shares outstanding as of January 16, 2026) with no recovery for equity holders, while the Plan Sponsor receives 100% of approximately 1,000 new common shares and DIP Lenders get $10M in takeback debt. The company's stock was delisted from Nasdaq and now trades as ZYXIQ on OTC Markets, with trading highly speculative and substantial risks for investors.

• ·Bankruptcy case administered under In re Zynex, Inc., et al., Case No. 25-90810 in U.S. Bankruptcy Court for the Southern District of Texas.
• ·Nasdaq delisting notice received December 17, 2025; trading suspended December 24, 2025; Form 25 filed January 23, 2026, effective February 2, 2026.
• ·Deregistration of common stock under Section 12(b) effective 90 days after Form 25 filing.
• ·Plan filings: January 14, January 29, February 1, and February 7, 2026.
• ·Assets and liabilities as of September 30, 2025, referenced in Form 10-Q filed November 17, 2025.

20-03-2026

Fortive Corporation and certain subsidiaries entered into a Third Amended and Restated Credit Agreement dated March 17, 2026, establishing a senior revolving credit facility of up to $2 billion, including a multicurrency subfacility and swing line loans, amending and restating the prior agreement from October 18, 2022. The agreement extends the maturity date, modifies lender commitments, and is administered by Bank of America, N.A., with participation from multiple joint lead arrangers and bookrunners. No declines or flat metrics are present in this financing update.

• ·Alternative Currency Sublimit equals 90% of the Revolving Credit Facility.
• ·CUSIP Numbers: Deal 34960UAW0, Revolver 34960UAX8.
• ·Filing Date: March 20, 2026; Agreement Effective Date: March 17, 2026; Prior Agreement Date: October 18, 2022.

20-03-2026

Orion Energy Systems, Inc. entered into a Settlement Agreement on March 17, 2026, with Final Frontier, LLC and Kathleen M. Connors, resolving disputes over earn-out obligations from the 2022 Voltrek acquisition by making a $3.0M cash payment, below the $3.4M arbitration determination and far less than the $10M claimed by the Connors Parties; this terminates the MIPA, all earn-out agreements, arbitrations, and liens. Effective March 19, 2026, the Company terminated two 2010 power purchase agreements for New Jersey solar arrays, expecting $1.3M cash in exchange for transferring ownership, providing a significant offset to the settlement payment. No ongoing liabilities remain except Ms. Connors' part-time employment and shareholder rights.

• ·Settlement payment made March 18, 2026; PPA termination payment expected within 21 days of March 19, 2026.
• ·PPAs covered solar power generation through 2030 on two New Jersey buildings.
• ·Company to facilitate Connors Parties' Rule 10b5-1 trading plan in next insider open window.
• ·Prior agreements: MIPA dated October 5, 2022; Term Sheet June 23, 2025; Earn Out Agreements September 30, 2025.

20-03-2026

On March 18, 2026, Black Rock Coffee Bar, Inc. entered into an irrevocable proxy with the Jacob V. Spellmeyer 2021 Trust, Juliet A. Spellmeyer 2021 Trust, Bryan D. Pereboom 2021 Trust, and Nicole R. Pereboom 2021 Trust, all Class C common shareholders, granting the Company, its CEO, or designees authority to vote their Covered Shares (Class A, B, or C common stock) until the later of two years from March 18, 2026, or termination of the September 11, 2025 Voting Agreement. The Proxy Parties are also parties to the Voting Agreement involving Viking Cake Fuel, LLC and Viking Cake Fuel II, LLC. No financial terms or performance metrics were disclosed.

• ·Proxy filed as Exhibit 10.1
• ·Voting Agreement dated September 11, 2025
• ·Proxy effective until later of March 18, 2028 or Voting Agreement termination

20-03-2026

On March 18, 2026, GoHealth, Inc. received a Nasdaq notice for non-compliance with Listing Rule 5550(b)(2), as its market value of listed securities falls below the $35M threshold and it fails alternative standards of $2.5M stockholders’ equity or $500K net income. Trading of Class A Common Stock (GOCO) continues uninterrupted on The Nasdaq Global Market, with a 180-day compliance period until September 14, 2026, to achieve $35M MVLS for at least 10 consecutive business days. The company is evaluating options but provides no assurance of regaining compliance, risking delisting and potential appeal.

• ·Compliance requires MVLS closing at $35M or more for minimum 10 consecutive business days (Nasdaq may extend to 20)
• ·Non-compliance after September 14, 2026, triggers delisting notice with option to appeal to Nasdaq Hearings Panel, staying suspension

20-03-2026

TG Therapeutics, Inc. entered into a First Amendment to its Financing Agreement on March 18, 2026, establishing a $750M term loan facility (fully borrowed) to repay prior Initial Term Loans and maturing on March 18, 2031, with an uncommitted additional $250M facility. The loan carries interest at SOFR + 4.75% (or base rate + 3.75%), subject to a 25 basis point step-down based on leverage ratio, and requires $37.5M quarterly amortization starting March 31, 2030 (potentially deferrable). The facility is secured by substantially all assets and includes customary covenants.

• ·Original Financing Agreement dated August 2, 2024
• ·Term SOFR no less than 1.00% per annum
• ·Amortization payments may be deferred if Total Net Leverage Ratio <= agreed threshold
• ·Secured by lien on substantially all assets of Loan Parties
• ·Events of default are customary, allowing acceleration

20-03-2026

KORE Group Holdings, Inc. entered into a Merger Agreement on February 26, 2026, with KONA Parent, L.P. and its subsidiary KONA Merger Sub Co., under which Merger Sub will merge with KORE, converting each share of Company Common Stock into $9.25 per share in cash (subject to exclusions and withholdings). On March 17, 2026, rollover, voting, and support agreements were executed with Dotmar Investments Limited (847,293 shares), Richard Burston (169,948 shares), and Terrdian Holdings Inc. (1,163,205 shares), committing these shareholders to vote in favor of the merger and roll over their shares to Parent; Parent may enter additional rollover agreements for up to 2.5 million shares. The transaction is subject to stockholder approval, regulatory clearances, and other closing conditions, with risks noted including potential failure to close or achieve expected benefits.

• ·Merger Agreement filed on February 27, 2026; 8-K filed March 20, 2026
• ·Rollover period: 15 business days after February 26, 2026
• ·KORE intends to file proxy statement and Schedule 13E-3 with SEC

20-03-2026

Dillard’s, Inc. entered into an Agreement and Plan of Merger dated March 20, 2026, to merge W.D. Company, Inc. with and into Dillard’s, with Dillard’s continuing as the surviving corporation. The merger consideration consists of Aggregate Cash Merger Consideration and Aggregate Stock Merger Consideration (including Dillard’s Class A and Class B Common Stock), payable to W.D. Company shareholders based on a Final Aggregate Merger Consideration Allocation Schedule. The transaction was approved by both boards, with Alex Dillard serving as Shareholder Representative; no specific amounts or shareholder meeting dates are detailed in the filing.

• ·Merger to be effected under Texas Business Organizations Code (TBOC) and Arkansas Business Corporation Act (ABCA).
• ·Effective Time upon filing and acceptance of TX Certificate of Merger and AR Articles of Merger.
• ·Concurrent execution of Memorandum of Understanding (Exhibit D) to comply with Dillard’s certificate of formation.

20-03-2026

Alzamend Neuro, Inc. received a Nasdaq notice on March 20, 2026, indicating that its stockholders' equity of $2.2M as of January 31, 2026, failed to meet the $2.5M minimum requirement under Listing Rule 5550(b)(1). While trading of ALZN common stock continues uninterrupted on Nasdaq Capital Market, the company has 45 days until May 4, 2026, to submit a compliance plan, with potential extension to September 16, 2026, if accepted. There is no assurance of compliance or avoidance of delisting.

• ·Nasdaq provides initial 45 calendar days from March 20, 2026, to submit compliance plan.
• ·If plan accepted, up to 180 calendar days from letter date to evidence compliance.

20-03-2026

On March 17, 2026, Lifeward Ltd. received a Nasdaq notice of non-compliance with Listing Rule 5605(c)(2)(A) after Hadar Levy's resignation from the Board reduced the Audit Committee to two members, below the required three. The company has a cure period until the earlier of its next annual shareholders' meeting or February 24, 2027 (or August 24, 2026, if the meeting is before then) to regain compliance, with no assurance of success. Shares continue trading on Nasdaq Capital Market under LFWD without immediate delisting impact.

• ·Nasdaq Listing Rule 5605(c)(2)(A) requires audit committee of at least three members.
• ·Company reviewing options to regain compliance per Nasdaq Rule 5605(c)(4).

20-03-2026

Tamboran Resources Corporation's subsidiaries entered into Deeds of Addendum on March 20, 2026, to the Second Amended and Restated Joint Venture and Shareholders Agreement (JVSA) and the Asset Sale Agreement (ASA) for the Beetaloo Basin gas project. The JVSA Addendum reshapes and increases the Dev A++ Area by 100,000 acres, rebranding it as the Phase 2 Development Area (P2DA), with realignment of interests pending the Falcon Transaction. The ASA Addendum adjusts Elliott Energy I Pty Ltd's $15M acquisition of a non-operating interest in 100,000 acres to focus on the P2DA and extends key deadlines.

• ·Dev A++ End Date extended to December 31, 2026
• ·C10 End Date extended to December 31, 2027
• ·Original JVSA and ASA dated May 12, 2025

20-03-2026

Columbia Sportswear Company entered into a new Credit Agreement on March 19, 2026, with JPMorgan Chase Bank, N.A. as Administrative Agent, Wells Fargo Bank, National Association and Bank of America, N.A. as Syndication Agents, providing for revolving loans, swing loans, and a letter of credit facility, which terminates the existing credit agreement. The agreement includes standard representations and warranties, affirmative and negative covenants, a funded debt ratio financial covenant, and events of default. No specific facility commitment amounts or pricing details are disclosed in the provided filing excerpt.

• ·Agreement includes termination of existing Credit Agreement (Section 11.27).
• ·CUSIP Numbers: Published 19851JAK4, Revolving Loan 19851JAL2.
• ·Financial covenant: Funded Debt Ratio (Article VIII).
• ·Base Rate floor of 1.00% per annum.
• ·Control threshold for Affiliates: 50% voting power.

20-03-2026

Quince Therapeutics, Inc. received Nasdaq notices on March 16 and 17, 2026, stating that its common stock failed the Minimum Bid Price Requirement (closing below $1.00 per share for 30 consecutive business days) and the Market Value of Listed Securities (MVLS) Requirement (below $50M for 30 consecutive business days). The company has 180 calendar days until September 14, 2026, to regain compliance by meeting each threshold for at least 10 consecutive business days (potentially up to 20). Non-compliance risks delisting or transfer to Nasdaq Capital Market, though trading continues uninterrupted on Nasdaq Global Select Market under QNCX.

• ·Company may transfer to Nasdaq Capital Market for additional compliance time if meeting other standards except bid price, via reverse stock split if necessary.
• ·Nasdaq may appeal delisting to Listing Qualifications Panel, but no assurance of approval.
• ·Common stock: par value $0.001 per share, trading symbol QNCX.

20-03-2026

Oncolytics Biotech Inc. completed a continuation of its incorporation from Alberta to British Columbia under the Business Corporations Act, effective March 17, 2026 at 09:01 AM Pacific Time. The certificate was issued by Kerry Taylor, Registrar of Companies for the Province of British Columbia, on the same date. This jurisdictional change was reported in an 8-K filing on March 20, 2026, with no financial metrics or performance impacts disclosed.

• ·Certificate number: C1582211
• ·Issued in Victoria, British Columbia, Canada

20-03-2026

On March 16, 2026, MaxCyte, Inc. received a notice from Nasdaq indicating that its common stock (MXCT) failed to satisfy the minimum bid price requirement of $1.00 per share for 30 consecutive trading days, violating Nasdaq Listing Rule 5450(a)(1). The company has an initial 180-day compliance period until September 14, 2026, to regain compliance by achieving $1.00+ closing prices for 10 consecutive trading days, with no immediate impact on current listing or trading on the Nasdaq Global Select Market. Failure to comply could lead to delisting or a potential transfer to the Nasdaq Capital Market with an additional 180-day period, subject to Nasdaq's determination of curability.

• ·MaxCyte, Inc. is an emerging growth company.
• ·Trading symbol: MXCT.
• ·Company provided with compliance period pursuant to Nasdaq Listing Rule 5810(c)(3)(A).

20-03-2026

Beasley Broadcast Group (BBGI) projects total net revenue declining to $206.2M in FY2025E from $247.1M in FY2023A (-8.7% CAGR), with audio revenue dropping sharply 11.8% CAGR to $156.0M due to weakness in local and national spot amid industry headwinds, while digital revenue grew modestly 3.9% CAGR to $50.2M (24.3% of total). The company achieved $30M in annual cost reductions, right-sizing station operating expenses to $184.5M, but Adjusted EBITDA fell to $13.0M (6.3% margin) from $22.0M. Future opportunities include ~$50M revenue enhancements and de-regulation catalysts.

• ·Detroit market total net revenue declined 24.5% from FY2024A to FY2025E to $19.6M.
• ·Philadelphia market total net revenue declined 15.5% from FY2024A to FY2025E to $41.3M.
• ·Tampa market showed modest growth of 1.2% from FY2024A to FY2025E to $24.0M, driven by 50.2% digital CAGR.
• ·Station operating expenses reduced 5.9% CAGR to $184.5M in FY2025E.

20-03-2026

ReposiTrak, Inc.'s subsidiary, PC Group, Inc., entered into a Senior Unsecured Promissory Note with SPAR Marketing Force, Inc. on March 16, 2026, providing a loan facility of up to $4M, with an initial $3M advance and an additional $1M available from July 17, 2026, at 8% annual interest maturing March 16, 2029. SPAR Group, Inc., the borrower's parent, guarantees the obligations and will issue 1M shares of its common stock to PC Group at a deemed $0.80 per share within 30 days. The deal includes anti-dilution protections and supports a strategic commercial relationship, though it is unsecured with standard events of default triggering 12% interest and acceleration.

• ·Borrower may prepay without penalty; lender cannot accelerate except on default.
• ·Anti-dilution and price protection on SPAR shares if equity issued below $0.80.
• ·Customary events of default include payment failure, bankruptcy, covenant breaches, and failure to deliver equity.

20-03-2026

On March 20, 2026, Aeluma, Inc. entered into a Sales Agreement with Roth Capital Partners, LLC (as representative of the agents), Craig-Hallum Capital Group LLC, Northland Securities, Inc., and The Benchmark Company, LLC, enabling the company to offer and sell up to $50 million of its common stock ($0.0001 par value per share) through an at-the-market offering on Nasdaq Capital Market at prevailing market prices. Neither the company nor the agents are obligated to sell or purchase any shares, and the agreement includes mutual indemnification provisions and can be terminated by either party upon 5 business days' prior written notice. The offering is pursuant to the company's effective shelf registration statement on Form S-3 (No. 333-289135, effective August 8, 2025).

• ·Sales effected via ordinary brokers’ transactions at market prices or as otherwise agreed; no principal purchases required.
• ·Prospectus supplement filed immediately prior to this 8-K.
• ·Agreement filed as Exhibit 1.1; legal opinion as Exhibit 5.1.

20-03-2026

Spruce Biosciences reported FY2025 financial results with net loss improved to $39.0M from $53.0M in 2024, driven by R&D expenses decreasing 58% to $19.5M after ceasing tildacerfont development, though G&A expenses rose 16% to $17.0M and collaboration revenue dropped to $0 from $4.9M. Cash and equivalents stood at $48.9M, expected to fund operations into early 2027, supported by an initial $15M tranche from a up to $50M loan facility with Avenue Capital. Positive corporate updates include successful FDA Type B meetings aligning BLA submission for TA-ERT in MPS IIIB for Q4 2026 and appointments of Dale Hooks as CCO and others to leadership.

• ·Stock-based compensation expenses decreased to $2.6M in FY2025 from $5.3M in FY2024.
• ·Total assets increased to $53.0M as of Dec 31, 2025 from $45.2M as of Dec 31, 2024.
• ·Accumulated deficit grew to $(289.2M) as of Dec 31, 2025 from $(250.3M) as of Dec 31, 2024.
• ·Net loss per share improved to $(50.83) in FY2025 from $(96.40) in FY2024.
• ·PRV program reauthorized through Sep 30, 2029; TA-ERT eligible if approved.

20-03-2026

Labcorp Holdings Inc. (Parent) and Laboratory Corporation of America Holdings (Borrower) entered into a $750M term loan credit agreement on March 20, 2026, with Wells Fargo Bank as Administrative Agent, Wells Fargo Securities as Sole Bookrunner, and PNC entities as arrangers and syndication agent. The facility provides Aggregate Commitments of $750M, with an Applicable Rate of 0.700% for Term SOFR/Daily Simple SOFR Loans and 0% for Base Rate Loans. No financial performance metrics or period-over-period comparisons are disclosed in the agreement.

• ·Deal CUSIP: 50540QAW4
• ·Term Loan CUSIP: 50540QAX2
• ·Base Rate defined as highest of Federal Funds Rate +0.50%, Wells Fargo prime rate, or Term SOFR +1.00%

20-03-2026

On March 16, 2026, NextNRG, Inc. received a notice from Nasdaq's Listing Qualifications Department for failing to meet the $1.00 minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2) over the last 30 consecutive business days, with no immediate impact on trading of its common stock (NXXT). The company has 180 calendar days until September 14, 2026, to regain compliance by maintaining a $1.00 closing bid price for at least 10 consecutive business days, or potentially receive an additional 180 days via reverse stock split if other listing criteria are met. There is no assurance of regaining compliance, and the company is evaluating options but has made no decisions.

• ·Trading symbol: NXXT
• ·Commission File Number: 001-40809
• ·IRS Employer Identification No.: 84-4260623
• ·Principal executive offices: 407 Lincoln Rd. #9F, Miami Beach, Florida 33190
• ·Registrant is an emerging growth company

20-03-2026

Ernexa Therapeutics Inc. received a Nasdaq notice on March 18, 2026, indicating its common stock (ERNA) failed to maintain a $1.00 minimum bid price for 30 consecutive business days, violating Listing Rule 5550(a)(2). Due to a reverse stock split within the prior year, the company is ineligible for the standard 180-day compliance period and intends to request a hearing before the Nasdaq Hearing Panel for a potential extension of up to 180 days. There are no assurances of a favorable outcome, which could lead to delisting of ERNA and ERNAW.

• ·Company ineligible for 180-calendar day compliance period under Nasdaq Listing Rule 5810(c)(3)(A)(iv) due to reverse stock split in prior one-year period.
• ·Hearing request will stay delisting pending Panel decision and any extension.
• ·Principal executive offices: 1035 Cambridge Street, Suite 18A, Cambridge, MA 02141; Phone: (617) 798-6700.

20-03-2026

Femasys Inc. entered into an Omnibus Amendment and Consent Agreement on March 19, 2026, with Consenting Holders to remove the Share Combination Event Adjustment from its Senior Secured Convertible Notes and existing Warrants effective December 31, 2025, issuing 16,378,563 Series D-1 Warrants exercisable at $0.58 as consideration. Separately, director Joshua Silverman resigned effective March 17, 2026, with no disputes noted, and Kenneth D. Eichenbaum, M.D., M.S.E. was appointed as a Class II director effective March 18, 2026, pursuant to nomination rights of Lead Lender Pointillist Global Macro Series of Pointillist Partners LLC.

• ·Amendment effective as of December 31, 2025.
• ·Series D-1 Warrants issued under Section 4(a)(2) exemption to accredited investors.
• ·Dr. Eichenbaum determined independent for Nasdaq purposes; serves on Nominating and Corporate Governance Committee.
• ·Lead Lender's board nomination right falls away upon owning <4.99% Common Stock (as-converted), full Note repayment, or November 7, 2030.

20-03-2026

Trinseo PLC entered into amendments and limited waivers across its SuperPriority Revolver, Senior Credit Agreement, Refinance Credit Agreement, and Accounts Receivable Securitization Facility on March 19, 2026, temporarily suspending acceleration and enforcement rights until April 2026 due to nonpayment of interest beyond grace periods. These waivers provide short-term relief amid ongoing capital structure discussions but highlight severe liquidity distress, compounded by a March 2, 2026 NYSE delisting notice. Consent fees of 1.00% were agreed in-kind for certain facilities.

• ·SuperPriority Revolver originally dated January 17, 2025; Senior Credit Agreement dated September 6, 2017; Refinance Credit Agreement dated September 8, 2023; Accounts Receivable Securitization Facility dated July 18, 2024.
• ·Waivers suspend remedies until April 30, 2026 for Revolver, Senior Credit Facility, and Refinance Credit Facility; until April 2, 2026 for Securitization Facility.
• ·NYSE delisting proceedings notice received March 2, 2026.

20-03-2026

REGENXBIO Inc. entered into a Settlement and Release Agreement with GlaxoSmithKline LLC (GSK) on March 18, 2026, resolving a dispute over sublicense fees under their 2009 License Agreement. The Company agreed to pay GSK $10 million within three business days for alleged underpayments on royalties and other sublicensee amounts, representing a cash outflow. The agreement provides mutual releases of past claims and certain future claims while allowing the Company to continue its existing payment allocation methodology.

• ·Settlement Agreement effective date: March 18, 2026
• ·Payment due within three business days of effective date
• ·Full Settlement Agreement to be filed with Quarterly Report on Form 10-Q for quarter ending March 31, 2026

20-03-2026

Tivic Health Systems, Inc. (TIVC) received a Nasdaq notification on March 19, 2026, for non-compliance with the Minimum Bid Price Requirement (Nasdaq Listing Rule 5550(a)(2)), as its common stock closing bid price was below $1.00 for 30 consecutive business days. The listing remains effective with no immediate impact, providing 180 calendar days until September 15, 2026, to regain compliance by closing at or above $1.00 for 10 consecutive business days; failure could lead to delisting, though a second 180-day period or appeal may be possible. The Company intends to monitor the stock price and explore options to cure the deficiency, with no assurance of success.

• ·Nasdaq Listing Rule 5810(c)(3)(A) governs the compliance period
• ·Second grace period requires meeting other Nasdaq Capital Market listing standards except minimum bid price
• ·Company classified as emerging growth company
• ·Right to appeal delisting determination to Nasdaq Hearings Panel

20-03-2026

IP Strategy Holdings, Inc. (IPST) received a Nasdaq notice on March 20, 2026, stating that its common stock failed the Minimum Bid Price Requirement under Nasdaq Listing Rule 5550(a)(2), with the closing bid price below $1.00 for 30 consecutive business days. The company is ineligible for the standard 180-calendar-day compliance period due to a prior 1-for-20 reverse stock split on November 5, 2025, prompting plans to appeal by March 27, 2026, and a special stockholder meeting on April 10, 2026, to approve another reverse stock split (1:3 to 1:20). No assurance exists that these actions will enable regaining compliance before the Nasdaq hearing.

• ·Record date for special stockholder meeting: March 19, 2026
• ·Appeal filing deadline: no later than March 27, 2026
• ·Nasdaq Listing Rule cited: 5550(a)(2) and 5810(c)(3)(A)(iv)

20-03-2026

22nd Century Group, Inc. entered into a securities purchase agreement on March 20, 2026, for a registered direct offering of up to $20M in Series B Convertible Preferred Stock (stated value $1,000/share) and warrants, with an initial closing of $16M expected on March 24, 2026, and a potential $4M second closing within one year. Proceeds will primarily repurchase $9.65M of outstanding Series A Preferred Stock issued in August 2025, yielding net proceeds of ~$5.7M after fees and expenses for working capital. The deal includes dilutive features like a $3.57 fixed conversion price (with 15% VWAP discount alternative and floor price), 100% warrant coverage, anti-dilution protections, and restrictions on future issuances.

• ·Stockholder approval obtained at February 20, 2026 Special Meeting.
• ·Warrants exercisable immediately at $3.57/share, expire in 5 years, with Black-Scholes protections and price-only anti-dilution.
• ·Series B Preferred has no voting rights except as required by law; liquidation preference at 100% stated value or conversion value.
• ·Company prohibited from senior/pari passu securities or variable rate transactions while Series B outstanding (ATM exception up to $250K/week at $1.50 floor).
• ·Investors funding ≥$2M have 50% participation right in future offerings for 9 months after Series B fully redeemed.
• ·Redemption at 110% of stated value after 6 months, with 30-day conversion window.

20-03-2026

Faraday Future Intelligent Electric Inc. received a Nasdaq notice on March 20, 2026, for failing to maintain a minimum $1.00 bid price for its Class A common stock (FFAI) over 30 consecutive trading days from February 5 to March 19, 2026, violating Listing Rule 5550(a)(2). The company has 180 calendar days until September 16, 2026, to regain compliance by sustaining a $1.00 closing bid price for at least 10 consecutive trading days, or risk delisting, though a second compliance period or reverse stock split could be options. Continued trading on Nasdaq Capital Market is allowed during this period, but a bid price of $0.10 or less for 10 consecutive days would trigger immediate delisting proceedings.

• ·Compliance period allows up to 20 business days at Nasdaq's discretion instead of 10 for bid price regainment.
• ·Second 180-day period possible if company meets market value of publicly held shares and other Nasdaq Capital Market initial listing standards (except bid price).

20-03-2026

Fair Isaac Corporation closed a private offering of $1.0B aggregate principal amount of 6.250% Senior Notes due 2034 on March 20, 2026, issued under an indenture with U.S. Bank Trust Company as trustee. Net proceeds will repay indebtedness under its May 13, 2025 credit agreement, redeem in full $400M of 5.25% Senior Notes due 2026, cover fees and expenses, and support general corporate purposes including common stock repurchases. The Notes bear semi-annual interest at 6.250% starting September 15, 2026, with maturity on September 15, 2034, and include covenants limiting liens, subsidiary debt, mergers, and sale/leasebacks.

• ·Notes redeemable prior to March 15, 2029 at 100% principal plus make-whole premium; thereafter at decreasing premiums per Indenture.
• ·Change of control below investment grade triggers noteholder repurchase right at 101% of principal.
• ·Future significant domestic subsidiaries to guarantee Notes on senior unsecured basis.

20-03-2026

Perfect Moment Ltd. (PMNT) entered into a Second Further Amended and Restated Promissory Note with Chairman Max Gottschalk on March 20, 2026, extending the maturity of the $3.39M unsecured loan (originally due November 8, 2025) from March 23, 2026, to March 31, 2026, following multiple prior extensions. This is part of total outstanding loans of $5.09M from Gottschalk, including a separate $1.7M note due August 18, 2030. While the extension provides short-term liquidity relief, the repeated amendments highlight ongoing working capital constraints and reliance on insider funding.

• ·Loans bear interest at 12% per annum, with interest payable monthly.
• ·Note #1 originally issued August 26, 2025; prior maturities extended from November 8, 2025 to March 9, 2026, then March 23, 2026.

20-03-2026

CapsoVision announced the closing of a $14 million private placement financing on March 16, 2026, selling 2,867,089 shares at $4.883 per share (5% discount to closing price) to accredited investors for general corporate purposes including sales, marketing, R&D, and working capital. Preliminary unaudited financials show Q4 2025 revenue of $3.9 million and full year 2025 revenue of $13.6 million, with cash, equivalents, restricted cash, and investments at $10.1 million as of December 31, 2025. Full audited results and a conference call are scheduled for March 26, 2026.

• ·Private placement shares not registered under Securities Act; resale registration to be filed within 90 days of March 16, 2026 closing.
• ·Conference call and webcast on March 26, 2026 at 1:30 pm PT / 4:30 pm ET.

20-03-2026

Medifast, Inc. entered a Cooperation Agreement with Steamboat Capital Partners LLC, a major shareholder owning above 5% of shares, agreeing to nominate Parsa Kiai and Jeff Rose as independent directors at the 2026 Annual Meeting provisionally set for May 19, 2026. Existing directors Jeffrey Brown and Michael Hoer will not stand for reelection, while Chairman & CEO Dan Chard will step down as CEO on June 1, 2026, to be succeeded by President Nicholas Johnson who remains Chairman. The agreement includes customary standstill and voting provisions through the 2027 Annual Meeting, with both parties expressing optimism for collaboration to enhance profitability and value.

• ·Parsa Kiai has 22 years of investing and corporate finance experience; graduated Cornell 2003
• ·Jeff Rose has 23 years of financial experience; New York Bar member for over 30 years; graduated Queens College 1990, NYU Law 1993, Columbia Business School 2002
• ·Steamboat Capital and affiliates agreed to standstill and voting provisions through 2027 Annual Meeting

20-03-2026

ExchangeRight Income Fund amended its Operating Partnership Agreement on March 18, 2026, to classify new series of NLP Common Units (NLP 20, 23, 24, 25, 26, 27, 47, 49) as Junior Units to facilitate acquisitions of net-leased DST portfolios, with distributions set at the general partner's discretion and no initial conversion or redemption rights. The amendment was approved solely by the Company as general partner without limited partner consent. Additionally, the Third Amended DRIP was approved to include NLP Common Unit holders as eligible participants for reinvesting distributions into Class I Common Shares.

• ·Amendment to Amended and Restated Limited Partnership Agreement originally dated April 4, 2022.
• ·NLP Common Units issued in separate series to support anticipated future growth via DST acquisitions.
• ·General partner may grant redemption rights to specific series at its discretion with prompt notice to holders.

20-03-2026

Trio-Tech International disclosed a ransomware cybersecurity incident at its Singapore subsidiary, identified on March 11, 2026, which escalated on March 18, 2026, resulting in unauthorized disclosure of certain company data and prompting management to classify it as potentially material. The company immediately implemented containment measures, including taking networks offline, engaging third-party cybersecurity experts and Singapore law enforcement, and coordinating with its cyber insurance provider. While the full scope remains under investigation with no material operational disruption reported to date, no material financial impact is expected on results for the three months ended March 31, 2026.

• ·Incident initially deemed non-material on March 11, 2026, but reclassified after escalation.
• ·Filing signed and dated March 20, 2026.

20-03-2026

Super League (Nasdaq: SLE) signed a definitive agreement to acquire the Misfits Ads Division from Misfits Gaming Group for $1.5M cash and 19.99% of fully diluted common stock plus pre-funded warrants, plus potential additional cash/equity on revenue milestones over 24 months post-closing. The deal adds programmatic revenue, rewarded video technology, creator partnerships, and data capabilities, while establishing a preferred commercial partnership with Misfits' game portfolio reaching 100M monthly active users. It follows Super League's 2025 restructuring and $20M October 2025 PIPE financing, aiming to accelerate path to positive Adjusted EBITDA.

• ·Misfits to receive common stock purchase warrant exercisable at $18 per share.
• ·Transaction subject to shareholder approval at upcoming Special Meeting.
• ·Post-closing, a Misfits Board member joins Super League Board of Directors.
• ·Misfits Ads executed partnerships in Roblox, Minecraft servers, and with top gaming creators.

20-03-2026

TELA Bio, Inc. received a Nasdaq deficiency notice on March 17, 2026, stating that its common stock (TELA) closing bid price was below the $1.00 minimum for 30 consecutive business days, violating Listing Rule 5450(a)(1). The company has 180 calendar days until September 14, 2026, to regain compliance by closing at $1.00 or higher for 10 consecutive business days, with trading continuing uninterrupted for now and a possible second 180-day period if transferred to Nasdaq Capital Market. The company intends to monitor and address the issue, but success is not assured.

• ·Nasdaq deficiency letter issued by Listing Qualifications Department Staff.
• ·Company headquartered at 1 Great Valley Parkway, Suite 24, Malvern, Pennsylvania 19355.
• ·Trading symbol: TELA.