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

09-04-2026

Forte Biosciences, Inc. (Nasdaq: FBRX) announced the pricing of a $150 million public offering of 5,709,936 shares of common stock at $26.27 per share, with underwriters granted a 30-day option to purchase up to 856,490 additional shares. Gross proceeds are expected to be approximately $150 million before deducting underwriting discounts, commissions, and other expenses, to be used for working capital, funding clinical development of FB102, and other research activities. The offering is expected to close on or about April 10, 2026, subject to customary conditions.

• ·Guggenheim Securities and Barclays acting as joint book-running managers.
• ·Offering pursuant to Registration Statement on Form S-3 (File No. 333-286226).
• ·Intended use of net proceeds includes working capital and general corporate purposes.

09-04-2026

Whitestone REIT (NYSE: WSR) has entered a definitive merger agreement to be acquired by Ares Real Estate funds for $1.7 billion in an all-cash deal at $19.00 per common share and operating partnership unit, representing a 12.2% premium to the April 8, 2026 closing price and 26.5% to the unaffected price prior to the March 5, 2026 Reuters article. The portfolio includes 56 convenience-focused retail properties totaling 4.9 million square feet in high-growth markets like Phoenix, Austin, Dallas-Fort Worth, Houston, and San Antonio, with the deal unanimously approved by Whitestone's Board and expected to close in Q3 2026 subject to shareholder approval and customary conditions. While delivering immediate value to shareholders, the transaction carries standard risks including potential failure to close, business disruptions, and litigation.

• ·Transaction unanimously approved by Whitestone Board of Trustees; not subject to financing condition.
• ·Upon closing, Whitestone will become private and delist from NYSE.
• ·Advisors: BofA Securities and Jones Lang LaSalle Securities (financial for Whitestone); Citigroup and Morgan Stanley (financial for Ares); Bass Berry & Sims (legal for Whitestone); Kirkland & Ellis (legal for Ares).

09-04-2026

SUNation Energy, Inc. entered into a Sales Agreement with Maxim Group, LLC on April 8, 2026, authorizing an at-the-market offering of up to $3,599,586 of its common stock (par value $0.05 per share) pursuant to an effective Form S-3 registration statement (File No. 333-286663). The Sales Agent will receive a commission of up to 3.0% of gross proceeds and reimbursement for legal fees up to $50,000, with sales made using commercially reasonable efforts but no obligation to sell any shares. The agreement includes customary representations, warranties, covenants, and indemnification provisions.

• ·Registration Statement on Form S-3 (File No. 333-286663) declared effective April 29, 2025
• ·Sales Agreement filed as Exhibit 10.1; Legal opinion of Rimon P.C. as Exhibit 5.1
• ·Agreement dated April 8, 2026; 8-K filed April 9, 2026

09-04-2026

C4 Therapeutics, Inc. (Nasdaq: CCCC) entered a new collaboration agreement with Roche to discover and develop degrader-antibody conjugates (DACs) for two undisclosed oncology targets, with an option for a third. C4T will receive a $20 million upfront payment and is eligible for over $1 billion in discovery, development, and commercial milestones, plus tiered royalties on future sales. The deal leverages C4T's TORPEDO platform for degrader payloads and Roche's antibody expertise, building on their decade-long partnership.

• ·Collaboration covers two exclusive oncology targets initially, with Roche option for a third target triggering additional payment
• ·C4T responsible for designing degrader payloads; Roche handles antibody selection, conjugation, preclinical/clinical development, and commercialization
• ·Near-term discovery milestone payments expected across the programs

09-04-2026

First Real Estate Investment Trust of New Jersey, Inc. (FREVS) entered into a Purchase and Sale Agreement on April 8, 2026, with an affiliate of Regency Centers Corporation to sell 100% of its ownership interests in the Franklin Crossing shopping center for $27,000,000. The agreement includes an initial $1,000,000 escrow deposit refundable during a 30-day due diligence period ending May 8, 2026, and an additional non-refundable $1,000,000 deposit thereafter, with closing expected in Q3 2026 but no later than August 15, 2026. The Board unanimously approved the transaction, which has no financing contingency.

• ·Franklin Crossing located at 814-860 Franklin Avenue, Franklin Lakes, New Jersey
• ·No financing contingency in the agreement
• ·Customary representations, warranties, indemnity provisions, and termination rights apply

09-04-2026

Actelis Networks, Inc. (ASNS) was denied continued listing on Nasdaq Capital Market by the Nasdaq Hearings Panel due to failure to maintain a $1.00 minimum bid price for 30 consecutive business days, exacerbated by a prior 1-for-10 reverse stock split on November 18, 2025, leading to immediate delisting without a compliance period. Trading of ASNS common stock will be suspended on Nasdaq at the open of business on April 10, 2026, with the company planning to transition to OTC Markets (potentially OTCQB) while exploring options to relist on Nasdaq. The delisting is not expected to impact business operations, and the company will remain a reporting entity under the Securities Exchange Act.

• ·Nasdaq written notice received on February 4, 2026
• ·1-for-10 reverse stock split effected on November 18, 2025
• ·Common stock par value: $0.0001 per share

09-04-2026

Definitive Healthcare Corp. terminated its Nominating Agreement with SE VII DHC AIV, L.P. ("Spectrum"), dated September 17, 2021, which had granted Spectrum the right to designate one board member while holding at least 5% of outstanding common stock. The termination followed the resignation of Spectrum's designee, Jeff Haywood, from the board on March 30, 2026, with the termination agreement executed on April 3, 2026. No financial impacts or other changes were disclosed in the filing dated April 9, 2026.

• ·Nominating Agreement granted Spectrum the right to designate one director for inclusion in the slate of nominees recommended to stockholders.
• ·Termination is permanent and irrevocable in its entirety.

09-04-2026

Intrusion Inc. entered into a Note Purchase Agreement with Streeterville Capital, LLC on April 6, 2026, agreeing to issue a secured promissory note with an original principal amount of $3,230,000 in exchange for a purchase price of $3,000,000. The note includes an original issue discount of $210,000 and a $20,000 transaction expense amount, and is secured by all of the company's assets and intellectual property via accompanying security agreements.

• ·Closing deemed to occur at offices of Hansen Black Anderson Ashcraft PLLC in Lehi, Utah, via exchange of electronic signatures.
• ·Transaction relies on exemption from securities registration under the Securities Act of 1933.

09-04-2026

On April 8, 2026, Gossamer Bio, Inc. received a notice from Nasdaq stating that its common stock (GOSS) failed to maintain a minimum bid price of $1.00 per share for 30 consecutive business days from February 24 to April 7, 2026, violating Nasdaq Listing Rule 5450(a)(1). The company has 180 calendar days until October 5, 2026, to regain compliance by achieving at least $1.00 closing bid price for ten consecutive business days, with no immediate delisting. Failure to comply could lead to transfer to Nasdaq Capital Market or delisting after potential appeal.

• ·Nasdaq Listing Rule referenced: 5450(a)(1) and 5810(c)(3)(A)
• ·Trading symbol: GOSS on Nasdaq Global Select Market
• ·Company address: 3115 Merryfield Row, Suite 120, San Diego, California, 92121
• ·Possible cure options include reverse stock split if transferring to Nasdaq Capital Market

09-04-2026

Awaysis Capital, Inc. (AWCA) entered into a promissory note for USD $50,000 with Narendra Kini on March 31, 2026, due in full on or before May 15, 2026, bearing 8% interest on the principal. The note allows prepayment without penalty and is governed by Florida law. No period-over-period financial comparisons are provided in the filing.

• ·Prepayment permitted at any time prior to maturity without penalty.
• ·Governed by the laws of Florida.
• ·Constitutes the entire agreement between parties, amendable only in writing.

09-04-2026

On April 3, 2026, FibroBiologics, Inc. entered into a Sublease Buyout Agreement with United Fire & Casualty Co. (dba United Fire Group), terminating its sublease at 455 E. Medical Center Blvd, Webster, Texas, effective April 2, 2026—18 months ahead of the original November 30, 2027 expiration. The company paid $45,108.25 to settle remaining obligations, expecting to save approximately $0.8 million in future rent. This consolidation follows the 2025 opening of a new state-of-the-art laboratory facility over 10,000 square feet, improving operational efficiency.

• ·Sublease originally effective October 5, 2022.
• ·New principal executive offices: 9350 Kirby Drive, Suite 300, Houston, Texas 77054.
• ·Filing date: April 9, 2026; Report date of earliest event: April 3, 2026.

09-04-2026

Kyntra Bio, Inc. (formerly associated with FibroGen) received a Nasdaq notice on April 2, 2026, for failing to meet the continued listing requirement of $50 million in total assets and total revenue for the most recently completed fiscal year under Listing Rule 5450(b)(3)(A), due to FibroGen International's revenue being classified as held for sale in discontinued operations for 2024 and 2025. The Company also does not satisfy alternative stockholders’ equity or market value standards. While there is no immediate delisting effect, it has 45 days until May 18, 2026, to submit a compliance plan, potentially earning a 180-day extension to September 29, 2026.

• ·Company may apply to transfer securities to the Nasdaq Capital Market.
• ·Nasdaq will evaluate compliance plan based on likelihood of success, past history, reasons for non-compliance, financial condition, and disclosures.

09-04-2026

Wellgistics Health, Inc. terminated its Settlement Agreement with Silverback Capital Inc. on April 3, 2026, after issuing 6,866,000 shares of common stock. The termination eliminates potential future dilution from additional share issuances under the agreement. The company intends to pursue alternative strategic and financing initiatives.

• ·Settlement Agreement originally dated January 28, 2026.
• ·Termination notice delivered April 3, 2026; filing dated April 9, 2026.
• ·No further obligations under the Settlement Agreement.

09-04-2026

Atlas Energy Solutions Inc. (NYSE: AESI) priced an upsized $390 million private placement of 0.50% Convertible Senior Notes due 2031, increased from the previously announced $300 million, with settlement scheduled for April 9, 2026. Net proceeds are estimated at approximately $377 million (or $435 million if the $60 million additional notes option is fully exercised), to be used for capped call transactions ($43 million or $50 million), repaying $66 million under agreements with Stonebriar Commercial Finance LLC (including a $5 million termination fee) and $75 million under the 2023 ABL Credit Facility, and general corporate purposes including equipment purchases under the Global Framework Agreement with Caterpillar Inc. The notes have an initial conversion price of $14.51 per share (30% premium over the April 6, 2026 closing price of $11.16) and include capped call transactions with a cap price of $22.32 (100% premium).

• ·Notes mature on April 15, 2031; interest payable semi-annually starting October 15, 2026.
• ·Initial conversion rate: 68.9275 shares of Common Stock per $1,000 principal.
• ·Notes offered pursuant to Rule 144A to qualified institutional buyers; not registered under Securities Act.
• ·Option counterparties may engage in hedging activities that could impact stock price.

09-04-2026

Camden Property Trust entered into a binding term sheet on April 7, 2026, to settle the 'In Re: RealPage, Inc., Rental Software Antitrust Litigation (No. II)' class action for $53 million, payable in two $26.5 million installments, resolving all claims related to alleged rent collusion via RealPage software. While the settlement incurs a significant one-time cost recorded as Other Non-Operating Expenses, it will not impact 2026 Core FFO or Core AFFO, liquidity, leverage, dividends, or capital allocation, and includes non-material changes to business practices. The settlement requires court approval and does not admit liability, aiming to eliminate litigation risks and distractions.

• ·First settlement installment due within 45 days of long-form agreement execution; second within four months.
• ·Plaintiffs to seek preliminary court approval by May 15, 2026; long-form agreement by May 7, 2026.
• ·No insurance coverage for settlement; company to defend other related litigation.
• ·Settlement subject to court approval with no assurance of finalization.

09-04-2026

Main Street Capital Corporation (NYSE: MAIN) closed a $150.0 million private offering of unsecured investment grade notes bearing a fixed 6.93% annual interest rate, payable semiannually, maturing on April 15, 2031. The notes are redeemable at par plus accrued interest and a possible make-whole premium. Proceeds will repay outstanding indebtedness under revolving credit facilities, fund investments, and support general corporate purposes.

• ·Notes mature on April 15, 2031
• ·Interest payable semiannually
• ·Notes are unsecured and may be redeemed at par plus accrued interest and, if applicable, a make-whole premium
• ·Notes not registered under the Securities Act of 1933

09-04-2026

International Seaways, Inc. entered into the Second Amended and Restated Rights Agreement on April 9, 2026, extending the final expiration date from April 10, 2026, to April 8, 2029, and increasing the purchase price per share from $50 to $95, while maintaining the 20% beneficial ownership threshold for triggering the rights. The amendment was approved by the Board on April 6, 2026, in response to Famatown Finance Limited and affiliates' ownership of approximately 15.8% of common stock (down slightly from 16.2% reported in April 2022). The company plans to seek stockholder ratification at the 2026 annual meeting.

• ·Rights become exercisable 10 business days after Stock Acquisition Date or announcement of tender/exchange offer.
• ·Qualifying offers exempt from triggering Rights if fully financed, for all shares, open at least 90 business days, with majority acceptance condition.
• ·Board may redeem Rights at $0.001 each prior to trigger or expiration.
• ·Famatown 13D filed April 27, 2022; original Rights dividend record date May 19, 2022.

09-04-2026

XCF Global entered into a binding term sheet with BGN INT US LLC to establish a tolling framework for renewable fuels including SAF, RD, and RN at the New Rise Renewables Reno facility and explore global expansion in production, offtake, and distribution. However, Phillips 66 Company terminated the Supply and Offtake Agreement with New Rise Renewables Reno, LLC, effective May 1, 2026. The partnership aims to meet rising SAF demand amid projections of a $25B market by 2030, while the Reno facility holds a 38 million gallons per year nameplate capacity.

• ·Term sheet is binding but definitive agreements subject to customary due diligence, technical validation, and final agreements.
• ·BGN operates in over 120 countries with trading hubs in Geneva, Dubai, Singapore, and Houston.

09-04-2026

Digi Power X Inc. (Nasdaq: DGXX, Cboe Canada: DGX) entered into an amended and restated sales agreement (ATM Agreement) with A.G.P./Alliance Global Partners, enabling at-the-market sales of up to US$75 million in subordinate voting shares on Nasdaq Capital Market, with no sales in Canada. The company intends to use net proceeds for general corporate purposes, including operations, Tier 3 data center construction, debt repayment, and potential acquisitions to expand AI and HPC infrastructure. The program may be terminated by either party at any time, with sales at prevailing market prices determined at management's discretion.

• ·Original sales agreement dated May 30, 2025, previously amended November 18, 2025
• ·Sales exclusively on Nasdaq Capital Market or other US trading markets, deemed 'at the market offerings' under Rule 415(a)(4)
• ·Prospectus supplement filed under Form S-3 shelf registration statement

09-04-2026

Mobix Labs, Inc., a Delaware corporation, amended its certificate of incorporation to implement a 1-for-10 reverse stock split of its Class A and Class B Common Stock, effective April 6, 2026 at 4:00 p.m. Eastern Time. The Board of Directors determined the exact 1:10 ratio on March 25, 2026, and the company notified stockholders of the ratio on April 2, 2026. The amendment complies with Section 242 of the Delaware General Corporation Law and was executed by Keyvan Samini, President and Chief Financial Officer.

• ·Reverse split applies to each ten (10) shares issued and outstanding immediately prior to the Effective Time.
• ·No further action required from Corporation or stockholders; occurs automatically.

09-04-2026

Assertio Holdings, Inc. (ASRT) announced a definitive agreement to be acquired by Garda Therapeutics via an all-cash tender offer of $18 per share, totaling $125.1 million, plus a contingent value right (CVR) tied to Sprix® milestones, representing premiums of 34.6% to the unaffected share price on March 20, 2026, 46.6% to the 30-day VWAP, and 62.2% to the 60-day VWAP. Concurrently, Assertio closed the sale of all non-Rolvedon assets (including Indocin®, Sympazan®, Sprix®, Cambia®, Zipsor®, and Otrexup®) to Cosette Pharmaceuticals for $35 million upfront plus earnouts. The transaction, unanimously approved by both boards following a strategic review engaging over 35 counterparties, includes a 20-day shop period and is expected to close in Q2 2026, subject to customary conditions including majority tender.

• ·20-day window-shop period allowing engagement with superior bids
• ·Schedule 14D-9 to be filed in approximately 10 business days
• ·No regulatory approvals expected for closing
• ·Post-tender offer second-step merger at same $18 per share plus CVR
• ·CVR non-tradeable and related to potential future Sprix® milestones

09-04-2026

Sonoma Pharmaceuticals, Inc. entered into a Manufacturing and Supply Agreement with Kenvue Brands LLC, effective October 24, 2026, under which Sonoma will manufacture and supply products specified in Schedule A on a non-exclusive basis with no minimum purchase obligations. The agreement outlines pricing components including Conversion Price, Raw Materials Price, Maximum Raw Materials Waste Cost, and Transportation Cost as detailed in Schedule C, with limited adjustment provisions and an open Bill of Materials structure. No specific financial commitments or volumes are disclosed in the filing.

• ·Agreement is non-exclusive; Kenvue may source from third parties including competitors.
• ·Territory limited to United States, its possessions, and territories.
• ·Quality Agreement attached as Schedule B; Service Level Agreement as Schedule F.

09-04-2026

Beyond Meat, Inc. received a Nasdaq deficiency notice on April 6, 2026, for failing to timely file its Form 10-K for the fiscal year ended December 31, 2025, violating Listing Rule 5250(c)(1), but filed the report on April 9, 2026, thereby regaining compliance and avoiding the need for a formal compliance plan by June 5, 2026. The notice had no immediate impact on the listing or trading of its common stock (BYND). The company also announced its 2026 virtual annual meeting of stockholders on May 20, 2026, at 8:00 a.m. Pacific Time, with a record date of March 24, 2026.

• ·Nasdaq Listing Rule violated: 5250(c)(1).
• ·Company address: 888 N. Douglas Street, Suite 100, El Segundo, California 90245.
• ·Securities registered: Common Stock, $0.0001 par value, trading symbol BYND.

09-04-2026

Prairie Operating Co. entered into a Letter Agreement with Hudson Bay PH XIX LLC (High Trail) on April 8, 2026, to repurchase 13,727 shares of Series F Convertible Preferred Stock for $18,999,047.64 in cash plus accrued dividends in common stock, issue a warrant for 4,000,000 shares at $0.01 per share, and potentially issue another for 3,000,000 shares if Anniversary Warrants are not issued by July 8, 2026, while waiving a $3.0 million cash extension fee. The agreement includes amendments to prior securities agreements, registration rights for the warrants, and participation rights for High Trail in future equity offerings up to 35%. This reduces preferred stock obligations but introduces significant dilution risk from low-exercise-price warrants.

• ·Registration statement for warrant shares must be filed within 30 days of April 8, 2026, and effective within 30-60 days, with 1% daily VWAP penalties for failures.
• ·High Trail participation rights: up to 35% of future equity or equity-linked securities offerings for 18 months.
• ·Penny Warrants exercisable immediately, terminate 6 months after no Series F Preferred remains outstanding, with shares freely tradeable thereafter.

09-04-2026

Newton Golf Company, Inc. received a deficiency notice from Nasdaq on April 6, 2026, for non-compliance with Listing Rule 5550(b)(1), failing to maintain the minimum stockholders’ equity of $2,500,000. The company has 45 days until May 21, 2026, to submit a compliance plan, potentially extendable to 180 days until October 3, 2026, if accepted, but there is no assurance of success. Trading of common stock (NWTG) continues uninterrupted for now, though delisting risk remains.

• ·Nasdaq Listing Rule 5550(b)(1) violated due to insufficient stockholders’ equity.
• ·Initial compliance plan submission deadline: May 21, 2026 (45 calendar days from notice).
• ·Potential extension: up to 180 calendar days from April 6, 2026 (until October 3, 2026).
• ·Common stock continues trading on Nasdaq Capital Market under symbol NWTG.

09-04-2026

Paramount Skydance Corporation (PSKY) entered into a Pro Rata Credit Agreement providing $2.50B Term A-1 loans, $2.50B Term A-2 loans, and $5.00B revolving credit facility to finance the pending acquisition of Warner Bros. Discovery, Inc. (WBD), reducing bridge commitments from $54.00B to $49.00B and revolving bridge commitments from $3.50B to $0.00, reflecting strong support from 18 lenders. PSKY also amended its existing senior unsecured revolving credit facility, increasing commitments from $3.50B to $5.00B. Separately, Jeffrey Shell ceased serving as President and Board member effective April 8, 2026, under a separation agreement with severance benefits.

• ·Pro Rata Facilities secured on first lien basis on substantially all U.S. assets of PSKY, Paramount Global, Skydance Media, and post-closing WBD U.S. subsidiaries; become unsecured post-Investment Grade Fall-Away Date.
• ·Financial covenants: consolidated total net leverage ratio ≤5.50:1.00 (≤4.50:1.00 post-Investment Grade), first lien net leverage ≤3.25:1.00 (ceases post-Investment Grade).
• ·Term A-1 Loans mature 3rd anniversary of Closing Date; Term A-2 and Revolving mature 5th anniversary.
• ·Jeffrey Shell severance: 12 months base salary + target bonus, accelerated RSU vesting for 12 months, health benefits for 12 months.

09-04-2026

OSR Holdings, Inc. eliminated approximately $2.02 million in warrant overhang by issuing a $555,555 convertible promissory note to White Lion GBM Innovation Fund, increasing the total face value to $1,055,555 with a premium conversion price of $1.00 per share (100% above the April 8, 2026 closing price of $0.49). The note includes a six-month conversion restriction to prevent immediate dilution and support NASDAQ minimum bid compliance, while providing near-term liquidity for general corporate purposes. No declines or flat metrics were reported in this transaction.

• ·Filing date: April 09, 2026
• ·NASDAQ ticker: OSRH
• ·Note issued as private placement without registration statement
• ·Transaction supports general corporate purposes and strategic priorities

09-04-2026

Quince Therapeutics, Inc. filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation, authorizing 260,000,000 total shares consisting of 250,000,000 shares of Common Stock ($0.001 par value) and 10,000,000 shares of Preferred Stock ($0.001 par value). The amendment implements a 1-for-10 reverse stock split of Common Stock effective 11:59 p.m. ET on April 10, 2026, with no fractional shares issued and cash payments in lieu based on the Nasdaq closing price on the filing date. The change was duly adopted by the Board of Directors and approved by stockholders at the annual meeting.

• ·Originally incorporated on June 20, 2012, under the name Cortexyme, Inc.
• ·Reverse stock split: each ten shares of Common Stock combined into one share.
• ·Cash for fractional shares based on closing sales price on Nasdaq Global Select Market on the date of filing with Delaware Secretary of State.

09-04-2026

Limitless X Holdings Inc. entered a binding Memorandum of Understanding with Jaspreet Mathur, its CEO and Chairman, dated April 8, 2026, to settle all past bonus and incentive obligations related to milestones achieved since 2021 by issuing 550,000 shares of Class B Convertible Preferred Stock, valued at approximately $50,000 based on a $1.25 common stock price. The preferred shares carry a 0.067 conversion rate to common stock, equating to approximately 36,850 common shares, and are subject to board approval, securities counsel review, Rule 144 restrictions, and SEC filings. This settlement has no impact on other prior or future stock issuances or obligations under the original offer letter.

• ·Limitless X Inc. inception date: October 1, 2021
• ·Class B Convertible Preferred Stock subject to Certificate of Designation terms and Securities Act restrictions including Rule 144
• ·Mathur recused from Board vote on approval; issuance pending SEC filings and regulatory approval
• ·Parties responsible for own legal fees and taxes; governed by Delaware law

09-04-2026

Consumer Portfolio Services, Inc. (CPSS) amended its two-year revolving credit agreement with Capital One, N.A. on April 3, 2026, increasing the facility capacity from $167.5 million to $390 million, more than doubling the available funding. The amendment applies to both Capital One and the subordinate lender, with loans secured by automobile receivables and available on a revolving basis through October 17, 2027, followed by an optional 18-month amortization period.

• ·Amendment filed as 8-K on April 09, 2026 (Items 1.01, 2.03, 9.01).
• ·CPS provides indirect automobile financing to individuals with past credit problems, purchasing contracts from franchised dealerships secured by late-model used vehicles.