US Material Events SEC 8-K Filings — March 10, 2026

10-03-2026

Cross Country Healthcare, Inc. announced the departure of James V. Redd III as Senior Vice President and Chief Accounting Officer and Phil Noe as Chief Information Officer, effective March 10, 2026, with neither departure resulting from any dispute or disagreement on accounting or financial matters. The Board appointed internal candidate Marvin Veizaga, aged 45 and previously Group Vice President, Corporate Controller since 2015, to the Chief Accounting Officer role effective the same date. Veizaga's compensation includes a base salary increase to $340,000, with short-term and long-term incentive targets each at 50% of base salary.

• ·Marvin Veizaga employed by Company since 2015; previously Vice President, Assistant Controller (2021-2023) and Vice President, Business Unit Controller (2020-2021); Senior Auditor at Deloitte & Touche LLP (2012-2015); Certified Public Accountant; Bachelor of Science in Accounting from Florida Atlantic University.
• ·No arrangement or understanding regarding Veizaga's appointment; no family relationships with directors or executives; no material interest in transactions under Item 404(a) of Regulation S-K.

10-03-2026

Craig Abrahams notified Playtika Holding Corp. of his resignation as President and Chief Financial Officer, effective April 1, 2026, with no relation to financial issues or disagreements. The board appointed Tae Lee as acting Chief Financial Officer and principal financial officer effective the same date, and updated Robert Antokol's title to Chief Executive Officer, President, and Chairperson of the Board. No changes to Antokol's compensation and no material interests or family relationships for the involved parties.

• ·Tae Lee, age 41, previously Corporate Finance Manager at Meta Platforms, Inc. from 2019-2021; MBA from Columbia Business School; BA in Economics from University of Chicago.
• ·Mr. Lee's compensation as acting CFO not yet determined; to be filed as amendment.
• ·Reference to 2025 Proxy Statement filed April 25, 2025, for Antokol's compensation and experience.
• ·No arrangements, understandings, or family relationships for Lee or Antokol; no material interests exceeding $120,000 threshold.

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

Terrell Kirk Crews II, Executive Vice President and Chief Risk Officer of NextEra Energy, Inc., notified the company of his resignation effective March 20, 2026, to accept a chief financial officer position with another company. NextEra Energy thanked Mr. Crews for his leadership and contributions. No information on a successor or impact to operations was provided.

• ·Resignation notification date: March 5, 2026
• ·8-K filing date: March 10, 2026

10-03-2026

Harvard Bioscience, Inc. entered into an amended employment agreement with CEO John Duke effective March 6, 2026, providing a $515,000 annual base salary, a $100,000 cash bonus upon successful credit facility refinancing, up to 80% incentive compensation, and a target 75,000 RSUs for 2026 post 1:10 reverse stock split. The Board appointed Mark Frost as permanent CFO and Treasurer, effective the same date, with a $375,000 base salary, up to 60% incentive compensation, and target 30,000 RSUs for 2026 post reverse stock split. Both agreements supersede prior ones and include severance benefits for certain termination events.

• ·Duke agreement term extends to July 16, 2027, with automatic two-year renewals.
• ·Frost agreement term extends to April 10, 2027, with automatic two-year renewals.
• ·Duke prior agreement dated July 16, 2025; Frost prior agreement dated April 10, 2025.
• ·Reverse stock split (1:10) effective March 13, 2026.
• ·Frost served as Interim Financial Officer from April 10, 2025, to March 6, 2026.

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

Westrock Coffee reported full year 2025 net sales of $1.2B, up 39.8% YoY, with strong segment growth in Beverage Solutions (+37.8% sales, +27.7% Adj EBITDA) and SS&T (+46.6% sales). However, gross profit declined 2.0% to $150.8M, net loss widened to $90.4M from $80.3M, and Q4 gross profit grew modestly 2.3% while Beverage Solutions Adj EBITDA increased only 5.4%. The company updated 2026 Consolidated Adjusted EBITDA outlook to $90M-$100M, implying 29%-44% growth over 2025.

• ·FY2025 Consolidated Adjusted EBITDA included $15.3M of Conway Facility scale-up costs vs. $12.8M prior year.
• ·Q4 2025 Consolidated Adjusted EBITDA included $1.4M of Conway Facility scale-up costs vs. $7.6M prior year.
• ·Beverage Solutions secured net leverage ratio of 3.85x as of Dec 31, 2025.
• ·Company in compliance with Credit Agreement financial covenants.
• ·2025 actual Consolidated Adjusted EBITDA of $69.7M exceeded prior outlook high of $65M.

10-03-2026

WM Technology, Inc. appointed Nicholas Rellas as a Class III director effective March 5, 2026, until the 2027 annual meeting of stockholders or until his successor is qualified. The Board determined Mr. Rellas to be an independent director under Nasdaq rules, with no arrangements or understandings regarding his selection and no reportable transactions under Item 404(a) of Regulation S-K. In connection with the appointment, he received an initial grant of restricted stock units valued at approximately $400,000, vesting in three equal annual installments.

• ·Appointment recommended by Nominating and Corporate Governance Committee.
• ·Compensation pursuant to Amended Non-Employee Director Compensation Policy.
• ·Standard indemnification agreement entered with Mr. Rellas.

10-03-2026

Xponential Fitness, Inc. announced the separation of Chief Financial Officer John Meloun effective March 9, 2026, and the appointment of Robert Julian as interim CFO effective March 16, 2026, amid a search for a permanent replacement. The company reaffirmed its fiscal year 2026 financial guidance originally provided on February 26, 2026. CEO Mike Nuzzo expressed confidence in Julian's extensive experience while thanking Meloun for his eight years of contributions.

• ·Robert Julian brings more than 30 years of financial leadership experience.
• ·Company operates franchise agreements in 49 U.S. states, Puerto Rico, and 28 additional countries.

10-03-2026

Invesco Mortgage Capital Inc. (NYSE: IVR) appointed Stephanie J. Larosiliere, a veteran fixed income expert with over two decades of experience and current Head of Business Strategy and Development for Invesco Ltd. Fixed Income in North America & APAC, to its Board of Directors as an executive director, effective March 6, 2026. The appointment is intended to strengthen stockholder engagement, alignment, and institutional investor relations. Don Liu, Chair of the Board, emphasized her expertise in fixed income markets and ability to identify emerging trends.

• ·Company is a real estate investment trust externally managed by Invesco Advisers, Inc.
• ·Investor Relations Contact: Gregory Seals, 404-439-3323
• ·Website: www.invescomortgagecapital.com

10-03-2026

On March 6, 2026, Robert D. Hormats, a member of American Tower Corporation's Board of Directors and Nominating & Corporate Governance Committee, notified the company that he will not stand for re-election at the 2026 Annual Meeting of Stockholders. His decision did not involve any disagreements with the company, and he will continue serving on the committee until the Annual Meeting.

10-03-2026

Advance Auto Parts, Inc. (NYSE: AAP) appointed Cynthia Jamison as an independent director to its Board of Directors on March 10, 2026, citing her extensive experience in retail, consumer products, and executive leadership. Jamison, former CFO of AquaSpy, Inc. and Partner at Tatum, LLC, currently chairs the board of Darden Restaurants, Inc. and serves on boards including International Flavors & Fragrances, Inc. The company operates 4,305 stores and serves 809 independently owned Carquest branded stores as of January 3, 2026.

• ·Jamison served as CFO of AquaSpy, Inc. (2010-2013), Partner at Tatum, LLC (1999-2009) leading CFO Practice for over 300 partners, and held C-suite roles at Chart House Enterprises, Allied Domecq Retailing USA, Kraft General Foods, and Arthur Andersen.
• ·Jamison previously chaired boards of Tractor Supply Company and Big Lots, Inc., and served on boards of Office Depot, Inc., B&G Foods, Cellu Tissue Holdings, Inc., and Horizon Organic Holdings Corp.

10-03-2026

Ashford Hospitality Trust, Inc. completed the sale of its 333-room St. Petersburg Hilton Bayfront hotel on March 5, 2026, for $95.3M in cash net of selling expenses, with proceeds used to pay down approximately $94.7M on a mortgage loan secured by 12 hotels. Pro forma balance sheet as of September 30, 2025, reflects reduced total assets to $2.99B from $3.01B and indebtedness to $2.52B from $2.61B, improving the equity deficit to $453M from $533M. Pro forma 2024 operations show revenue declining 2% to $1.15B but net loss to common stockholders improving 94% to $5.3M from $82.5M due to a preliminary gain; however, nine-month 2025 pro forma net loss to common stockholders slightly worsens to $137.6M from $136.7M.

• ·Mortgage loan partially repaid is secured by 12 hotels including the sold property.
• ·Pro forma gain on disposition of $79.6M for 2024 is preliminary and may differ from actual.
• ·No tax effects reflected in pro forma operations.

10-03-2026

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

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

10-03-2026

On March 6, 2026, Nasim Golzadeh notified SoundThinking, Inc. of her resignation from positions as Managing Director, TechnoLogic and Executive Vice President, Investigative Solutions, effective March 31, 2026, to pursue an opportunity outside the public safety industry. The company filed an 8-K on March 10, 2026, disclosing the departure under Item 5.02. No replacement or further details on impact provided.

10-03-2026

Acura Pharmaceuticals, Inc. amended the loan schedule to its Secured Promissory Note originally dated November 10, 2022, with Abuse Deterrent Pharma, LLC, incorporating additional loans #1-#50 totaling $7.075M from December 22, 2022, to December 31, 2025, for an aggregated principal of $9.394M prior to recent additions. Loans #51-#55, each $100,000 and dated January 2 to March 9, 2026, increased the total principal to $9.894M. The amendment was executed on March 9, 2026, by Robert A. Seiser, Senior Vice President & CFO.

• ·Loan #51 dated 1/02/2026: $100,000 (total $9,494,279)
• ·Loan #52 dated 1/16/2026: $100,000 (total $9,594,279)
• ·Loan #53 dated 2/06/2026: $100,000 (total $9,694,279)
• ·Loan #54 dated 2/13/2026: $100,000 (total $9,794,279)
• ·Loan #55 dated 3/09/2026: $100,000 (total $9,894,279)

10-03-2026

On March 5, 2026, Thomas P. Mason announced his resignation from the board of directors of USA Compression GP, LLC, the general partner of USA Compression Partners, LP, including all board committees, effective March 31, 2026. The resignation was not due to any disagreement with the General Partner or Partnership on operations, practices, or policies. The 8-K filing was submitted on March 10, 2026.

• ·Resignation includes all committees of the Board
• ·Registrant details: Delaware incorporation, Commission File Number 1-35779, IRS EIN 75-2771546
• ·Principal executive offices: 8115 Preston Road, Suite 700, Dallas, Texas 75225
• ·Common units (USAC) traded on New York Stock Exchange

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

Prudential Financial's Board of Directors appointed CEO Andrew Sullivan as Chairman effective March 10, 2026, succeeding Charles Lowrey, who resigned as Executive Chairman and director but will remain as a senior advisor through the end of Q2 2026 before retiring after 25 years of service. Lowrey previously served as CEO from 2018 to 2025 and Chairman from 2019 to 2025. The company reported approximately $1.6 trillion in assets under management as of December 31, 2025.

• ·Lowrey served as Executive Chairman beginning in 2025, Chief Executive Officer from 2018 to 2025, and Chairman from 2019 to 2025.
• ·Prudential has operations in the United States, Asia, Europe, and Latin America.

10-03-2026

ADM announced the appointment of Michael McMurray, former executive vice president and CFO of LyondellBasell Industries N.V., to its Board of Directors, effective March 9, 2026. McMurray, with over three decades of financial and strategic leadership experience from roles at Owens Corning and Royal Dutch Shell, will serve on the Audit and Sustainability and Technology committees. Board Chair and CEO Juan Luciano praised McMurray's expertise in finance, international business, strategy, and M&A as aligning with ADM's growth opportunities.

• ·McMurray holds a bachelor’s degree in Business Administration from Trinity University and an MBA from Tulane University.
• ·McMurray currently serves on the boards of Flowserve Corporation and the Children’s Advocacy Centers of Texas.

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

Klotho Neurosciences, Inc. authorized 50,000 shares of Series C Preferred Stock via board resolution on March 4, 2026, filed in 8-K on March 10, 2026. Each Series C share is convertible into 42,554 common shares (potential 2.13B common shares total) only after Nasdaq-required stockholder approval, with no voting or conversion rights prior. The stock carries as-converted dividends and liquidation preferences but no independent voting until approval.

• ·Stockholder Approval required for voting rights (on as-converted basis) and conversions per Nasdaq rules
• ·Liquidation notice to holders: at least 30 days prior to payment date
• ·No fractional common shares on conversion; cash payment for fractions
• ·Conversion Ratio adjusts for stock splits, combinations, reorganizations

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

AIR T INC filed an 8-K on 2026-03-10 disclosing an officer change under Item 5.02 (Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers). Item 9.01 references Financial Statements and Exhibits. No specific details on positions affected, names, reasons for change, or any financial metrics are disclosed.

10-03-2026

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

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

10-03-2026

Procore Technologies, Inc. (NYSE: PCOR) announced on March 10, 2026, the appointments of Rachel Pyles as Chief Financial Officer Designate and Walt Hearn as Chief Revenue Officer Designate, effective immediately, succeeding Howard Fu and Larry Stack respectively on April 1, 2026, with Fu and Stack transitioning to strategic advisory roles. Both new executives bring extensive experience from Ansys, Inc. and other firms, with track records of driving revenue growth and operational excellence. The company reaffirms its Q1 FY26 and full-year FY26 financial guidance previously issued on February 12, 2026.

• ·Procore's Annual Report on Form 10-K for year ended December 31, 2025, filed February 24, 2026.
• ·Pyles has over 20 years of finance leadership experience.
• ·Hearn has 18-year tenure at Ansys.

10-03-2026

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

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

10-03-2026

SolarEdge Technologies, Inc. announced that CFO Asaf Alperovitz will depart on June 9, 2026, to pursue a CFO role at another public company outside the industry, with the Board initiating a search for a replacement; he will remain through the transition period. The departure is unrelated to any financial, accounting, or operational disagreements. The company re-affirmed its Q1 financial guidance from February 18, 2026, and expressed optimism for profitable growth and a transformational 2026.

• ·Departure notification not related to any financial or accounting issue or disagreement over operations, policies, or practices.
• ·Annual Report on Form 10-K for year ended December 31, 2025, filed February 25, 2026.
• ·Q1 financial guidance originally provided February 18, 2026.

10-03-2026

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

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

10-03-2026

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

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

10-03-2026

Nature’s Sunshine Products reported strong Q4 2025 net sales growth of 4.7% YoY to $123.8M and FY2025 net sales up 5.7% YoY to $480.1M, with Adjusted EBITDA rising 16% to $11.9M and 21.7% to $49.4M respectively; GAAP net income swung to $4.1M profit in Q4 from a $0.3M loss and reached $19.5M for FY. However, Asia net sales declined 1.0% in Q4 and Latin America & Other fell 5.5% for FY, while SG&A expenses rose to 39.1% of sales in Q4 from 37.0%. Management noted 47% growth in digital channels but highlighted increased SG&A due to investments.

• ·Net cash provided by operating activities: $35.3M in FY2025 vs $25.3M in FY2024.
• ·Capital expenditures: $6.5M in FY2025 vs $11.0M in FY2024.
• ·FY2026 outlook: net sales $500-515M, Adjusted EBITDA $50-54M.
• ·No outstanding debt as of Dec 31, 2025.

10-03-2026

On March 4, 2026, the Board of Directors of Avalon GloboCare Corp. (ALBT) approved a one-time bonus of $175,000 to Chief Financial Officer Luisa Ingargiola for her contributions to the company's business and financial position during fiscal year 2025. The Board also approved an increase in annual fees for lead director Steven Saunders to $95,000. No other changes in directors or officers were reported.

10-03-2026

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

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