US Material Events SEC 8-K Filings — March 13, 2026

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

Nine Energy Service, Inc. disclosed that Theodore R. Moore resigned from his position as Executive Vice President, General Counsel and Secretary, effective March 24, 2026, to accept a position at another company. Mr. Moore notified the company of his decision on March 9, 2026. The Form 8-K was filed on March 13, 2026.

13-03-2026

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

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

13-03-2026

Ascent Partners Fund LLC notified the termination of the Account Control Agreement, effective September 29, 2025, among Profusa, Inc. (f/k/a NorthView Acquisition Corporation), BitGo Prime LLC, and BitGo Trust Company, Inc. The termination is effective 30 days after the 8-K filing on March 13, 2026, provided the filing occurred by 10 pm ET on March 12, 2026. No financial terms, impacts, or performance metrics are disclosed.

• ·Termination pursuant to Section 9(c) (Termination; Survival) of the Control Agreement
• ·Notice delivered via email on March 12, 2026

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

On March 11, 2026, Joe Del Preto resigned as Sprout Social, Inc.'s Chief Financial Officer and Treasurer, effective immediately. The Board appointed CEO Ryan Barretto as interim principal financial officer and interim principal accounting officer, also effective March 11, 2026, until a replacement is named; Barretto will receive no additional compensation. There are no related arrangements, family relationships, or conflicting interests disclosed.

• ·Barretto's biographical information is in the Definitive Proxy Statement on Schedule 14A filed April 8, 2025.
• ·No direct or indirect interest by Barretto in transactions required under Item 404(a) of Regulation S-K.

13-03-2026

On March 12, 2026, ServBanc Holdco, Inc. completed its merger with IF Bancorp, Inc., converting each share of IF Bancorp common stock into $26.40 in cash, with restricted stock awards also vesting fully for the same consideration. A $5.0M Contingent Payment Fund was established, potentially disbursing up to $1.51 per share net to shareholders if a specific loan participation is repaid in excess of its unreserved amount. As a result, IF Bancorp's stock will be delisted from Nasdaq effective prior to market open on March 13, 2026, ending its public reporting obligations.

• ·Merger effective at 6:01 p.m. Central Time on March 12, 2026
• ·Merger Agreement dated October 29, 2025
• ·Contingent Payment Agreement dated March 9, 2026
• ·IF Bancorp notified Nasdaq of suspension and delisting prior to market open on March 13, 2026
• ·ServBanc intends to file Form 15 to suspend IF Bancorp's reporting obligations
• ·Iroquois Federal merged into Servbank subsequent to the Merger

13-03-2026

On March 10, 2026, Forward Industries, Inc.'s Board approved grants of 100,000 five-year stock options each to directors Sangita Shah, Keith Johnson, and Michael Pruitt for board service under the 2021 Equity Incentive Plan, with Shah and Johnson receiving an additional 50,000 options each for committee service at an exercise price of $5.02 per share. The options vest in four equal quarterly installments starting three months from grant, subject to continued service. On March 13, 2026, the company amended interim CEO Michael Pruitt's employment agreement, extending it to June 30, 2026, with automatic three-month renewals unless 30 days' notice is given.

• ·Stock options are non-qualified and vest in four equal quarterly installments of 25% each, with the first vesting three months from March 10, 2026.
• ·Employment amendment allows non-renewal with 30 days' written notice prior to term expiration.

13-03-2026

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

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

13-03-2026

Veru Inc. held its 2026 Annual Meeting of Shareholders on March 12, 2026, where all six nominated directors were elected with 5.3M-5.5M votes for each, though withheld votes ranged from 277k to 444k and broker non-votes totaled 4.42M. Shareholders approved the amendment to the 2018 Equity Incentive Plan (increasing authorized shares from 2.6M to 5.85M), ratified Cherry Bekaert LLP as auditors (10.04M for vs. 116k against), advisory say-on-pay (4.48M for but 736k against and 563k abstentions), and adjournment, out of 16.05M eligible shares. While all proposals passed, notable opposition was seen on say-on-pay and Equity Plan amendment (975k against).

• ·Auditors ratification: 10,040,215 For, 115,840 Against, 43,656 Abstentions.
• ·Equity Plan amendment: 4,743,572 For, 975,452 Against, 56,688 Abstentions.
• ·Say-on-pay: 4,476,916 For, 735,523 Against, 563,273 Abstentions.
• ·Adjournment: 9,045,655 For, 1,106,328 Against, 47,728 Abstentions.
• ·Proxy statement filed January 28, 2026; fiscal year ends September 30, 2026.

13-03-2026

On March 10, 2026, Asana, Inc.'s Compensation Committee adopted the Incentive Bonus Plan for employees including the CEO and CFO, and amended the Executive Severance and Change in Control Benefit Plan to increase non-Change in Control Period severance benefits from 4 to 6 months of base salary/target incentive and equivalent COBRA premiums. On March 11, 2026, Veronica Sosa was appointed Chief Accounting Officer and Principal Accounting Officer, with no changes to her compensation or any related arrangements.

• ·Ms. Sosa has served as Asana's Vice President, Global Corporate Controller since February 2022; previously Senior Director, Global Assistant Controller at LinkedIn (Sep 2018-Jan 2022) and Senior Director, Finance - Strategy & Transformation at LinkedIn (May 2013-Sep 2018); Senior Manager at Ernst & Young (May 2004-May 2013).
• ·No family relationships between Ms. Sosa and any director/executive officer; no arrangements or understandings for her appointment; no material interests under Item 404(a).

13-03-2026

Burke & Herbert Financial Services Corp. filed a consent from Diane Poillon to be named as a director following the merger of LINKBANCORP, Inc. (LNKB) into Burke & Herbert, per the Agreement and Plan of Merger dated December 18, 2025. The consent is tied to the Registration Statement on Form S-4 (File No. 333-292956) and this Form 8-K. No financial impacts or performance metrics are disclosed in this filing.

• ·Consent signed by Diane Poillon on March 05, 2026.
• ·Filing date: March 13, 2026.
• ·Items reported: 5.02, 9.01.

13-03-2026

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

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

13-03-2026

Kaanapali Land, LLC completed the sale of approximately 21 acres of land in Lahaina, Hawaii, through its subsidiary Pioneer Mill Company, LLC to Pioneer Mill Site LLC for $19.9M in cash on March 10, 2026. Pro forma effects include a $19.9M increase in cash and $9.6M decrease in property, net, on the September 30, 2025 balance sheet, with a $10.3M gain on sale; however, operations show pro forma sales declines of $123,000 for 2024 and $160,000 for the nine months ended September 30, 2025, partially offset by lower SG&A expenses.

• ·Property located in Lahaina, Hawaii
• ·Purchase agreement dated June 13, 2024
• ·Pro forma balance sheet as of September 30, 2025
• ·Pro forma operations as if sale occurred January 1, 2024

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

Adient plc held its 2026 Annual General Meeting on March 10, 2026, where shareholders elected eight directors with overwhelming majorities (For votes ranging 60.9M to 61.9M shares), ratified PricewaterhouseCoopers LLP as auditors for FY2026 (65.0M For), approved named executive officer compensation (58.4M For), and renewed board authorities to issue shares and opt-out of preemption rights. Separately, the Board approved a $500,000 Special RSU retention award for Executive Vice President James Conklin, vesting one-half per year over two years.

• ·Special RSU Award grant date: May 7, 2026; vests subject to continued service, with protections for involuntary termination without cause, death, or disability.
• ·Proposal 1 Against votes ranged 206K-1.16M shares; Proposal 2 Against: 1.47M shares; Proposal 3 Against: 3.65M shares; Proposal 4 Against: 487K shares; Proposal 5 Against: 2.73M shares.
• ·Special RSU Agreement filed as Exhibit 10.42 to 10-K on November 18, 2024.

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

On March 10, 2026, Scott Smith, who has served as a Director of Independent Bank Corp. and Rockland Trust Company since April 1, 2019, and as a member of the Trust Committee since April 2023, notified the company of his voluntary decision not to stand for re-election at the May 14, 2026 Annual Shareholder Meeting, after which he will cease serving as a Director. The decision was not due to any disagreement with the company, Rockland Trust, the Board, or management. No other changes or financial impacts were reported.

• ·Company IRS Employer ID: 04-2870273
• ·Commission File Number: 1-9047
• ·Principal executive offices: 2036 Washington Street, Hanover, MA 02339; Mailing: 288 Union Street, Rockland, MA 02370

13-03-2026

Vitesse Energy, Inc. announced an update to its hedging program, adding substantial opportunistic hedges on oil, natural gas, NGLs through 2027 at fixed prices supporting its dividend, with approximately 67% of its expected 2026 oil production hedged based on guidance midpoint. Weighted average fixed prices for oil swaps range from $63.51 to $66.77 per Bbl across 2026-2027 quarters. Effective March 13, 2026, board member M. Bruce Chernoff resigned due to personal time constraints.

• ·Crude oil swaps: Q1 2026 - 529,291 Bbls at $65.87 WTI; Q2 2026 - 613,509 Bbls at $66.77 WTI; Q3 2026 - 490,679 Bbls at $65.01 WTI; Q4 2026 - 427,155 Bbls at $64.20 WTI.
• ·Crude oil collars: Q1 2027 - 300,000 Bbls at $55.75/$66.44 floor/ceiling.
• ·Natural gas collars: 2026 quarterly volumes 1.45M-1.58M MMbtu at ~$3.73/$4.90 floor/ceiling.
• ·NGL swaps include Mont Belvieu Ethane 2026: 2,176,000 Gallons at $0.26.

13-03-2026

CONMED Corporation announced on March 13, 2026, that Andrew Moller, age 51, will serve as Interim Principal Financial Officer effective March 15, 2026. Mr. Moller joined the company in January 2025 as Vice President, Corporate Controller, and was appointed Principal Accounting Officer in April 2025, bringing prior experience from Smith & Nephew (Global Controller and CFO Asia-Pacific until December 2024) and Stanley Black & Decker. No related-party transactions, family relationships with directors, or changes to his compensation were reported.

• ·Mr. Moller is a certified public accountant with a Master of International Business Studies from the University of South Carolina and a Bachelor of Science in Business Administration from the College of Charleston.
• ·No family relationships between Mr. Moller and the Company’s Board of Directors.

13-03-2026

David Mikulecky resigned from Apex Treasury Corp.'s board effective March 9, 2026, citing no disagreements with management. On March 13, 2026, the board appointed Stephen CuUnjieng, 66, as an independent Class I director to the Audit and Compensation Committees; he receives 30,000 Class B ordinary shares from the Sponsor and entered into standard indemnity, letter, and registration rights agreements. CuUnjieng brings extensive investment banking experience in Asia from roles at Evercore Asia, Macquarie Group, and Merrill Lynch.

• ·CuUnjieng appointed with term expiring at first annual shareholder meeting.
• ·No family relationships or material interests under Item 404(a) of Regulation S-K.
• ·Exhibits include Indemnity Agreement (ref to S-1 Exhibit 10.6), Letter Agreement (new), and Registration Rights Agreement joinder.

13-03-2026

Vera Bradley, Inc. appointed Ian Bickley as permanent Chief Executive Officer and Chairman of the Board effective March 12, 2026, succeeding his Interim CEO role since June 2025, with a $750,000 base salary, 100% target bonus, and $1.5M equity grant for FY2027. CFO Martin Layding assumes additional Chief Operating Officer duties with base salary increased 16% from $475,000 to $550,000, while Chief Administrative & Legal Officer Mark Dely will depart effective June 27, 2026, under the 2014 Executive Severance Plan. Bickley's employment extends through fiscal year ending approximately February 3, 2029.

• ·Ian Bickley, age 62, served as Executive Chair and Interim CEO since June 2025 and Board member since November 2024.
• ·Bickley employment agreement includes severance provisions: 1.5x base salary + benefits upon termination without Cause or for Good Reason; enhanced post-Change in Control with full equity vesting.
• ·Mark Dely signed the filing as Chief Administrative Officer on March 13, 2026.

13-03-2026

On March 10, 2026, Jennifer Mason, a member of the Board of Directors of Six Flags Entertainment Corporation, informed the company that she will not stand for re-election at the 2026 annual meeting of stockholders. Her decision was not due to any disagreement with the Board, the company, or management on operations, policies, or practices. The Board thanked Ms. Mason for her dedicated service.

• ·Filing date: March 13, 2026
• ·Date of earliest event reported: March 10, 2026
• ·Annual meeting reference: 2026 Annual Meeting

13-03-2026

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

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

13-03-2026

Cocrystal Pharma, Inc. reported on March 13, 2026, that Dr. Anthony Japour, a member of its board of directors, passed away, with the company learning of the event on March 10, 2026. This represents a significant loss for the company's leadership and governance structure, with no additional details on succession or impact provided.

• ·Company headquartered at 19805 N. Creek Parkway, Bothell, WA 98011
• ·Registrant is not an emerging growth company

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

NextTrip, Inc. entered into a new employment agreement with Frank Orzechowski for his continued service as Chief Financial Officer, effective retroactively to February 10, 2026, with a base annual salary of $250,000, an equity bonus of 10,000 shares, and a guaranteed cash bonus of $13,500 for 2026. $50,000 of the base salary from September 1, 2025, through March 31, 2026, will be satisfied in fully vested common stock based on the February 10, 2026, closing price. The agreement provides for a six-month severance upon involuntary termination or resignation for good reason, and eligibility for an annual performance bonus targeting $50,000 to $150,000.

• ·Employment term is on a monthly basis subject to six-month severance payment.
• ·Agreement filed as Exhibit 10.1.

13-03-2026

On March 12, 2026, the Compensation Committee of American States Water Company approved time-vested restricted stock units (RSUs) and performance-based RSUs to key executives, including CEO Robert J. Sprowls (7,362 time-vested and 22,088 target performance RSUs), Eva G. Tang (1,071 each), and others. Time-vested awards vest in 33%, 33%, and 34% portions over the first three anniversaries of the grant date, while performance awards vest similarly on December 31, 2026, 2027, and 2028 based on criteria such as total shareholder return, operating expenses, and acquisition success rates. No dollar values or performance outcomes were disclosed in the filing.

• ·Performance criteria vary: total shareholder return, Golden State Water Company operating expense level, ASUS cumulative net earnings, and ASUS new base acquisition success rate (criteria differ by executive).
• ·Awards include dividend equivalents payable in additional RSUs.
• ·Vesting accelerates upon death, disability, or retirement.

13-03-2026

Devina Rankin, Executive Vice President and Chief Financial Officer of Waste Management, Inc., voluntarily resigned effective November 1, 2025, after 23 years of service including nearly nine years as CFO, and served as an executive advisor through March 13, 2026. On March 13, 2026, she received a $1 million cash transition success bonus for facilitating the CFO role transition and contributions to the Healthcare Solutions business integration. No other performance metrics or financial impacts were disclosed.

• ·Resignation effective date: November 1, 2025
• ·Executive advisor role ended: March 13, 2026
• ·Bonus pursuant to Exhibit 10.1: Transition success bonus letter agreement dated March 13, 2026

13-03-2026

Evolus, Inc. reclassified Vikram Malik from Class III to Class II director on March 13, 2026, to restore balance among board classes following Simone Blank's prior departure. Mr. Malik's service remains continuous as Chairman and Compensation Committee member, with no new equity awards or related arrangements. The board now consists of six directors, evenly split with two in each of Class I, II, and III.

• ·Mr. Malik designated as Class II director until the 2026 annual meeting of stockholders.
• ·No transactions involving Mr. Malik requiring disclosure under Item 404(a) of Regulation S-K.

13-03-2026

Zhiyi (Jonathan) Zhang resigned as President of Nature’s Miracle Holding Inc. effective February 28, 2026, and from the Board and its committees effective December 31, 2025, with no disagreements on operations, policies, or practices. Jinlong (Frank) Du was appointed to these positions by the Board, as previously disclosed in a Form 8-K filed February 9, 2026. No financial or operational impacts from the changes were disclosed.

• ·Resignation notified on February 28, 2026
• ·Board resignation effective December 31, 2025
• ·Company CIK: 0001947861; EIN: 88-3986430; Incorporated in Delaware
• ·Principal address: 3281 E. Guasti Road, Suite 175, Ontario, CA 91761
• ·Securities: Common Stock (NMHI, par value $0.0001); Warrants (NMHIW, exercise price $11.50)

13-03-2026

On March 10, 2026, the Compensation Committee of Perdoceo Education Corporation's Board of Directors approved the 2026 Annual Incentive Plan (2026 AIP), which is similar in all material respects to the 2025 AIP. The plan allocates 80% weighting to company-wide adjusted operating income performance and 20% to individual goals for senior level participants, including executive officers, with a target payout factor of 100%, threshold requirements for any payments, and a maximum cap of 200% of target value. Payouts for the individual component may be adjusted based on contributions to business objectives and overall operating income achievement.

• ·The 2026 AIP description is qualified by reference to Exhibit 10.1.

13-03-2026

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

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

13-03-2026

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

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

13-03-2026

SUMA Acquisition Corporation, a blank check company targeting technology-enabled sectors, announced the pricing of its $150M initial public offering of 15M units at $10.00 per unit, with trading expected to begin on Nasdaq under SUMAU on March 11, 2026. Each unit includes one Class A ordinary share and one right to 1/5 of a Class A ordinary share upon initial business combination. Seaport Global Securities LLC served as lead book-running manager, with a 45-day option to purchase up to 2.25M additional units for over-allotments.

• ·Closing anticipated on or about March 12, 2026, subject to customary conditions.
• ·SEC registration statement declared effective March 10, 2026.
• ·Company focuses on merger or acquisition targets in technology-enabled sectors in the US and developed markets.

13-03-2026

Earth Science Tech, Inc. mutually agreed to renew the Employment Agreements for CFO Ernesto L. Flores and CTO Christopher A. Rose for an additional one-year term effective March 11, 2026. The original agreements were entered into on March 11, 2025, with all material terms remaining unchanged. The filing was signed by CEO and Chairman Giorgio R. Saumat on March 13, 2026.

• ·Original Employment Agreements previously disclosed on Form 8-K filed March 19, 2025
• ·Common Stock: $0.001 par value, traded as ETST on Over the Counter Bulletin Board

13-03-2026

On March 12, 2026, Optimum Communications, Inc.'s Compensation Committee approved deferred cash awards (DCAs) valued at a total of $9.375M to four key executives as part of the 2026 long-term incentive program (LTIP), with CEO Dennis Mathew receiving $5M, CFO Marc Sirota $1.75M, General Counsel Michael Olsen $1.5M, and President Michael Parker $1.125M. The DCAs represent 50% of the 2026 LTIP (replacing prior restricted stock units), while overall LTIP targets, salaries, and short-term incentive targets remain unchanged from 2025; short-term bonuses will now be assessed and paid quarterly rather than annually. Vesting occurs one-third on December 14 of 2026, 2027, and 2028, subject to continued service.

• ·DCAs qualified by reference to form of DCA agreement to be filed as exhibit to Form 10-Q for quarter ending March 31, 2026
• ·Company securities: Class A Common Stock, par value $0.01 per share (OPTU on NYSE)

13-03-2026

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

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

13-03-2026

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

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