US Material Events SEC 8-K Filings — March 19, 2026

19-03-2026

Mount Logan Capital Inc. (MLCI) announced that its managed Opportunistic Credit Interval Fund (SOFIX) entered a definitive agreement to acquire over $100 million in assets from Yieldstreet Alternative Income Fund (YS AIF), nearly doubling SOFIX's size and expected to boost MLCI's annual fee-related earnings (FRE) by at least $2.8 million, or more than 30% of trailing twelve-month FRE as of December 31, 2025. The transaction, including a Transition Services Agreement (TSA) with Willow Wealth, is projected to be immediately accretive to FRE upon closing in late Q2 or Q3 2026, subject to regulatory and YS AIF shareholder approvals. MLCI had over $2.1 billion in assets under management as of December 31, 2025.

• ·YS AIF suspended share offerings effective immediately, but automatic dividend reinvestment plan continues.
• ·Transaction unanimously approved by SOFIX Board of Trustees and YS AIF Board of Directors.
• ·Intended as tax-free reorganization for YS AIF shareholders; no SOFIX shareholder vote required.
• ·TSA stock subject to lock-up provisions.

19-03-2026

Scorpius Holdings, Inc. entered into three non-convertible promissory notes with an institutional investor, with principal amounts of $30,426.95 (Feb 12, 2026), $190,907.77 (Feb 26, 2026), and $27,109.10 (Mar 11, 2026), totaling approximately $248,444. Each note carries 5% annual interest, a 15% premium on principal at maturity/redemption/prepayment, and matures in August-September 2026 or earlier upon corporate events or default. The notes impose short-term debt obligations with redemption rights using up to 100% of future financing proceeds and default triggers for unpaid indebtedness over $150,000.

• ·Notes issued in reliance on Section 4(a)(2) of the Securities Act and/or Regulation D exemption.
• ·Holder has right to require redemption of outstanding balance using up to 100% of gross proceeds from any subsequent Financing.

19-03-2026

Aclarion, Inc. announced that its Board unanimously adopted a limited duration stockholder rights plan, effective immediately and expiring in one year on March 18, 2027, to protect shareholder value by deterring unapproved acquisitions of 10% or more of common stock without a control premium. Rights will distribute as a dividend on March 30, 2026, for each share of common stock and Rights-Eligible Warrants, becoming exercisable upon triggering events to allow holders (excluding the acquirer) to purchase preferred stock equivalent to twice the $14.00 exercise price in common stock value. The plan applies equally to all stockholders, grandfathering existing >10% owners from triggering if they do not increase holdings, and was not adopted in response to any specific takeover threat.

• ·Rights attach to each share of Common Stock (par value $0.00001) and Rights-Eligible Warrants as of Record Date March 30, 2026
• ·Board may redeem rights at $0.001 per right or exchange for one share of Common Stock per right
• ·No dead-hand, slow-hand, or similar features limiting future Board actions
• ·Aclarion leverages MRS, biomarkers, and AI for chronic low back pain via Nociscan SaaS platform

19-03-2026

AMERICAN VANGUARD CORPORATION (as Holdings) and AMVAC CHEMICAL CORPORATION (as Borrower) entered into a Credit and Guaranty Agreement dated March 13, 2026, with Wilmington Trust, National Association as Administrative Agent and certain lenders, establishing a senior secured term loan facility with an aggregate principal amount of $225 million. The facility provides financing subject to covenants, representations, and events of default, with interest rates starting at Term SOFR plus 8.25% or Base Rate plus 7.25%, eligible to step down based on improvements in the Consolidated Total Leverage Ratio below thresholds like 4.00:1.00. No prior period financial performance data or comparisons are disclosed in the filing.

• ·Compliance Certificate due two business days after quarterly financials for fiscal quarter ending June 30, 2026, to potentially adjust Applicable Margin.
• ·ABL Facility permitted if approved by Required Lenders, secured junior to term loan on non-ABL Priority Collateral.

19-03-2026

Pyrophyte Acquisition Corp. (SPAC) and Sio Silica Corporation entered into the Fifth Amendment to their Business Combination Agreement dated March 13, 2026, extending the Outside Date for the Company Amalgamation from April 29, 2026 to April 29, 2027. This follows four prior amendments extending the timeline from the original BCA dated November 13, 2023. The amendment maintains all other terms of the BCA, which contemplates a SPAC Amalgamation followed by a Company Amalgamation under Alberta law.

• ·Original BCA dated November 13, 2023.
• ·First Amendment: November 12, 2024, extended Outside Date to December 31, 2024.
• ·Second Amendment: December 31, 2024, extended to April 30, 2025.
• ·Third Amendment: April 11, 2025, extended to December 31, 2025.
• ·Fourth Amendment: October 16, 2025, extended to April 29, 2026.
• ·Fifth Amendment effective March 13, 2026, filed March 19, 2026.

19-03-2026

SAB Biotherapeutics, Inc. (Nasdaq: SABS) announced on March 17, 2026, a proposed underwritten public offering of common stock and pre-funded warrants, with underwriters granted a 30-day option to purchase up to an additional 15% of the securities. Net proceeds, along with existing cash, will primarily fund the development of clinical-stage candidate SAB-142 through ongoing and planned trials, manufacturing, regulatory activities, and general corporate purposes. The offering is subject to market conditions with no assurance of completion or final terms.

• ·Shelf registration statement on Form S-3 (No. 333-292482) filed December 29, 2025, declared effective January 7, 2026.
• ·Joint book-running managers: Jefferies, UBS Investment Bank, Citigroup, Barclays; lead manager: Chardan.

19-03-2026

Selectis Health, Inc. appointed Richard Huebner, age 68, as a new member of its Board of Directors effective March 12, 2026. Mr. Huebner, senior managing partner at GVC Capital LLC since 2001, has extensive experience in investment banking, compliance, and legal roles at firms including Fiserv Correspondent Services and Hanifen Imhoff Inc. He will receive an annual stipend of $30,000 under the company's Outside Directors Compensation Plan.

• ·Richard Huebner served as registered investment advisor (2000-2001), Executive Vice President at Fiserv Correspondent Services (1984-2000), and various roles at Hanifen Imhoff entities (1979-1997) and First Mid America, Inc. (1980-1983).
• ·Education: Bachelor’s degree from Hastings College (1979); Juris Doctorate from University of Nebraska (1982).

19-03-2026

On March 17, 2026, The Cannabist Company Holdings Inc. secured a further extension of a forbearance agreement from an ad hoc group of noteholders for its 9.25% Senior Secured Notes due December 31, 2028, and 9.00% Senior Secured Convertible Notes due December 31, 2028, postponing any exercise of remedies until March 25, 2026. This development signals ongoing financial stress and potential covenant issues under the amended indenture. No financial metrics or performance data were disclosed.

• ·Registrant is an emerging growth company.
• ·Principal executive offices: 321 Billerica Road, Chelmsford, Massachusetts 01824.
• ·Telephone: (978) 910-1486.
• ·No securities registered pursuant to Section 12(b) of the Act.

19-03-2026

DevvStream Corp. reduced outstanding debt by approximately $5.9 million net of a new $700,000 0% interest loan from Helena Partners, through Focus Impact Partners converting $5.5 million of 5.3% notes and fees into equity at a 12.9% premium, and prepaying $1.1 million to Helena from released $1.2 million collateral. These moves strengthen the balance sheet and signal partner confidence. However, forward-looking risks highlight potential insufficient liquidity from the new loan, Nasdaq delisting threats, and operational constraints from existing debt.

• ·FIP 5.3% convertible notes due November 2026
• ·Helena convertible note dated July 17, 2025
• ·Helena interest waiver through May 2026
• ·New Helena loan due March 2027
• ·Announcement date: March 13, 2026
• ·Filing date: March 19, 2026

19-03-2026

Horizon Technology Finance Corporation (NASDAQ: HRZN) announced the formation of a new joint venture with CR Financial Holdings, Inc. (CRFH), with initial capital commitments totaling $100 million to provide growth capital financing solutions, primarily secured loans in the $5-25 million range, to small- and micro-cap public companies in the U.S. The joint venture features equal governance representation from both parties and expects support from Monroe Capital, which manages $24 billion in assets as of January 1, 2026. No negative performance metrics were reported in this announcement.

• ·Joint venture governance: four-person board and investment committee with equal representation from Horizon and CRFH
• ·Announcement date: March 19, 2026
• ·Monroe Capital supports larger investments

19-03-2026

Brian O’Kelley resigned from the Board of Directors of LiveRamp Holdings, Inc. effective March 18, 2026, after serving since 2023. The resignation was not due to any disagreement with the Company on matters relating to its operations, policies, or practices. The filing was signed by Jerry C. Jones, EVP, Chief Ethics and Legal Officer and Secretary.

19-03-2026

CVS Health Corporation elected John E. Gallina, former Executive Vice President and CFO of Elevance Health, Inc., to its Board of Directors effective March 19, 2026. Mr. Gallina, determined to be independent, was appointed to the Audit Committee and designated an 'audit committee financial expert' under SEC rules. His compensation will align with other non-employee directors, prorated from commencement.

• ·Mr. Gallina, age 66, served as CFO of Elevance from June 2016 through November 1, 2023, then as EVP and Advisor to the CEO until May 2024.
• ·Mr. Gallina holds a bachelor’s degree in business administration from The Ohio State University and is a certified public accountant.
• ·Director compensation practices described in CVS Health’s annual proxy statement filed April 4, 2025.

19-03-2026

Reinsurance Group of America, Incorporated (NYSE: RGA) appointed Peter Babej to its Board of Directors, effective April 1, 2026, citing his extensive experience in financial services, including roles at Citigroup as Chairman and Interim Head of Banking, CEO of Citi Asia Pacific overseeing 70,000 employees, and Global Head of Financial Institutions. RGA, a global life and health reinsurer founded in 1973, reported $4.3 trillion in life reinsurance in force and $156.6 billion in total assets as of December 31, 2025. The appointment is positioned to support RGA's long-term strategy amid opportunities worldwide.

• ·Peter Babej retired from Citigroup in 2024 after serving as Chairman and Interim Head of Banking.
• ·Peter Babej holds a B.A. (summa cum laude) from Princeton University, J.D. and Ph.D. from Harvard University.
• ·RGA founded in 1973.

19-03-2026

SPAR Group, Inc.'s wholly-owned subsidiary, SPAR Marketing Force, Inc., entered into a $4M unsecured loan with PC Group, Inc., effective March 13, 2026, with an initial $3M drawdown on March 16, 2026, and the remaining $1M available in July 2026. The loan bears 8% annual interest with monthly interest-only payments and full repayment due in 36 months on March 16, 2029, accompanied by the issuance of 1M shares of SGRP common stock valued at $800K to reduce principal (subject to adjustment if shares issued below $0.80). While providing liquidity, the arrangement introduces debt servicing costs, equity dilution, and SGRP's unconditional guarantee.

• ·Loan evidenced by Senior Unsecured Promissory Note effective March 13, 2026
• ·SGRP joined as unconditional guarantor
• ·Share issuance to occur within 30 days after Note execution, subject to securities laws
• ·Principal reduction from shares adjustable if SGRP issues shares below $0.80 per share during 36-month term

19-03-2026

On March 18, 2026, Greg B. Maffei, Chair of the Board of Directors, and Albert E. Rosenthaler, a member of the Board, notified Tripadvisor, Inc. that they will not stand for re-election at the Company's 2026 Annual Meeting of Shareholders. Their decisions to retire were not due to any disagreement with the Company's operations, policies, or practices. The Company thanked them for their valuable service.

• ·Event reported on Form 8-K filed March 19, 2026
• ·Tripadvisor, Inc. incorporated in Nevada, NASDAQ: TRIP

19-03-2026

Cheniere Energy, Inc. entered into a Registration Rights Agreement dated March 19, 2026, governing $1B of 5.200% Senior Notes due 2036 and $750M of 6.000% Senior Notes due 2056 issued pursuant to indentures with The Bank of New York Mellon as trustee and sold to initial purchasers led by Goldman Sachs & Co. LLC under a March 5, 2026 Purchase Agreement. The agreement requires the company to file an Exchange Offer Registration Statement within 360 days of the Issue Date to enable holders to exchange unregistered Initial Securities for registered Exchange Securities, or pursue a Shelf Registration if the exchange offer cannot be completed or certain holders remain ineligible. No comparative financial performance data is provided in the filing.

• ·Purchase Agreement dated March 5, 2026.
• ·Base Indenture, First Supplemental Indenture, and Second Supplemental Indenture all dated March 19, 2026.
• ·Exchange Offer Registration Statement to become effective within 360 days of Issue Date; offer to remain open not less than 20 Business Days.
• ·Shelf Registration Statement to remain effective for up to one year from Issue Date if triggered.

19-03-2026

Evofem Biosciences, Inc. (Buyer) and Windtree Therapeutics, Inc. (Supplier) mutually terminated their License and Supply Agreement (dated March 20, 2025, as amended) effective March 13, 2026, because Windtree failed to establish manufacturing capabilities for Evofem's Phexxi product. No termination fees are due to either party, with each bearing their own costs, but Windtree must immediately cease using Evofem's IP and return all confidential information and assets. This termination eliminates the supply arrangement without further obligations, potentially disrupting Evofem's Phexxi production.

• ·Agreement governed by Delaware law with exclusive jurisdiction in Delaware courts.
• ·Certain sections of the original License and Supply Agreement (per Section 11.6) survive termination.

19-03-2026

Reviva Pharmaceuticals Holdings, Inc. (RVPH) announced a proposed public offering of shares of common stock (or equivalents) and warrants, with net proceeds intended to fund R&D activities including the RECOVER-2 Phase 3 trial for brilaroxazine in schizophrenia, alongside working capital and general corporate purposes. A.G.P./Alliance Global Partners is acting as the sole placement agent. However, the offering is subject to market and other conditions, with no assurance as to completion, timing, size, or terms.

• ·Shelf registration statement on Form S-3 (File No. 333-276848) filed February 2, 2024, effective February 13, 2024.
• ·References risks in Form 10-K for year ended December 31, 2024, and 10-Qs for quarters ended March 31, 2025, June 30, 2025, and September 30, 2025.

19-03-2026

Vince Holding Corp. (through V OPCO, LLC) entered into a Second Amendment to its Credit Agreement on March 18, 2026, with Bank of America, N.A. as agent, amending definitions related to Eligible Trade Receivables. Key changes include adjusting the general Concentration Limit to 20% and specific limits to 50% for Nordstrom (and affiliates), 35% for TJX and Macy’s (and affiliates), and 30% for Saks Global (and affiliates), along with modifications for account debtors in bankruptcy proceedings. The amendment confirms no Default or Event of Default exists and maintains all existing obligations.

• ·Original Credit Agreement dated June 23, 2023.
• ·First Amendment to Credit Agreement dated January 22, 2025.
• ·Amendment also updates clause (j) of Eligible Trade Receivables to allow Agent discretion for accounts from debtors in Chapter 11 operating as debtor-in-possession with super priority lien/administrative claim.

19-03-2026

On March 17, 2026, Tigo Energy, Inc.'s Compensation Committee approved the annual Executive Short Term Incentive Plan (STI Plan) for key executives, including named executive officers, with cash bonuses based on revenue (37.5% weighting), Adjusted EBITDA (37.5% weighting), and individual performance (25% weighting), requiring at least 75% of targets for any payouts and capped at positive Adjusted EBITDA. Separately, CEO Zvi Alon and CFO Bill Roeschlein received one-time cash bonuses of $200,000 and $150,000, respectively, recognizing 2025 achievements such as early prepayment of a convertible promissory note and sale of licenses and patents. No financial declines or flat metrics were reported.

• ·STI Plan bonuses calculated with threshold at 75% of target (earning 75% of bonus), target at 100% (100% bonus), maximum at 150% (150% bonus), with linear interpolation between levels.
• ·Adjusted EBITDA defined as earnings before interest, taxes, depreciation, amortization, excluding stock-based compensation and merger expenses.
• ·STI Plan allows Compensation Committee discretion to pay bonuses in common stock (TYGO, par value $0.0001) based on 5-day average closing price.
• ·Common stock trades on Nasdaq under TYGO.

19-03-2026

Constellation Acquisition Corp I amended its promissory note with sponsor Constellation Sponsor LP on March 18, 2026, increasing the total principal amount from $2.25M to $5.25M via a $3M addition. The amendment also restates drawdown provisions, allowing up to $5.195M in additional aggregate funding until a business combination is consummated. No other changes to the note terms were made.

• ·Original promissory note dated January 30, 2024.
• ·First amendment dated June 5, 2025.
• ·Drawdowns funded within 3 business days of request; no fees on drawdowns.

19-03-2026

Corvex, Inc. announced the closing of an all-stock merger with Movano Inc. on March 19, 2026, pursuant to which Movano will be renamed Corvex, Inc. effective March 23, 2026, and continue trading on Nasdaq under 'MOVE'. Prior to the merger, Corvex and Movano raised $40.2 million to expand its AI infrastructure platform. The merger includes issuance of preferred stock convertible into common stock (Series B up to 19.9% ownership), a stock dividend of 0.358 shares per common share (record date March 30, 2026), and upcoming stockholder meeting by May 31, 2026, for approvals including conversions and leadership changes.

• ·Issued 240.562 shares of Series B Convertible Preferred Stock (auto-converts to 240,562,000 common shares on March 31, 2026).
• ·Issued 23,551.5195 shares of Series C Non-Voting Convertible Preferred Stock (conversion subject to stockholder approval; each converts to 1,000 common shares).
• ·Issued 30,227.0524 shares of Series D Non-Voting Convertible Preferred Stock (conversion subject to approval; each converts to 1,000 common shares; 4.99% ownership limit).
• ·2026 Stockholders’ Meeting no later than May 31, 2026, to vote on conversions, option exercises, director elections, auditor ratification, and equity incentive plans.
• ·Merger qualifies as tax-free reorganization under IRC Section 368(a).

19-03-2026

RCI Hospitality Holdings, Inc. filed its 10-K reporting FY25 revenues of $279.4M, down 5.5% YoY from $295.6M, with Nightclubs segment nearly flat at $242.5M (-0.6% YoY) despite a 4.4% SSS decline in 4Q25, while Bombshells revenues plunged 29.2% YoY to $35.8M due to divestitures and 19.5% SSS drop. 4Q25 revenues fell 3.1% to $70.9M, with Adjusted EBITDA dropping to $52.6M from $72.6M YoY; however, net income attributable to common stockholders improved to $10.8M from $3.0M, supported by lower impairments and share repurchases reducing outstanding shares by 14% to 7.71M.

• ·Corporate expenses $15.4M in 4Q25 (21.8% of revenues) vs $7.1M (9.7%) YoY, driven by legal accrual.
• ·Impairments and other charges $3.7M in 4Q25 vs $10.1M YoY; FY25 $5.9M vs $36.6M.
• ·Free cash flow FY25 $45.4M vs $48.4M (flat).
• ·X Spaces call at 4:30 PM ET on March 19, 2026.

19-03-2026

Global Interactive Technologies, Inc. (GITS) announced the resignation of Juhyon Shin as Chief Financial Officer on December 22, 2025, with the company confirming no disagreements on financial reporting, accounting, or disclosure matters. Following the resignation, the Board approved engagement of an external financial consultant to lead preparation of financial statements and coordinate the ongoing audit process. The company continues efforts to complete and file its Annual Report on Form 10-K.

• ·Company headquartered at 160, Yeouiseo-ro, Yeongdeungpo-gu, Seoul, Republic of Korea 07231
• ·Common Stock trades on Nasdaq under symbol GITS, par value $0.001 per share
• ·Emerging growth company status

19-03-2026

Stephen Donnarumma, Chief Credit Officer of Assured Guaranty Ltd. (AGL), notified the company on March 13, 2026, of his decision to retire effective September 30, 2026, after joining in 1993 and serving as CCO of AGL since 2018. From October 1, 2026, to April 2, 2027, he will continue as a senior advisor to the CEO. The company acknowledged his more than three decades of dedicated service and significant contributions.

• ·Served as Chief Credit Officer of Assured Guaranty Inc. since 2007
• ·Common Shares: $0.01 par value per share, traded as AGO on NYSE

19-03-2026

Humacyte, Inc. announced the pricing of a $20M registered direct offering of 25M shares of common stock, led by a new life science investor and a long-only mutual fund, with gross proceeds expected before deducting expenses. Net proceeds will fund Symvess commercialization in vascular trauma, a BLA supplement filing for hemodialysis including upcoming Phase 3 readout, pipeline development, and general corporate purposes. The offering is expected to close on or about March 20, 2026.

• ·Shelf registration statement (Form S-3 No. 333-290231) filed September 12, 2025, declared effective September 22, 2025
• ·United States commercial launch of Symvess commenced in Q1 2025
• ·Titan Partners acting as sole placement agent

19-03-2026

On March 19, 2026, the Boards of Directors of Mercantile Bank Corporation and its subsidiary Mercantile Bank adopted the 2026 Executive Officer Bonus Plan, establishing a target bonus pool of $1.21M scalable up to a maximum of $1.81M based on performance against six metrics: earnings per share (25-37.5% weight), return on assets (25-37.5%), net interest margin (12.5-18.75%), efficiency ratio (12.5-18.75%), non-performing assets (12.5-18.75%), and loans-to-deposits (12.5-18.75%). The plan covers six executives including CEO Raymond E. Reitsma, with maximum payouts as a percentage of 2026 salary ranging from 52.5% for the Chief HR Officer to 90% for the CEO. Bonuses, if earned, will be paid pro rata on or before March 15, 2027, subject to clawback provisions.

• ·Bonus pool allocation uses linear interpolation between target and maximum performance levels for each metric.
• ·Each metric must meet target level to contribute its percentage to the bonus pool; example calculations provided for partial achievement.
• ·Adjustments to maximum bonus pool for new hires, salary changes, or ineligibility before December 31, 2026.
• ·Plan may be amended by Compensation Committee and includes clawback provisions.

19-03-2026

Alpha Star Acquisition Corp filed an 8-K on March 19, 2026, disclosing entry into a material definitive agreement (Item 1.01), creation of a direct financial obligation (Item 2.03), and financial statements/exhibits (Item 9.01). This appears related to a potential merger or acquisition activity for the SPAC. No quantitative financial details, period-over-period comparisons, or performance metrics were provided in the filing summary.

• ·Filing CIK: 0001865111
• ·SIC: 7372 (SERVICES-PREPACKAGED SOFTWARE)
• ·Business Address: 100 CHURCH STREET 8TH FLOOR, NEW YORK NY 10007
• ·Fiscal Year End: December 31

19-03-2026

Verde Renewables Inc., a wholly owned subsidiary of Verde Resources, Inc., entered into a Supply Agreement with Biochar Solutions LLC on March 14, 2026, designating BSL as the exclusive U.S. supplier of up to 38,500 tons of engineered biochar annually for asphalt and road construction applications, with at least 50% qualifying for carbon removal credits and revenue sharing on credits. The parties plan to jointly file and own a U.S. patent for their engineered biochar blend and intend to negotiate a subsequent 5-year agreement after the initial 18-month term. No financial performance metrics or declines were reported.

• ·BSL to forward leads for biochar-based or low emissions asphalt exclusively to Verde
• ·Agreement term: 18 months initial period, then month-to-month if no Subsequent Agreement
• ·Termination: 60 days prior written notice for any reason or 15 days to cure material breach
• ·Subsequent Agreement: 5-year term, renewable for additional 5 years with 120 days notice

19-03-2026

SmartKem, Inc., a Delaware corporation with UK offices, entered into a Securities Purchase Agreement dated as of 2026 for the issuance and sale of senior secured notes with an aggregate original principal amount of $3.75M to accredited investors under Regulation D exemptions. Buyers will pay $700 for each $1,000 of principal, providing the company with immediate cash proceeds at a discount while the notes rank senior to all other indebtedness and are secured by first-priority liens on all existing and future assets of the company and its subsidiaries, including pledges of subsidiary stock. No financial performance comparisons or declines are disclosed in the agreement.

• ·Closing to occur at 10:00 a.m. New York time on the first Business Day conditions are met at offices of Meister Seelig & Fein PLLC, 125 Park Avenue, 7th Floor, New York, NY 10017
• ·Notes issued in reliance on Section 4(a)(2) of the 1933 Act and Rule 506(b) of Regulation D
• ·Purchase price paid by wire transfer per Flow of Funds Letter; company delivers executed Notes registered to Buyers
• ·Subsidiaries provide guaranties; security via Security Agreement, Perfection Certificate, and other Security Documents

19-03-2026

The AES Corporation entered into amendments to three credit agreements on March 13 and 16, 2026: Amendment No. 2 to the Citi Credit Agreement (dated September 24, 2021), First Amendment to the SMBC Credit Agreement (dated December 6, 2024), and Amendment No. 1 to the Barclays Letter of Credit Agreement (dated December 8, 2025). These amendments modify change of control provisions to permit ownership by Global Infrastructure Management, LLC, EQT Fund Management S.à r.l., Qatar Investment Authority, and affiliates, following the March 2, 2026 announcement of a merger agreement with Horizon Parent, L.P. and Horizon Merger Sub, Inc. No financial terms or impacts from the amendments are disclosed in the filing.

• ·Citi Second Amendment executed March 13, 2026 (Exhibit 10.1)
• ·SMBC First Amendment executed March 16, 2026 (Exhibit 10.2)
• ·Barclays First Amendment executed March 16, 2026 (Exhibit 10.3)
• ·Filing signed March 19, 2026

19-03-2026

Anna Sedgley, Chair of the Audit Committee and Board member since February 2021, resigned from the Board of Directors of FiscalNote Holdings, Inc. effective March 19, 2026, to focus on other professional commitments, with no disagreement on company operations, policies, or practices. The company expressed gratitude for her service. The resignation was notified on March 15, 2026.

19-03-2026

Lara Sweet, a Class III Director of MediaAlpha, Inc., notified the company on March 16, 2026, that she will not stand for reelection at the 2026 Annual Meeting of Stockholders, ending her term on May 5, 2026, for personal reasons with no disagreements on operations, policies, or practices. The Board has begun searching for a replacement, and Kathy Vrabeck will serve as interim Chair of the Audit Committee. On March 13, 2026, the Compensation Committee approved 2026 LTI compensation changes for executives, allocating 25% to performance-based RSUs tied to annual Adjusted EBITDA goals over FY2026-2028 and 75% to time-based RSUs.

• ·Kathy Vrabeck has been an Audit Committee member since 2020 and is an 'audit committee financial expert' per SEC rules.
• ·PRSUs earned based on separate FY2026, FY2027, FY2028 Adjusted EBITDA performance (one-third each), with continued service vesting through end of three-year period.
• ·PRSU payout: linear interpolation between threshold (50% vesting) and maximum (200% vesting); no vesting below threshold.
• ·Full PRSU Award Agreement filed as Exhibit 10.1.

19-03-2026

Wolfspeed announced private placements for $379M aggregate principal of 3.5% Convertible 1.5 Lien Senior Secured Notes due 2031 and $96.9M in common stock (3,250,030 shares) and pre-funded warrants (for 2M shares), expecting total gross proceeds of $475.9M. Proceeds will redeem $475.9M of outstanding higher-cost Senior Notes, reducing annual interest expense and total debt to strengthen the balance sheet. This supports diversification into emerging markets like AI data centers, industrial and energy, and aerospace/defense.

• ·Subscription agreements entered March 19, 2026; settlement expected March 26, 2026
• ·Notes mature March 15, 2031; interest payable semi-annually starting September 15, 2026
• ·Initial conversion rate: 49.6623 shares per $1,000 principal (approx. $20.14 conversion price)
• ·Closing price March 18, 2026: $16.78 per share
• ·Notes secured by substantially all assets of Wolfspeed and Guarantor

19-03-2026

Cantor Equity Partners III, Inc. (CAEP), a blank check company, appointed Eric Stone as a Class I director and member of the audit and compensation committees, effective March 17, 2026. Mr. Stone brings extensive investment management experience as Partner and Portfolio Manager at Iridian Asset Management LLC, managing the Iridian Mid-Cap Equity and Iridian Eagle portfolios. The Board approved annual compensation of $50,000 for Mr. Stone, paid quarterly, with no family relationships to other directors or officers.

• ·Eric Stone, age 47, joined Iridian in 2012 and serves on its Executive Committee.
• ·Prior to Iridian, Mr. Stone was a portfolio manager at Plural Investments.
• ·Mr. Stone holds a Bachelor of Science in Industrial and Labor Relations from Cornell University.
• ·Filing date: March 19, 2026; Event date: March 17, 2026.

19-03-2026

Genelux Corporation entered into a Sales Agreement with TD Securities (USA) LLC (TD Cowen) on March 19, 2026, enabling the company to offer and sell up to $100M in common stock via at-the-market offerings pursuant to an effective S-3 Registration Statement. Proceeds are intended for general corporate purposes, including research and development, clinical trials, capital expenditures, and working capital. TD Cowen will receive compensation of up to 3.0% of gross proceeds, with customary termination rights for both parties.

• ·Sales Agreement filed as Exhibit 1.1; Legal opinion of Cooley LLP as Exhibit 5.1
• ·Registration Statement on Form S-3 (File No. 333-276847) filed February 2, 2024, effective February 13, 2024
• ·Prospectus supplement to be filed with SEC on March 19, 2026

19-03-2026

LeonaBio, Inc. filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation, increasing authorized shares to 500,000,000 total (400,000,000 Common Stock and 100,000,000 Preferred Stock, both with $0.0001 par value), effective March 18, 2026, at 11:59 pm ET. The amendment was adopted by the Board of Directors and stockholders. No financial performance metrics or period-over-period comparisons are provided.

• ·Originally incorporated as M3 Biotechnology, Inc. on October 27, 2015.
• ·Amendment signed on March 18, 2026.

19-03-2026

Clear Secure, Inc. announced on March 19, 2026, that Lynn Haaland, its General Counsel, will depart the company on April 3, 2026. In consideration for her services, the company agreed to provide her with an additional 12 months of salary. No successor has been named in the filing.

• ·Agreement reached on March 19, 2026
• ·Departure effective date: April 3, 2026

19-03-2026

On March 18, 2026, OPKO Health, Inc. appointed Subbarao V. Uppaluri, Ph.D., its former Senior Vice President and Chief Financial Officer (2007-2012), as a new independent director to fill the vacancy created by the passing of Dr. Richard Krasno, effective immediately until the 2026 Annual Meeting of Stockholders. The Board determined Dr. Uppaluri's independence under SEC and Nasdaq rules, and he is expected to join the Compensation Committee with no arrangements influencing his selection or material transactions since the last fiscal year. He will receive standard non-employee director compensation as outlined in the 2025 Proxy Statement.

• ·Dr. Uppaluri served as Vice President, Strategic Planning and Treasurer of IVAX from 1997 to 2006.
• ·Dr. Uppaluri previously served on boards including Non-Invasive Monitoring Systems, Inc. (2008-2025).
• ·Standard director indemnification agreement entered, form filed as Exhibit 10.3 to 2019 Form 10-K.

19-03-2026

Collegium Pharmaceutical, Inc. (Nasdaq: COLL) announced a definitive agreement to acquire the AZSTARYS ADHD treatment business from Corium Therapeutics for $650M in cash plus up to $135M in commercial and regulatory milestones, funded by cash on hand and a $300M delayed draw term loan. The acquisition, expected to close in Q2 2026, is projected to generate over $50M in pro forma net revenue for AZSTARYS in H2 2026, deliver >$50M in annual run-rate synergies within 12 months, and be immediately accretive to adjusted EBITDA while extending patent protection to 2037. AZSTARYS generated over 760,000 prescriptions in 2025, complementing Collegium's existing JORNAY PM® ADHD portfolio.

• ·Expected net leverage approximately 2x post-close based on 2026 combined adjusted EBITDA
• ·Term loan interest rate: SOFR plus 3.25% upon closing
• ·AZSTARYS supported by six Orange Book-listed patents, most expiring December 2037
• ·Conference call held March 19, 2026 at 9:00 a.m. ET

19-03-2026

Dynamic Aerospace Systems Corporation appointed Robin Hoops, CPA-CA, as permanent Chief Financial Officer on March 16, 2026, after serving in the interim role since January 20, 2026. Ms. Hoops brings over 20 years of experience in accounting, finance, SEC filings, and technical accounting for public companies. Compensation includes an initial annual base salary of $185,000 for the first six months, increasing to $200,000 thereafter, plus 500,000 restricted stock units (RSUs) subject to vesting.

• ·Ms. Hoops holds a Bachelor of Commerce in Accounting from University of Calgary Haskayne School of Business and a Master of Science in Criminal Justice from Saint Joseph’s University.
• ·No family relationships or material interests in transactions under Item 404(a) of Regulation S-K.
• ·Definitive employment agreement in process as of filing date.

19-03-2026

On March 17, 2026, Darron M. Anderson, a Director on Tidewater Inc.'s Board and member of the Audit Committee and Safety & Sustainability Committee, notified the Board of his intent not to stand for reelection at the 2026 Annual Meeting of Stockholders. His decision did not result from any disagreement with the company's operations, policies, or practices, and he will continue in his role until the expiration of his current term. In connection with this, the Board size will be reduced from eight to seven Directors.

19-03-2026

Twin Vee PowerCats Co. (NASDAQ: VEEE) announced the pricing of a best-efforts at-the-market offering of 4,473,000 shares of common stock at $0.38 per share under Nasdaq rules, expecting gross proceeds of approximately $1.7 million before fees and expenses. The offering is anticipated to close on March 17, 2026, subject to customary conditions, with net proceeds intended for working capital and general corporate purposes. ThinkEquity is serving as the sole placement agent.

• ·Shelf registration statement on Form S-3 (File No. 333-293911) filed February 27, 2026, and declared effective March 5, 2026.
• ·Company located in Fort Pierce, Florida, with 30 years of building and selling boats.

19-03-2026

HyOrc Corporation entered into a Securities Purchase Agreement with GS Capital Partners, LLC on March 13, 2026, issuing a Convertible Promissory Note with $150,000 principal, $11,000 original issue discount, netting $139,000 before ~$4,000 expenses. The note matures September 13, 2026, and is convertible into common stock at 77% of the lowest trading price over the prior 10 trading days, with 250,000 returnable shares issued as collateral and up to 5,000,000 shares reserved for conversion. The transaction relied on exemptions under Section 4(a)(2) and Regulation D for unregistered securities.

• ·Note issued in reliance on Section 4(a)(2) of Securities Act and/or Regulation D.
• ·Irrevocable Transfer Agent Instruction Letter executed with Investor and transfer agent.
• ·Exhibits include SPA (10.1), Note (10.2), Transfer Agent Instruction (10.3), and Reserve Letter (10.4).

19-03-2026

On March 17, 2026, Ashford Hospitality Trust, Inc. completed the sale of its 157-room La Posada de Santa Fe hotel for approximately $56.8 million in net cash proceeds, using $56.0 million to partially repay the mortgage debt secured by La Posada and another property. Pro forma balance sheet as of September 30, 2025 reflects reduced total assets to $2.96B and net hotel properties to $2.15B. For the year ended December 31, 2024, pro forma total revenue declined 1.5% to $1.15B after removing La Posada's $17.9M contribution, but net loss attributable to common stockholders improved 17% to $68.5M; for the nine months ended September 30, 2025, pro forma revenue fell 1.6% to $832.2M while loss per share remained flat at $(23.38).

• ·Pro forma gain on disposition included in YE Dec 31, 2024 adjustments: $12.6M
• ·La Posada contributed $17.9M revenue and $1.9M operating income in YE Dec 31, 2024
• ·Pro forma EPS basic YE Dec 31, 2024 improved from $(17.54) to $(14.55)