US Material Events SEC 8-K Filings — March 27, 2026

27-03-2026

AnaptysBio's Board of Directors approved the spin-off of First Tracks Biotherapeutics, Inc., with a distribution date of April 20, 2026 (record date April 6, 2026), providing Anaptys stockholders one share of First Tracks Bio (ticker: TRAX) common stock per Anaptys (ANAB) share held. First Tracks Bio will launch as a clinical-stage biotech with $180 million initial cash ($100 million from Anaptys, $80 million from private placement), a two-year cash runway, and a pipeline including ANB033 (Phase 1b), rosnilimab (Phase 2b completed), and ANB101 (Phase 1a). Daniel Faga will serve as CEO of both companies post-spin-off, with additional leadership including Paul Lizzul (CMO), Ben Stone (CBO), and incoming CFO Ajim Tamboli.

• ·Spin-off distribution expected April 20, 2026, pre-market; record date April 6, 2026.
• ·When-issued trading for TRAX begins on or about April 6, 2026; regular-way trading April 20, 2026.
• ·U.S. federal income tax purposes: distribution expected to be taxable for Anaptys.
• ·No action required by Anaptys stockholders; no payment or share surrender needed.
• ·Ajim Tamboli (>25 years experience) starts as CFO on April 20, 2026.
• ·Investor contact: Nick Montemarano, 858.732.0178, investors@anaptysbio.com

27-03-2026

Delek Logistics Partners, LP entered into a new Credit Agreement dated March 26, 2026, with Truist Bank as Administrative Agent, various lenders including Bank of America, N.A., Citizens Bank, N.A., The Huntington National Bank, Mizuho Bank, Ltd., MUFG Bank, Ltd., and Wells Fargo Bank, N.A. as Co-Syndication Agents, and Barclays Bank PLC, KeyBanc Capital Markets Inc., and Regions Bank as Co-Documentation Agents. The agreement refinances the prior Fourth Amended and Restated Credit Agreement dated October 13, 2022, with Fifth Third Bank as prior agent, and supports revolving loans, letters of credit, swing loans for working capital, investments, capital expenditures, restricted payments, and general corporate purposes. No specific facility size or terms changes indicate improvements or declines.

• ·SEC 8-K filing dated March 27, 2026, covering Items 1.01, 1.02, 2.03, 9.01
• ·Effective Date Refinancing of prior indebtedness under October 13, 2022 agreement
• ·Includes collateral, guaranties, financial covenants, and standard events of default

27-03-2026

Forum Markets, Incorporated (formerly ETHZilla Corp, ticker FRMM), through its subsidiary ETHZilla Modular Mortgage LLC, entered into a Master Loan Purchase Agreement and Master Loan Servicing Agreement with Zippy Loans, LLC, committing to purchase up to $150,000,000 in manufactured home chattel loans over a five-year term on a revolving basis. The first Purchase Commitment covers up to $15,000,000 through June 30, 2026, with an initial acquisition of 31 loans for $1,436,710.67 funded by cash on hand. The company holds approximately 15% ownership in Zippy, Inc., the parent of Zippy Loans.

• ·Loans must meet eligibility criteria including FICO score, loan-to-value ratio, loan size, loan term, and geographic concentration.
• ·Acquisition of Initial Loans determined to be assets, not a business; no financial statements or pro forma information required under Item 9.01.
• ·Zippy Loans to service purchased Loans with tiered servicing fee based on FICO score and minimum monthly fee.
• ·MLPA and MLSA effective March 23, 2026; filed as Exhibits 10.1, 10.2, and 10.3.

27-03-2026

Genco Shipping & Trading Limited filed an 8-K on March 27, 2026, under Items 5.02 and 9.01, attaching as Exhibit 10.1 its Employee Retention Plan, previously disclosed in a Form 8-K on February 13, 2026. The filing incorporates the prior description by reference and was signed by Chief Financial Officer Peter Allen. No officer departures, elections, or new compensatory arrangements are detailed beyond the referenced plan.

27-03-2026

RenovoRx, Inc. appointed Ramtin Agah, M.D., its Chief Medical Officer and Chairman of the Board, to the newly created position of Executive Chairman, effective February 27, 2026, via an offer letter dated March 24, 2026. The agreement sets Dr. Agah's annualized base salary at $450,000 (effective January 1, 2026, for at least 30 hours per week), with eligibility for a discretionary annual bonus up to 40% of base salary (first payable in 2027) and annual equity grants under the 2021 Omnibus Equity Incentive Plan. Employment is at-will, with customary confidentiality, IP, and severance provisions remaining in effect.

• ·Appointment formalized by Board on March 24, 2026; offer letter amends and restates prior Consulting Agreement dated January 1, 2018.
• ·Amended and Restated Change in Control and Severance Agreement dated November 10, 2025 remains in full force.
• ·Base salary payable semi-monthly based on minimum 30 hours worked per week.
• ·Equity awards subject to 2021 Omnibus Equity Incentive Plan (or successor) with vesting tied to continued service.

27-03-2026

First Watch Restaurant Group, Inc. terminated the employment of Dan Jones, its Chief Operations Officer, on March 27, 2026, as part of a restructuring of its operations leadership structure. Post-separation, the Company's operations leadership will report directly to the President and Chief Executive Officer. The Company recognized Mr. Jones' substantial contributions during a transformational period.

27-03-2026

Two Harbors Investment Corp. (TWO) announced a definitive merger agreement to be acquired by an affiliate of CrossCountry Mortgage (CCM) for $10.80 per share in cash, terminating its prior merger agreement with UWM Holdings Corporation dated December 17, 2025, and agreeing to pay a $25.4 million termination fee to UWM. The transaction, unanimously approved by TWO's board and recommended for stockholder approval, is expected to close in the second half of 2026, subject to customary conditions including regulatory approvals, with no financing condition. Holders of TWO's preferred stock will be redeemed at $25.00 per share plus accumulated dividends, while TWO plans to continue regular quarterly dividends prior to closing but no partial dividend in the closing quarter.

• ·TWO's prior stockholder meeting scheduled for April 7, 2026, to approve UWM merger has been canceled.
• ·Transaction not subject to financing condition; TWO common stock to be delisted from NYSE upon closing.
• ·Advisors: Houlihan Lokey (financial) and Jones Day (legal) for TWO; Citigroup (financial) and Simpson Thacher & Bartlett (legal) for CCM.

27-03-2026

On March 24, 2026, William P. Rowland resigned from the Board of Directors, including all committees, and as Interim Chief Financial Officer of One World Products, Inc., citing ongoing health issues with no disagreements on operations, policies, or practices. Isiah L. Thomas, III, the Company's CEO, has assumed the CFO duties on an interim basis until a successor is appointed. The 8-K was filed on March 27, 2026, including the resignation letter as Exhibit 17.1.

• ·Resignation effective March 24, 2026 (earliest event reported).
• ·Company address: 6605 Grand Montecito Pkwy, Suite 100, Las Vegas, Nevada 89149.
• ·Commission file number: 000-56151; I.R.S. Employer Identification No.: 61-1744826.

27-03-2026

Cyber Enviro-Tech, Inc. (CETI) entered into an Equity Purchase Agreement with Monroe Street Capital Partners, LP on March 20, 2026, providing the right to sell up to $30,000,000 of common stock over a 24-month Commitment Period, subject to conditions including put notices with minimum $25,000 and maximum $500,000 per put. As consideration, CETI issued 3,000,000 Initial Commitment Shares immediately and agreed to issue additional 3,000,000 Fulfillment Commitment Shares upon each of the first three $2,500,000 gross proceeds milestones. Concurrently, a Registration Rights Agreement requires filing a resale registration statement within 30 days and maintaining its effectiveness.

• ·Commitment Period: 24 months from March 20, 2026, or earlier termination events.
• ·Registration Statement filing deadline: within 30 calendar days after March 20, 2026.
• ·Registration effectiveness target: within 90 calendar days after filing.
• ·Common Stock trading symbol: CETI on OTCQB.
• ·Principal Executive Offices: 6991 E. Camelback Road, Suite D-300, Scottsdale, Arizona 85251.

27-03-2026

KKR Enhanced US Direct Lending Fund-L Inc., as Collateral Manager, and KKR Enhanced US EVDL Funding LLC, as Borrower, entered into Amendment No. 2 to the Loan and Servicing Agreement dated March 23, 2026, amending the original April 1, 2024 agreement with Citibank, N.A. as Administrative Agent and The Bank of New York Mellon Trust Company, National Association as Collateral Agent. The amendment updates the conformed Loan and Servicing Agreement to provide a secured revolving credit facility of up to U.S.$1,250,000,000 for financing Eligible Collateral Assets. No Events of Default were reported, and all representations and warranties remain true and correct post-amendment.

• ·Amendment effective upon execution, delivery of good standing certificate, board resolutions, and legal opinion from Dechert LLP.
• ·Original Loan and Servicing Agreement dated April 1, 2024.
• ·Governed by New York law.

27-03-2026

On March 23, 2026, Michael Salvator resigned as Director (including from Compensation and Audit Committees) and Jonathan Darnell resigned as Chief Financial Officer, both effective immediately and without any disagreements with the Board on operations, policies, or practices. On March 26, 2026, the Board elected Andrew Schoff as Director (to serve on Compensation and Audit Committees) and appointed Andrea Dobi as Chief Financial Officer, both effective immediately. No family relationships, arrangements, or related-party transactions under Item 404(a) of Regulation S-K were disclosed for the new appointees.

• ·Andrew Schoff, age 44, Founder and CIO of S3 Management LLC; previously Founding Partner at Tide Point Capital, Senior Analyst at Harbor Watch Capital and Diamondback Capital, Associate at Prudential Equity Group; B.A. in Economics from Hamilton College.
• ·Andrea Dobi, age 52, COO of AltEnergy, LLC since September 2009; previously at J.H. Whitney & Co.; graduated from Fairfield University.
• ·Company is an emerging growth company.
• ·Securities trade on OTC Pink Open Market: AEAEU (Units), AEAE (Class A common stock), AEAEW (Warrants).

27-03-2026

Fuel Tech, Inc. announced its 2026 Corporate Incentive Plan (CIP), effective January 1, 2026, which provides annual cash bonuses to eligible U.S., European, and Canadian employees based on company Operating Income and individual performance, superseding prior bonus programs. No payouts occur unless Operating Income reaches a $250,000 threshold, with the incentive pool funded at 25% of Operating Income thereafter, capped at $3 million. Payouts are calculated using a formula incorporating base wages, target bonus factors, and realization percentages, with executives automatically at 100%.

• ·Eligible Employees exclude Sales Group members and those with separate ineligibility agreements; must be employed on December 31, 2026, for full payout eligibility (pro-rata for involuntary termination not for cause, death, or Disability).
• ·Individual Objectives communicated by April 15, 2026; Target Bonus Factors also by April 15, 2026.
• ·Plan administered by Compensation Committee with full discretion to amend or cancel at any time.
• ·Operating Income defined before impact of incentive pay but including sales commissions.

27-03-2026

On March 26, 2026, Traeger, Inc.'s Board of Directors reviewed the 2025 annual cash incentive program and determined that performance goals were not achieved, resulting in no payments to the company's named executive officers. Despite this, the Board awarded discretionary cash bonuses of $956,250 to CEO Jeremy Andrus and $270,938 to CFO Michael Joseph (Joey) Hord for their 2025 contributions and to promote retention. No departures, elections, or appointments of directors or officers were reported.

• ·Event reported on Form 8-K filed March 27, 2026, under Item 5.02 for Compensatory Arrangements of Certain Officers

27-03-2026

Cartesian Growth Corporation III (CGC), a SPAC, entered into an Amendment to its Business Combination Agreement dated December 17, 2025, with Merger Sub (Fenway MS, Inc.) and Factorial Inc., effective March 26, 2026. The amendments adjust the timing of CGC Shareholder Redemption to occur at least one day prior to Domestication, update definitions including Ancillary Documents, Company Convertible Notes, Required Transaction Proposals, and Nasdaq Proposals, add pre-Domestication actions, and reserve Sections 5.21 and 5.22. No financial terms or impacts are disclosed in the amendment.

• ·Original Business Combination Agreement dated December 17, 2025
• ·Amendment governed by New York law with exclusive jurisdiction in New York courts
• ·Includes updates to Preamble paragraphs regarding Shareholder Redemption and Registration Rights Agreement

27-03-2026

On March 25, 2026, Honda Canada Finance Inc. (HCFI), a subsidiary of American Honda Finance Corp., executed the Second Amendment to its C$2,000,000,000 ($1,455,498,144.20 USD) Third Amended and Restated Credit Agreement, extending the Tranche A commitment termination date from March 25, 2026, to March 25, 2027 (up to C$1,000,000,000 or $727,749,072.12 USD), and Tranche B from March 25, 2027, to March 25, 2029 (up to C$1,000,000,000 or $727,749,072.12 USD). The amendment also permits further extension of Tranche B commitments up to three years upon HCFI request and updates a reference date in Section 8.4 from March 31, 2024, to March 31, 2025. No declines or flat metrics reported; the changes enhance liquidity access.

• ·Exchange rate used for USD conversions: 1.3741 CAD per USD as of March 23, 2026.
• ·Amendment filed as Exhibit 10.1.

27-03-2026

On March 22, 2026, Totaligent, Inc. entered into an Extension Amendment to its Binding Letter of Intent dated February 22, 2026, with GloMed Solutions Limited Liability Company, extending the target dates for negotiating definitive agreements (including joint venture and IP assignment agreements) and closing the proposed transaction to April 22, 2026. The binding exclusivity period under the LOI is also extended through April 22, 2026. All other terms of the LOI, which outlines a joint venture formation and a call option for Totaligent to acquire GloMed's business, operations, IP, and assets, remain unchanged.

• ·Original LOI disclosed in 8-K filed February 23, 2026
• ·Extension Amendment filed as Exhibit 10.1

27-03-2026

Rumble Inc. announced that effective March 31, 2026, Mike Masci, formerly VP of Product Management at Intel Corporation, will succeed Brandon Alexandroff as CFO, with Alexandroff transitioning to Strategic Advisor to the CEO. CEO Chris Pavlovski highlighted Masci's expertise in AI, cloud infrastructure, and finance as ideal for scaling Rumble's platform and pursuing AI opportunities from the pending Northern Data acquisition. The announcement underscores continuity with Alexandroff's ongoing involvement.

• ·Rumble founded in 2013 and headquartered in Longboat Key, Florida.
• ·Masci previously served as Group CFO of Intel's Datacenter Network Platforms Group and holds a Finance degree from Arizona State University.

27-03-2026

PMGC Holdings Inc.'s wholly-owned subsidiary Northstrive Biosciences Inc. entered into the Third Amendment to its License Agreement with MOA Life Plus Co., Ltd. on March 24, 2026, amending Exhibit C to update development milestones and timelines for the human health field, including pre-clinical studies, IND submission, and Phases 1-3 trials leading to FDA marketing approval (specific timelines redacted). The amendment includes a provision allowing Northstrive to potentially skip the Phase 1 clinical trial for the licensed product BLS-M22 and proceed directly to Phase 2 under certain conditions, with the associated milestone payment combined. As consideration, PMGC must pay a one-time, non-creditable, non-refundable amendment fee (amount redacted) upon execution and within 30 days.

• ·Original License Agreement dated April 30, 2024; First Amendment in March 2025 expanding field to animal health; Second Amendment on May 12, 2025 clarifying animal health provisions.
• ·Assignment of original agreement from PMGC to Northstrive on February 28, 2025.

27-03-2026

On March 26, 2026, Dr. Annalisa Jenkins informed Mereo BioPharma Group plc that she will not stand for re-election as a Director at the 2026 annual general meeting of shareholders on May 14, 2026, and will serve out the remainder of her term until then. Her decision did not result from any disagreement with the Company or the Board on matters relating to operations, policies, or practices. The filing was signed by Charles Sermon, General Counsel.

• ·Event reported date: March 26, 2026
• ·Filing date: March 27, 2026
• ·Securities: American Depositary Shares (MREO) on Nasdaq, each representing five Ordinary Shares (£0.003 par value)

27-03-2026

On March 24, 2026, Sanjay Mehrotra informed CDW Corporation that he will not stand for reelection at the company's 2026 Annual Meeting of Stockholders. Mr. Mehrotra will continue to serve through the remainder of his current term. His decision was not related to any disagreement with the company on any matter relating to its operations, policies, or practices.

• ·Filing date: March 27, 2026
• ·Date of earliest event reported: March 24, 2026

27-03-2026

Pluri Inc. entered into a Securities Purchase Agreement on March 25, 2026 (effective March 24, 2026) with Chutzpah Holdings LP, beneficially owned by director Alexandre Weinstein, for a private placement of 625,000 common shares and warrants to purchase 625,000 common shares at a combined price of $4.00 per unit, expected to yield gross proceeds of $2.5 million for working capital and general corporate purposes. The offering is set to close by end of April 2026, with warrants exercisable immediately at $4.25 per share for 18 months, subject to a 35% beneficial ownership limit. No declines or flat metrics reported in this financing announcement.

• ·Warrants exercisable at $4.25 per share until 18-month anniversary of closing.
• ·Securities exempt under Section 4(a)(2) of Securities Act and Rule 903 of Regulation S.
• ·Closing subject to customary conditions, expected end of April 2026.

27-03-2026

Streamex Corp. refuted inaccurate third-party claims from March 23, 2026, attributing to S&P Capital IQ on MarketScreener, which alleged 89,833,535 shares under lock-up agreements expiring March 24, 2026; the Company clarified that only 42,887,599 shares were subject to customary 60-day lock-ups from the January 26, 2026 financing. Co-Founders Morgan Lekstrom and Henry McPhie voluntarily entered into new 1-year lock-up agreements on March 26, 2026, agreeing not to sell or transfer any common stock shares without Company consent, demonstrating strong shareholder alignment amid GLDY launch. No declines or flat metrics reported in this non-financial clarification.

• ·Prior lock-up agreements dated January 22, 2026, for 60 days tied to confidentially marketed public offering on January 26, 2026, with all issued shares freely tradable.
• ·No executive officers, directors, or others held warrants, options, preferred stock, or other securities under the referenced lock-ups.
• ·January 26, 2026 financing shares not subject to any lock-up restrictions.

27-03-2026

At the 2026 Annual Meeting on March 25, 2026, Concentrix Corporation shareholders elected all nine director nominees with strong support, ranging from 51,525,159 to 52,102,002 'For' votes each, amid 211,159 to 788,002 'Withhold' votes. Stockholders ratified Ernst & Young LLP as auditors for fiscal 2026 with 56,049,937 'For' votes versus 453,129 'Against', approved named executive officer compensation on an advisory basis with 50,867,486 'For' versus 1,372,520 'Against', and approved an amendment to the 2020 Stock Incentive Plan adding 3,700,000 shares with 36,462,977 'For' versus a notable 15,803,365 'Against'. Broker non-votes totaled 4,290,089 across director and compensation proposals.

• ·All nine directors received between 51,525,159 and 52,102,002 'For' votes, with 'Withhold' votes ranging from 211,159 to 788,002.
• ·Advisory vote on executive compensation: 50,867,486 For, 1,372,520 Against, 73,155 Abstain.
• ·Auditor ratification abstain votes: 100,184.
• ·Plan amendment abstain votes: 46,819.

27-03-2026

Norwegian Cruise Line Holdings Ltd. (NCLH) announced the appointment of five new independent directors effective March 31, 2026—Alex Cruz, Kevin A. Lansberry, Steve Pagliuca, Brian P. MacDonald, and Jonathan Z. Cohen—following a cooperation agreement with Elliott Investment Management L.P. to enhance board refreshment and shareholder value. Four directors—Stella David, David M. Abrams, Harry C. Curtis, and Mary E. Landry—will resign, resulting in a nine-member board with eight independents; John W. Chidsey is appointed Chairman and Alex Cruz as Lead Independent Director. The changes aim to improve execution amid strategic growth, with NCLH's fleet at 35 ships and nearly 75,000 Berths, planning 16 more ships adding over 43,000 Berths by 2037.

• ·Company slate for 2026 Annual General Meeting: Zillah Byng-Thorne, Linda P. Jojo, Alex Cruz.
• ·Elliott agreed to customary standstill and voting commitments in cooperation agreement.
• ·Advisors: Goldman Sachs & Co. LLC (financial), Paul Hastings LLP (legal), Joele Frank, Wilkinson Brimmer Katcher (strategic communications).

27-03-2026

Trio Petroleum Corp entered into a Settlement Agreement with McDermott Will & Schulte LLP on March 24, 2026, to settle outstanding legal fees of $392,700.23 by issuing 446,149 restricted shares of its common stock (par value $0.0001 per share). The company committed to filing a resale registration statement within 20 calendar days after issuance and using commercially reasonable efforts to achieve effectiveness within 45 days, with both parties providing mutual releases of all related claims and liabilities.

• ·Shares issued in reliance on Section 4(a)(2) exemption under the Securities Act of 1933.
• ·Par value of common stock: $0.0001 per share.
• ·Mutual release covers all liabilities, claims, and costs related to the fees and prior acts/omissions.

27-03-2026

Four directors—David M. Abrams, Harry C. Curtis, Stella David, and Mary E. Landry—resigned from the boards of NCL Corporation Ltd. (NCLC) and parent Norwegian Cruise Line Holdings Ltd. (NCLH) effective March 31, 2026, with no disagreements on operations, policies, or practices. Five new independent directors—Stephen Pagliuca, Jonathan Cohen, Alex Cruz, Brian MacDonald, and Kevin Lansberry—were appointed to both boards effective the same date under a Cooperation Agreement with Elliott Investment Management entities, expanding the board from 8 to 9 members. New directors receive $100,000 annual cash retainer, $200,000 RSU award, and additional committee retainers, with no related party transactions disclosed.

• ·Jonathan Cohen and Alex Cruz appointed to Audit Committee alongside José E. Cil (Chair) and Zillah Byng-Thorne.
• ·Resignations and appointments announced March 26, 2026; effective March 31, 2026.
• ·New directors determined independent under SEC and NYSE rules; no arrangements beyond Cooperation Agreement.

27-03-2026

JAKKS Pacific, Inc. disclosed the establishment by its Compensation Committee of performance criteria for the 2026 Annual Performance Bonuses of President and CEO Stephen G. Berman and CFO John L. Kimble, based on tiered EBITDA targets starting above $35,587,507 and reaching a maximum above $65,587,507. Berman's base salary is $1,875,000 with a maximum bonus of 300% ($5,625,000), while Kimble's is $632,700 with a maximum of 200% ($1,265,400). Bonuses scale linearly between tiers: 25% for EBITDA >$35.6M to <$45.6M, up to maximum percentages at higher thresholds; adjustments possible for extraordinary items.

• ·EBITDA calculated before bonuses and one-time non-recurring costs for Board-approved initiatives.
• ·Compensation Committee retains discretion to adjust criteria for extraordinary items, strategic transaction fees, or economic conditions.
• ·Event date: March 25, 2026; Filing date: March 27, 2026.

27-03-2026

Camden Property Trust entered into a letter agreement dated March 24, 2026, confirming Richard J. Campo's position as Executive Chairman of the Board of Trust Managers, effective immediately, with duties under the Board's control and direction. The agreement clarifies that determinations of 'Good Reason' under prior agreements will reference this position. It was executed by Joshua A. Lebar, Senior Vice President-General Counsel and Secretary, and accepted by Mr. Campo.

• ·Letter agreement references address: 2800 Post Oak Boulevard, Suite 2700, Houston, Texas 77046
• ·Filing includes Items 1.01 (Material Agreement), 5.02, 5.03, 9.01

27-03-2026

Iterum Therapeutics plc filed a petition in the Irish High Court to wind up the company, resulting in the appointment of Damien Murran and Jennifer McMahon as Joint Provisional Liquidators, with the hearing scheduled for April 13, 2026. The decision stems from limited cash resources, Nasdaq listing non-compliance, failed acquisition talks for sulopenem, and modest sales of ORLYNVAH amid high operating costs. Provisional liquidators may withdraw ORLYNVAH from the U.S. market and oversee wind-down of subsidiaries.

• ·Petition filed March 27, 2026; hearing on April 13, 2026.
• ·Stakeholder inquiries: Iterum.Liquidation@teneo.com.
• ·Provisional liquidators also appointed to Irish subsidiary.

27-03-2026

OFS Capital Corporation executed an amendment to its senior secured revolving credit facility with Banc of California, relaxing the minimum tangible net asset value covenant from $100.0 million to $75.0 million and reducing the minimum quarterly net investment income after fees covenant from $2.0 million to $1.0 million for quarters ending March 31, 2026, June 30, 2026, and September 30, 2026 (reverting to $2.0 million thereafter). However, the maximum commitment amount was decreased from $25.0 million to $15.0 million, potentially limiting liquidity. The amendment incurs customary fees and is detailed in Exhibit 10.1.

• ·Amendment dated March 27, 2026, filed as Exhibit 10.1
• ·Company address: 222 W. Adams Street, Suite 1850, Chicago, Illinois 60606
• ·Registrant details: Delaware incorporation, Commission File Number 814-00813, I.R.S. Employer Identification No. 46-1339639

27-03-2026

Sturm, Ruger & Company, Inc. (NYSE: RGR) appointed Andrew Wieland as Senior Vice President and Chief Financial Officer, succeeding Tom Dineen in a planned transition, with Dineen stepping down on March 31, 2026, and remaining until April 30, 2026. Wieland brings extensive financial leadership from Eaton Corporation, including roles in forecasting, planning, and finance transformation. The move supports Ruger's 2030 plan and long-term priorities under President & CEO Todd Seyfert.

• ·Tom Dineen began with Ruger in 1997, served as CFO since 2003, and as Vice President, CFO and Treasurer since 2006.
• ·Wieland previously served as Vice President of Finance and Controller of Eaton Electrical Sector Americas: Assemblies and Residential Solutions Group.

27-03-2026

Fermi Inc., through its subsidiaries Fermi Turbine Warehouse II LLC (Borrower), Fermi Turbine Holdco II LLC (Holdings), and Fermi Turbine Pledgor II LLC (Pledgor), entered into an Equipment Supply Loan Financing Agreement dated March 26, 2026, with lenders led by CLMG Corp. as Administrative Agent, providing a senior secured term loan facility of up to $165,000,000 to finance Equipment Acquisition Costs (including progress payments under the Equipment Supply Agreement with Siemens Energy, Inc.) and Financing Costs. As of the Closing Date, the Sponsor (Fermi Inc.) has made progress payments totaling $38,430,000. The facility includes up to $22,900,000 for interest and fees, and up to $139,080,000 for permitted Equipment Acquisition Costs, with borrowings in minimum increments of $1,000,000 and limited to 45 total during the Loan Availability Period.

• ·Original Equipment Supply Contract dated October 24, 2025, assigned to Borrower on March 26, 2026.
• ·Notice of Borrowing required 3 Banking Days (if ≤$10M) or 5 Banking Days (if >$10M) in advance.
• ·Equipment to be incorporated into one or more Project(s).

27-03-2026

On March 23, 2026, Dr. Jonathan Goldman and Mitchell Chan, members of the board of directors of Avalo Therapeutics, Inc., notified the company they will not stand for re-election at the 2026 Annual Meeting of Stockholders, and will continue serving until that meeting. Their decisions are not due to any disagreement with the company's operations, policies, or practices. The board thanked them for their service and contributions.

27-03-2026

Cue Biopharma, Inc. announced the resignation of President and CEO Usman Azam and his departure from the Board, effective March 26, 2026, ahead of the April 13, 2026 Annual Meeting. Lucinda Warren, current Chief Financial and Business Officer, was appointed Interim President and CEO effective March 27, 2026, while continuing in her prior role. The company entered into amended employment terms for Warren and a separation agreement for Azam, including severance payments.

• ·Lucinda Warren, age 57, has over 30 years of experience in pharmaceutical and biotechnology sectors.
• ·Usman Azam separation includes up to 12 months COBRA premium payments.
• ·Lucinda Warren severance entitlement: 9 months base salary plus prorated target bonus, up to 3 months COBRA.
• ·Agreements to be filed as exhibits to Q1 2026 10-Q.
• ·Company 2025 Stock Incentive Plan referenced for Warren option.

27-03-2026

Harrow, Inc. entered into a purchase agreement dated March 24, 2026, to issue and sell $50,000,000 principal amount of 8.625% Senior Notes due 2030 (the 'Securities') to initial purchasers represented by BTIG, LLC, constituting additional notes under the existing Base Indenture dated September 12, 2025. These Securities supplement the previously issued $250,000,000 aggregate principal amount of the same notes and are guaranteed by the Guarantors on an unsecured senior basis. The notes are priced at 98.0% of principal amount plus accrued interest from March 15, 2026, with closing scheduled for March 27, 2026.

• ·Securities issued pursuant to Base Indenture dated September 12, 2025, supplemented by Supplemental Indenture on Closing Date
• ·Sold in reliance on exemption from Securities Act registration to qualified institutional buyers under Rule 144A
• ·Payment and delivery at 10:00 A.M. New York City time on March 27, 2026, or as agreed
• ·Global Note delivered to nominee of The Depository Trust Company (DTC)

27-03-2026

Cyril A. Wallace, Jr. resigned as Chief Executive Officer, principal executive officer, and Director of Reed’s, Inc., effective March 24, 2026, with no disagreement on company matters; he will remain an employee until March 31, 2026. Neal M. Cohane, the current Chief Operating Officer, was appointed as Interim Chief Executive Officer, principal executive officer, and Director on the same date, to serve until the 2026 annual stockholder meeting. Cohane, age 65, brings prior experience as Chief Sales Officer at the Company and roles at Eastroc Beverage, Rootstock Brands, PepsiCo, SoBe, and Coca-Cola.

• ·Mr. Wallace notified the Board of his resignation on March 23, 2026.
• ·Appointment of Mr. Cohane recommended by the Nominating and Corporate Governance Committee.
• ·No arrangements, understandings, family relationships, or related party transactions involving Mr. Cohane.
• ·Common stock: $0.0001 par value per share, trading as REED on NYSE American LLC.

27-03-2026

Zeo ScientifiX, Inc. (ZEOX) terminated the employment of Dr. John D. Kisiday, Ph.D. as its Chief Science Officer, effective March 23, 2026. The 8-K filing was submitted on March 27, 2026, under Item 5.02. No details on the reasons for termination or any replacement were disclosed.

• ·Registrant details: Nevada incorporation, Commission File Number 000-55008, IRS EIN 47-4180540
• ·Principal executive offices: 3321 College Avenue, Suite 246, Davie, Florida 33314
• ·Telephone: (888) 963-7881

27-03-2026

Sotherly Hotels Inc. announced its board's approval for the voluntary delisting of its 8.0% Series B, 7.875% Series C, and 8.25% Series D Cumulative Redeemable Perpetual Preferred Stocks from Nasdaq, with a Form 25 filing expected around April 7, 2026, and last trading around April 17, 2026. This decision follows the February 12, 2026 closing of a merger where all common stock was acquired by KW Kingfisher LLC and over 80% of preferred stockholders opted for cash conversion under change of control rights. The company plans to list the preferred stock on an OTC market platform, continue SEC reporting, and maintain its REIT status without operational changes.

• ·Sotherly Hotels Inc. formed in August 2004 as an externally-managed lodging REIT focused on mid-Atlantic and southern U.S. markets.
• ·Intends to continue operating as a REIT for U.S. federal income tax purposes post-delisting.

27-03-2026

Genesco Inc. reported that Cassandra E. Harris ceased serving as principal accounting officer effective March 25, 2026, after supporting the company via a Consulting Agreement through the fiscal 2026 Form 10-K filing. Mimi E. Vaughn, the company's President, CEO, and Interim CFO, was appointed principal accounting officer on March 26, 2026, until a successor is named, with no additional compensation or changes to her severance arrangements. This appointment ensures continuity with the existing financial leadership team.

• ·Ms. Harris' consulting role began March 7, 2026, following announcement on January 29, 2026.
• ·Ms. Vaughn has no family relationships with any director or executive officer.
• ·Ms. Vaughn has no direct or indirect material interest in any transaction under Item 404(a) of Regulation S-K.
• ·Biographical information for Ms. Vaughn incorporated by reference from fiscal year 2026 Form 10-K.

27-03-2026

News Corporation entered into an Amended and Restated Credit Agreement dated March 27, 2026, for a US$1,500,000,000 facility, which amends and restates in its entirety the existing Credit Agreement dated March 29, 2022. The agreement establishes multicurrency revolving credit and Term A loan facilities, with Bank of America, N.A. as Administrative Agent, Citibank, N.A. and JPMorgan Chase Bank, N.A. as Co-Syndication Agents, and BOFA Securities, Inc., Citibank, N.A., and JPMorgan Chase Bank, N.A. as Joint Lead Arrangers and Joint Bookrunners.

• ·Published Deal CUSIP: 65248HAH0
• ·Published Revolving Credit Facility CUSIP: 65248HAJ6
• ·Published Term A Loan CUSIP: 65248HAK3
• ·Existing Credit Agreement dated March 29, 2022
• ·SEC Filing Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Financial Statements and Exhibits)

27-03-2026

Puget Energy, Inc. entered into a purchase agreement dated March 24, 2026, to issue and sell $450,000,000 aggregate principal amount of 7.000% Fixed-to-Fixed Reset Rate Junior Subordinated Notes due 2056, Series A, and $450,000,000 aggregate principal amount of 7.250% Fixed-to-Fixed Reset Rate Junior Subordinated Notes due 2056, Series B, to initial purchasers represented by Barclays Capital Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, and Wells Fargo Securities, LLC. The securities are issued under an indenture dated March 27, 2026, with Computershare Trust Company, National Association as trustee, in book-entry form through The Depository Trust Company. The offering relies on exemptions from Securities Act registration under Rule 144A and Regulation S, with a registration rights agreement providing for potential exchange offers.

• ·Time of Sale: 2:50 p.m. (Eastern time) on March 24, 2026
• ·Preliminary Offering Memorandum dated March 24, 2026
• ·Final Pricing Term Sheet dated March 24, 2026
• ·Securities issued only in book-entry form in the name of Cede & Co.

27-03-2026

Rising Dragon Acquisition Corp., a Cayman Islands exempted company, issued a promissory note for US$50,000 to SZG Limited on February 5, 2026, with proceeds to be deposited into its trust account to extend the time available to consummate its initial Business Combination as described in its October 10, 2024 IPO prospectus. The interest-free note is payable upon closing of the Business Combination or convertible into private units at US$10.00 per unit if elected by the Payee at least five business days prior. The trust account was initially established with US$57,787,500 pursuant to a trust agreement dated October 10, 2024.

• ·Merger Agreement dated January 27, 2025, terminable under certain conditions without repayment obligation
• ·Note governed by New York law with exclusive jurisdiction in New York courts
• ·Trust waiver by Payee prohibiting claims against trust account except for specific performance outside trust assets

27-03-2026

On March 23, 2026, the Compensation Committee of Pro-Dex, Inc. approved a base salary increase for Chief Financial Officer Alisha K. Charlton from $247,200 to $257,000 per year, effective the next bi-weekly pay period. This adjustment represents approximately a 4% increase, with all other employment terms remaining unchanged on an at-will basis. The filing was made on March 27, 2026.

• ·Company address: 2361 McGaw Avenue, Irvine, California 92614
• ·Registrant’s telephone number: (949) 769-3200
• ·Securities: Common Stock, no par value (PDEX) on NASDAQ Capital Market

27-03-2026

Core & Main announced board and leadership changes effective April 1, 2026, as part of long-term succession planning, appointing M. Susan Hardwick, former CEO of American Water Works, as a director and talent and compensation committee member. Stephen LeClair retired from his roles as executive chair and board chair, with James Castellano appointed as the new board chair, James Hope as audit committee chair, and Robert Buck added to the audit committee. These changes position Ms. Hardwick as the ninth independent director on the ten-member board.

• ·Changes effective April 1, 2026.
• ·Stephen LeClair served as CEO from 2017 through March 2025 and board chair since 2024.
• ·Company focuses on municipal, non-residential, and residential end markets in US and Canada.

27-03-2026

Enterprise Products Operating LLC, a subsidiary of Enterprise Products Partners L.P., entered into a $1,500,000,000 364-Day Revolving Credit Agreement on March 27, 2026, with Citibank, N.A. as Administrative Agent and a syndicate of lenders including Wells Fargo Bank, JPMorgan Chase Bank, Mizuho Bank, MUFG Bank, Truist Bank, Barclays Bank PLC, Royal Bank of Canada, Sumitomo Mitsui Banking Corporation, The Bank of Nova Scotia, and The Toronto-Dominion Bank as key agents. The facility provides short-term revolving credit commitments, with interest rates tied to ratings-based spreads (SOFR Spread 0.710%-1.125%, ABR Spread 0%-0.125%, Facility Fee 0.040%-0.125%). No prior period comparisons or performance metrics are disclosed.

• ·Facility matures 364 days from Effective Date.
• ·Applicable Rate categories based on Index Debt ratings from Moody’s/S&P (Category 1: A1/A+ SOFR Spread 0.710%, Facility Fee 0.040%; Category 5: <Baa2/BBB SOFR Spread 1.125%, Facility Fee 0.125%).
• ·Availability Period: from Effective Date to earlier of Maturity Date or Commitments termination.

27-03-2026

LM Funding America, Inc. entered into an At The Market Offering Agreement with Maxim Group LLC on March 27, 2026, enabling the company to offer and sell shares of its common stock with an aggregate offering price of up to $75,000,000 through the agent as sales agent. The agreement provides for a 3.0% cash transaction fee on gross sales prices and reimbursement of the agent's reasonable costs up to $50,000 without further approval. No shares have been sold yet, and either party may suspend or terminate the agreement under specified conditions.

• ·Registration Statement filed with SEC on August 13, 2024, and declared effective on November 21, 2024
• ·Prospectus supplement filed with SEC on March 27, 2026
• ·ATM Agreement attached as Exhibit 1.1; Legal opinion of Foley & Lardner LLP as Exhibit 5.1
• ·Company may terminate solicitation provisions upon 10 business days' prior written notice

27-03-2026

Addentax Group Corp.'s Compensation Committee approved awards of 1,000,000 fully vested shares of common stock to Chief Operating Officer Wu Rui and 183,335 shares to President, CEO, Secretary, and Director Hong Zhida under the 2024 Equity Incentive Plan, with a grant date expected on April 8, 2026. The number of shares will be proportionately adjusted for the company's 1-for-15 reverse stock split effective March 30, 2026. These grants recognize the executives' services as part of the overall compensation program.

• ·Awards subject to terms of the 2024 Equity Incentive Plan and Share Award Agreement (Exhibit 10.1)
• ·1-for-15 reverse stock split expected effective March 30, 2026 (previously reported in 8-K filed March 26, 2026)
• ·Common stock par value $0.001 per share, traded on Nasdaq Capital Market (ATXG)

27-03-2026

On March 24, 2026, Ms. Yuanmei Ma resigned as Chief Financial Officer and director of Charlton Aria Acquisition Corp, effective immediately, with no disagreement on operations, policies, or practices. On March 26, 2026, the Board appointed Mr. Jung Min Lee as Chief Executive Officer and director, effective immediately, and as acting Chief Financial Officer until a permanent replacement is found. Mr. Lee has extensive experience in financial services, consulting, and international advisory roles at firms including Valley Point Limited, MiLinks LLC, Merrill Lynch, and LG Electronics.

• ·Company is a Cayman Islands-incorporated blank check company (SPAC) listed on Nasdaq with securities: Units (CHARU), Class A ordinary shares (CHAR), Rights (CHARR).
• ·Mr. Jung Min Lee holds an M.S. in Finance from Johns Hopkins University and a B.A. from Hankuk University of Foreign Studies.
• ·No familial or business conflicts; Mr. Lee is not a related person, promoter, or control person per Item 404(a) of Regulation S-K.

27-03-2026

SBA Communications Corporation announced that Mark Ciarfella, Executive Vice President, U.S. Operations, provided notice on March 24, 2026, of his intent to retire from his current roles effective December 31, 2026, and will remain as a non-executive employee until March 7, 2027, to support the transition. The filing was made on March 27, 2026, under Item 5.02. No successor has been named in the filing.

• ·Company headquartered at 8051 Congress Avenue, Boca Raton, FL 33487.
• ·Class A Common Stock ($0.01 par value) trades as SBAC on NASDAQ Global Select Market.

27-03-2026

Professor Sanjay Sarma resigned as a director of Rekor Systems, Inc. effective March 25, 2026, with no disagreements on company matters, and will continue supporting technology initiatives as Chairman of Rekor Labs, LLC. The company entered an amended employment agreement with CEO Robert A. Berman effective March 20, 2026, including a $395,000 base salary and 1,000,000 fully vested common stock shares, and a new agreement with CFO Joseph Nalepa effective November 17, 2025, with a $260,000 base salary and potential bonuses up to $75,000 initially and $150,000 target thereafter. Both agreements run through June 30, 2028, with 12-month severance provisions and enhanced change-in-control payments (3x base for Berman, 2x for Nalepa).

• ·Berman Agreement allows termination with 30 days' notice; immediate for Cause.
• ·Nalepa required to give 30 days' notice, at least 60 days before SEC filing deadlines.
• ·Agreements filed as Exhibits 10.1 (Berman) and 10.2 (Nalepa).