US Material Events SEC 8-K Filings — April 07, 2026

07-04-2026

On April 1, 2026, Consolidated Water Co. Ltd. promoted Douglas Vizzini from Vice President of Finance to Executive Vice President and Chief Accounting Officer and entered into an employment agreement with him effective that date through December 31, 2027, with potential two-year extensions at the CEO's discretion. The agreement includes an annual base salary of $350,000, a targeted short-term incentive of 25% of base salary, annual RSU grants valued at 20% of base salary, and a monthly automobile allowance starting at $1,750. Termination provisions include severance equal to one year's base salary if not extended, immediate termination for cause, and provisions for incapacity or resignation with six months' notice.

• ·RSUs vest one-third annually over three fiscal years, subject to continued service.
• ·Severance of one year's base salary if CEO elects not to extend term.
• ·Termination for felony conviction or material harm (with 10-day cure period); resignation requires six months' notice.
• ·Incapacity provisions: duties relieved after 60 days, salary reduced to $1,000/year, full medical coverage until recovery; auto-termination after 12 months.

07-04-2026

NXG NextGen Infrastructure Income Fund issued a Notice of Guaranteed Delivery (EX-99.1) for its rights offering under the Prospectus Supplement dated April 6, 2026, and accompanying Prospectus dated July 9, 2025. The form facilitates subscription for common shares via primary subscription and over-subscription privilege, with submissions required by 5:00 p.m. ET on the Expiration Date of April 30, 2026, to Subscription Agent Equiniti Trust Company, LLC. No financial performance metrics or period comparisons are provided in the filing.

• ·Subscription delivery addresses: 55 Challenger Road, Suite #200, Ridgefield Park, New Jersey 07660, Attn: Reorganization Department
• ·Information Agent contact: (800) 207-2872
• ·Guaranteed delivery must be followed by Subscription Certificate by close of business on the first business day after Expiration Date

07-04-2026

Opus Genetics announced a strategic financing agreement with Oberland Capital providing up to $155 million in non-dilutive funding via notes, including an initial $35 million tranche and a concurrent $5 million equity investment at $4.48 per share, boosting current cash to approximately $100 million and extending the runway into 2029 to fund pivotal studies for OPGx-LCA5 and OPGx-BEST1. The deal supports accelerating three earlier-stage programs—OPGx-RDH12 (clinic Q4 2026), OPGx-MERTK (end 2026), and OPGx-RHO (2027)—with topline results from OPGx-BEST1 Phase 1/2 Cohort 1 on track for mid-2026. No declines or flat metrics reported; financing terms include 7-year maturity, ~4.1% initial cash interest rate, and partial convertibility.

• ·Initial closing expected April 20, 2026; notes mature 7 years from issuance with 6-year interest-only period and 50% repayment on 6th anniversary.
• ·Notes: floating rate with floor/cap; 50% interest paid-in-kind first 8 quarters; up to 10% principal convertible at $6.72/share.
• ·Additional $35M tranche available on or prior to March 31, 2028 upon LCA5 regulatory milestones.
• ·RDH12 partially funded by RDH12 Alliance; MERTK collaboration with Department of Health - Abu Dhabi.

07-04-2026

The U.S. Bankruptcy Court for the Southern District of Texas confirmed the Fourth Amended Chapter 11 Plan of Liquidation for Luminar Technologies, Inc. and its four affiliated debtors on April 3, 2026, following a confirmation hearing on April 1, 2026, with all objections overruled. The debtors filed voluntary Chapter 11 petitions on December 15 and 31, 2025 (Case No. 25-90807), and have operated as debtors in possession since then. The plan proceeds to liquidation, marking a significant adverse development with no ongoing operations highlighted.

• ·Chapter 11 Cases jointly administered under Case No. 25-90807 (CML) in the Southern District of Texas Houston Division
• ·Creditors’ Committee appointed by U.S. Trustee on December 30, 2025
• ·Debtors’ mailing address: 2603 Discovery Drive, Suite 100, Orlando, Florida 32826
• ·Confirmation Hearing held April 1, 2026; Voting and Objection Deadline March 23, 2026

07-04-2026

Xponential Fitness, Inc. announced its Board of Directors has initiated a review of strategic alternatives to maximize shareholder value, potentially including a sale, merger, or other transaction, and engaged Jefferies LLC as financial advisor. Separately, the Board appointed Nicole Parent Haughey as an independent director, while Jair Clarke, Chelsea A. Grayson, and Bruce Haase stepped down from the Board. CEO Mike Nuzzo stated the team will continue executing its strategy amid the process.

• ·Operates franchise, master franchise, and international expansion agreements in 49 U.S. states, Puerto Rico, and 28 additional countries.
• ·Nicole Parent Haughey previously served as COO of Island Creek Oysters and Mimeo, and held roles at Vertical Research Partners, United Technologies, and Credit Suisse.
• ·References risks in Annual Report on Form 10-K for year ended December 31, 2025.

07-04-2026

Protagenic Therapeutics, Inc. notified Alexander Arrow, MD, its Chief Financial Officer, that his employment will be terminated effective April 30, 2026, with the board notification occurring on March 31, 2026. No replacement has been announced, representing a key leadership transition. The filing was signed by Executive Chairman Garo H. Armen.

• ·Filing signed on April 6, 2026, and dated April 7, 2026

07-04-2026

Velo3D, Inc. appointed James Suva as Chief Financial Officer and principal financial and accounting officer, effective April 6, 2026, as previously disclosed on March 20, 2026. Under the offer letter effective March 5, 2026, Mr. Suva receives an annual base salary of $380,000 and a target bonus for fiscal 2026 equal to 70% of his base salary. The Compensation Committee granted 135,000 RSUs vesting 25% on May 15, 2027, and 1/16th quarterly thereafter subject to continued service.

• ·Offer letter entered April 6, 2026, effective March 5, 2026; at-will employment with customary confidentiality covenants
• ·RSU vesting on Quarterly Vest Dates: February 15, May 15, August 15, November 15
• ·Offer letter filed as Exhibit 10.1

07-04-2026

Four Corners Property Trust (NYSE: FCPT) entered into a new seven-year $200 million senior unsecured delayed draw term loan facility maturing on April 6, 2033, with $50 million drawn at close for immediate investments and general corporate purposes, and the remaining $150 million available for future acquisitions expected in late Q2 and early Q3 2026. The facility is priced at 1.25% over SOFR, supported by BBB/Baa3 ratings, with 96% of term loans hedged and overall debt 98% fixed-rate through November 2027; pro forma run-rate leverage is approximately 5.4x within the 5.0x-6.0x target range. Executives highlighted the attractive pricing and flexibility for accretive investments at 200+ basis points spreads.

• ·Term Loan Facility credit margin: 1.25% over SOFR.
• ·Maturity date: April 6, 2033.
• ·Current senior unsecured debt ratings: BBB (Fitch) / Baa3 (Moody’s).
• ·Stated net leverage range: 5.0x-6.0x.
• ·Facility led by The Huntington National Bank as Administrative Agent.

07-04-2026

Green Stream Holdings Inc. reported changes in control via officer and director transitions: James C. DiPrima resigned as an officer on March 17, 2026, and as a director on March 19, 2026, while Phil Yang was appointed as Vice President, Chief Executive Officer, Secretary, Treasurer, and Director on March 18, 2026, owning no shares. The company redomiciled from Wyoming to California. No financial impacts or performance metrics were disclosed.

• ·Phil Yang's professional background includes overseeing mortgage processing at Direct Mortgage Investors, Inc. (2019-2023), private mortgage loans, and recent commercial asset acquisitions in Rochester, NY, and Washington DC.
• ·Phil Yang holds BA in Government and International Politics, BS in Public Administration (George Mason University, 2016), and MA in International Security (George Washington University, 2018).

07-04-2026

On April 1, 2026, Partners Group Lending Fund, LLC entered into an Amended and Restated Expense Support and Conditional Reimbursement Agreement with Partners Group (USA) Inc., amending the original agreement from August 31, 2023, by changing the Expense Limitation for Other Operating Expenses to 1.00% (annualized) of the Fund's net asset value instead of Aggregate Capital Commitments. The Adviser will waive the Base Management Fee and pay or absorb expenses to meet this cap, with the Fund required to reimburse waived amounts over up to three years if it remains in compliance. The agreement has a one-year term and automatically renews annually unless terminated with 30 days' notice.

• ·Agreement terminates automatically upon termination of Investment Advisory Agreement, Fund dissolution/liquidation, or public listing/liquidity event.
• ·Reimbursement must not cause Fund to exceed Expense Limitation and is extinguished after three years if not repaid.
• ·Unitholders are third-party beneficiaries with enforcement rights.

07-04-2026

S&T Bancorp, Inc. and S&T Bank entered into an amended and restated employment agreement with CEO Christopher McComish, effective January 1, 2026, for a four-year term with automatic annual renewals. The agreement sets a minimum annual base salary of $785,000, target annual bonus of 67% of base salary, and long-term incentive awards with target value of at least 100% of base salary (50% time-vesting, 50% time- and performance-vesting). It includes severance of 2x (or 3x within two years post-change in control) base plus target bonus, COBRA premiums for 24 (or 36) months, and other perks like up to $25,000 annual vehicle allowance and $25,000 legal fee reimbursement, plus one-year post-termination non-compete and non-solicit covenants.

• ·Employment agreement has a four-year initial term with automatic one-year renewals.
• ·Severance benefits conditioned on execution of a release of claims.
• ·Perpetual covenants for nondisclosure of confidential information and non-disparagement.
• ·Non-competition and non-solicitation covenants apply for one year post-termination.

07-04-2026

GT Biopharma, Inc. entered into an Investigator Initiated Clinical Trial Agreement with the Regents of the University of Minnesota on April 3, 2026, under which the University will sponsor an IND application (IND 169118) for GTB-5550 and conduct a phase 1a/1b clinical trial titled 'GTB-5550, a Camelid Nanobody B7-H3 Tri-Specific Killer Engager (camB7-H3 TriKE®), in Select Advanced Solid Tumors That Failed Prior Therapy.' The Company will bear the costs of up to approximately $3.8 million over three years for the study, with both parties having rights to publish results and standard termination provisions including 30 days' notice or immediate for safety reasons.

• ·IND number: 169118
• ·Agreement termination: 30 days' written notice, immediate by University for health/safety, or for material breach uncured within 30 days

07-04-2026

Kiora Pharmaceuticals closed a private placement on April 6, 2026, providing up to $24 million in gross proceeds, including $5.0 million upfront funding from sole investors Perceptive Advisors (new) and ADAR1 Capital Management, with up to an additional $19 million upon exercise of milestone-based warrants. Proceeds will support general corporate purposes, business operations, strategic business development, and ongoing R&D for retinal disease therapies like KIO-301 and KIO-104. The transaction was priced at-the-market under Nasdaq rules with no placement agent engaged.

• ·Tranche A-1 warrants: initial 9-month term, reduces to 30 days upon strategic transaction expanding market opportunity.
• ·Tranche A-2 warrants: initial 4-year term, reduces to 30 days upon any asset completing Phase 3 enrollment.
• ·Pre-funded warrants issued in lieu of common stock at $2.543 minus $0.0001 exercise price.
• ·Company to file SEC registration statement for resale of shares and warrant shares.
• ·Transaction closed April 6, 2026, under Section 4(a)(2)/Regulation D; securities unregistered.

07-04-2026

WW International, Inc. (Nasdaq: WW) appointed Lisa Gavales and Sue Gove as independent directors to its Board, effective April 7, 2026, bringing expertise in consumer brands, digital commerce, retail turnaround, and financial leadership. Following the appointments, the Board consists of six independent directors, who will serve until the 2026 annual meeting of shareholders. The additions support the Company's strategic transformation into a global leader in weight health, including GLP-1 era offerings.

• ·Lisa Gavales: Chair of Office of the CEO at Destination Maternity, Interim CEO of Bluestem Group, former CMO at Express.
• ·Sue Gove: Former President and CEO of Bed Bath & Beyond, CEO of Vitamin World and Golfsmith International, currently on board of LKQ Corporation.
• ·Directors expected to stand for election at 2026 annual meeting of shareholders.

07-04-2026

On April 1, 2026, Boxlight Corporation amended its inventory finance agreement with J.J. Astor & Co., converting $556,200 of outstanding balance into 600,000 shares of common stock at a conversion price of $0.927 per share. The amendment includes 'Proceeds Protection,' obligating the Company to pay any shortfall in cash if aggregate proceeds from J.J. Astor's sale of the shares fall below $556,200 within five trading days. Michael Pope, Boxlight's Board Chairman and former CEO, is CEO of J.J. Astor, which is owned by a fund he manages.

• ·Amendment to inventory finance agreement originally dated May 27, 2025, and restated on November 7, 2025.
• ·Proceeds Protection requires cash payment of shortfall within five (5) Trading Days.

07-04-2026

Kura Sushi USA reported fiscal Q2 2026 total sales of $80.0 million, up from $64.9 million YoY, driven by 8.6% comparable restaurant sales growth (4.3% traffic and 4.3% price/mix), with operating loss narrowing to $2.2 million from $4.6 million and Adjusted EBITDA rising to $5.5 million from $2.7 million. However, food and beverage costs increased to 30.4% of sales from 28.7% due to tariffs, other costs rose to 14.5% from 13.5%, and the company still posted a net loss of $1.7 million. Restaurant-level operating profit improved to $14.6 million or 18.2% of sales from $11.2 million or 17.3%.

• ·Company opened one new restaurant in Pflugerville, Texas during Q2 FY2026; subsequent openings: Orange, California; Goodyear, Arizona; Union City, California; Wellington, Florida.
• ·FY2026 guidance: Total sales $333-335 million; 16 new restaurants (unit growth >20%); average net capex ~$2.5 million per unit; G&A ~12.0% of sales excluding litigation; restaurant-level operating profit margins 18.0-18.5%.
• ·88 locations across 22 states and Washington DC as of filing.

07-04-2026

The Board of Directors of Visium Technologies, Inc. unanimously accepted the immediate resignations of independent directors Paul Anthony Favata and Thomas Grbelja from all positions, including Audit, Compensation, and Nominating Committees, as part of a board refresh tied to strategic restructuring and acquisition transactions announced in a March 29, 2026 LOI; no disagreements with company operations were noted. The Board authorized filing Certificates of Designation for up to 50,000,000 shares of Series A Convertible Preferred Stock (stated value $750 per share) and 30,000,000 shares of Series B (stated value $375 per share), cancelled the Series C Preferred Stock (zero shares outstanding), and adopted strict 'Conversion Gates' requiring extensive proofs, audits, bonds, and court judgments before any conversions. These actions address legacy governance issues from prior reincorporation and aim to protect against unauthorized dilutions.

• ·Series A conversion: one-to-one into common stock subject to variable adjustment (effective ratio ~21,428.57 common shares per Series A share); Series B: 300 Series B shares into one common share.
• ·Resignations effective April 7, 2026; tied to LOI dated March 29, 2026.
• ·Conversion Gates include 11 cumulative conditions, non-waivable without Board resolution, enforced by transfer agent.

07-04-2026

On April 6, 2026, Aquaron Acquisition Corp., a blank check company, issued an unsecured promissory note for $16,198.05 to HUTURE Ltd. in exchange for depositing the amount into its trust account to extend the deadline for completing a business combination. The interest-free note matures upon closing of the business combination and is convertible into common stock units (one share plus one-fifth share right) at $10.00 per unit.

07-04-2026

Collegium Pharmaceutical, Inc. nominated Michael Donovan, a 60-year-old audit partner at Ernst & Young LLP with over 36 years of experience in life sciences audits, financings, and M&A, to stand for election at the 2026 Annual Meeting. Current director John Fallon, M.D., who has served since 2016, announced he will not stand for re-election and retire at the Annual Meeting as part of board refreshment and succession planning, with no disagreements with the Company.

• ·Michael Donovan served as Office Managing Partner of EY’s biotechnology office in Kendall Square from 2014 to 2024 and East Region Biotechnology Leader.
• ·Mr. Donovan holds a B.S. in Business Administration from Merrimack College and is a Certified Public Accountant (active).
• ·Events: Fallon announcement on April 2, 2026; Donovan nomination approved on April 6, 2026.

07-04-2026

ADTRAN Holdings, Inc. entered into a second amendment to CEO Thomas R. Stanton's employment agreement on April 6, 2026, eliminating annual PSUs tied to relative total shareholder return (TSR), adjusting long-term financial plan PSUs to be based on Adjusted EBIT subject to TSR adjustment, and modifying anticipated RSU and PSU values. On April 1, 2026, the Compensation Committee approved target long-term PSU awards under the 2024 Employee Stock Incentive Plan for the 2026-2028 performance period to Stanton (170,723 shares), Chief Revenue Officer James D. Wilson (24,908 shares), and CFO Timothy Santo (28,252 shares), with a similar award planned for CTO Christoph Glingener pending subsidiary approvals. The Company will not grant annual market-based PSUs to named executive officers going forward.

• ·Performance period for PSUs: January 1, 2026 through December 31, 2028
• ·Amendment approved by Board upon Compensation Committee recommendation
• ·Exhibits include Second Amendment to CEO Employment Agreement (10.1), Form of 2026 3-Year Performance Shares Agreement (10.2), and Form of 2026 CEO 3-Year Performance Shares Agreement (10.3)

07-04-2026

CVD Equipment Corporation completed the sale of its Stainless Design Concepts (SDC) division for a purchase price of approximately $16.9 million in cash, subject to customary adjustments. Net cash proceeds after transaction expenses and taxes are approximately $15.0 million, with $900,000 held in escrow for potential post-closing obligations. The company will retain its Saugerties, New York facility and lease it to the buyer for an initial term of two years, using proceeds to enhance financial flexibility and support strategic initiatives.

• ·Announcement date: April 2, 2026
• ·Filing date: April 07, 2026
• ·Saugerties, New York facility retained and leased to buyer for initial two-year term

07-04-2026

International Tower Hill Mines Ltd. (TSX: ITH, NYSE American: THM) announced the appointment of Mr. Andrew ('Andy') Cole to its Board of Directors effective April 1, 2026. Mr. Cole brings over 35 years of experience in metals and mining, including as General Manager of the Donlin Gold Project where he secured major permits, and roles at Barrick Gold's Goldstrike Mine and U.S. Operations. ITH Board Chair Marcelo Kim stated that Cole's expertise will be instrumental in advancing the Livengood Gold Project through feasibility, permitting, and early development.

• ·Mr. Cole holds a Bachelor of Science in Material Sciences and Engineering from University of Arizona and MBA from University of Nevada.
• ·Mr. Cole is a member of Society of Mining Engineers (SME) and was honored as SME's Miner of the Year in 2019.
• ·Mr. Cole has served on Perpetua Resources Board of Directors since 2024.

07-04-2026

Mark Thoenes, the Sole Disinterested Director of Kaival Brands Innovations Group, Inc., provided a fairness opinion pursuant to DGCL §144, concluding that the proposed employment arrangements and equity grants for CEO Eric Mosser and CFO Eric Morris, including an amendment to increase the reserve under the Amended and Restated 2020 Stock and Incentive Compensation Plan to 100,000,000 shares, are fair and reasonable to the Company and its stockholders from a financial point of view. The arrangements emphasize a heavily equity-oriented structure to align executive interests with long-term stockholder value, given the Company's cash-conservative position and post-Nasdaq delisting recovery strategy. No specific cash commitments were highlighted, focusing instead on retention incentives and minimal near-term financial impact.

• ·Opinion dated March 12, 2026
• ·Filing date: April 07, 2026
• ·Evaluation considers market comparisons with OTC/recovery-stage companies and tax/accounting implications

07-04-2026

On April 1, 2026, the Compensation Committee of Unusual Machines, Inc. approved immediate salary increases for senior management, setting annual base salaries at $350,000 for CEO Dr. Allan Evans and $300,000 each for CFO Brian Hoff, President Andrew Camden, and Chief Revenue Officer Stacy Wright. No other changes to officer roles or departures were reported. This adjustment represents increased compensation costs for the executive team.

07-04-2026

Green Dot Corporation's Compensation Committee approved a one-time discretionary bonus opportunity for CEO William I. Jacobs of up to $1,250,000 for his service from January 8, 2026, through the closing of the proposed merger under the Agreement and Plan of Merger dated November 23, 2025. The bonus amount, if any, will be determined based on Jacobs' and the Company's performance and paid upon his cessation as CEO at closing. No other financial metrics or performance data are disclosed.

• ·Bonus eligibility requires continued service as CEO through merger closing
• ·Bonus determination by Compensation Committee in its sole discretion immediately prior to closing

07-04-2026

Levi Strauss & Co. announced that Executive Vice President and Chief Financial & Growth Officer Harmit Singh will retire after a planned transition, during which he will serve as Special Advisor following the appointment of a successor. The company has commenced a comprehensive search for a new CFGO with assistance from a leading executive search firm to ensure continuity. CEO Michelle Gass highlighted Singh's 13-year contributions, including taking the company public, DTC transformation, and building a high-caliber finance team.

• ·Singh joined LS&Co. in 2013 as CFO.
• ·Singh's role expanded in 2023 to Chief Growth Officer.
• ·Prior roles: CFO at Hyatt Hotels Corporation; Division CFO at Yum! Restaurants International and Pizza Hut.

07-04-2026

PSQ Holdings, Inc. announced that James Rinn will step down as CFO effective April 30, 2026, to pursue another opportunity but will remain a Class III Director on the Board. Effective May 1, 2026, Michael Pena, current SVP of Finance, is appointed CFO and Treasurer, while Krista Wenzel, current SVP of Finance and Accounting, is named Chief Accounting Officer. CEO Dusty Wunderlich praised Rinn's contributions to the fintech transition and expressed confidence in Pena and Wenzel's alignment with the company's focus on disciplined capital allocation and financial controls.

• ·Michael Pena previously served as CFO of Credova from August 2021 to March 2024 and played a key role in its acquisition by PSQ Holdings.
• ·Krista Wenzel joined PSQ Holdings as VP of Accounting in September 2024 and became SVP of Finance & Accounting in November 2025.
• ·New structure: Pena focuses on financial planning, capital allocation, operational finance; Wenzel leads accounting, reporting, auditing.

07-04-2026

Flowers Foods, Inc. entered into a Term Loan Credit Agreement dated April 6, 2026, with various lenders, Wells Fargo Bank, National Association as administrative agent, Bank of America, N.A. and Royal Bank of Canada as co-syndication agents, and others as co-documentation agents and joint lead arrangers. The agreement establishes a term loan facility with initial applicable margins of 0.375% for Base Rate Loans and 1.375% for SOFR Loans, and a ticking fee of 0.175%, with pricing adjusting based on leverage ratio levels and debt ratings per a pricing grid. It includes standard covenants such as maximum leverage ratio and minimum interest coverage ratio, conditions precedent, representations, warranties, and events of default, with no specific commitment amounts or funding dates disclosed in the filing.

• ·Filing date: April 07, 2026
• ·2026 Notes issued pursuant to Indenture dated April 3, 2012
• ·Pricing grid includes Level VII at 1.000% Base Rate margin, 2.000% SOFR margin, 0.250% ticking fee if Debt Rating Ba2/BB or below
• ·Negative covenants include limits on liens, indebtedness, restricted payments, and transactions with affiliates

07-04-2026

American Healthcare REIT, Inc. and its subsidiaries entered into a Second Amendment to the Second Amended and Restated Credit Agreement effective April 1, 2026, amending terms via Annex I (not provided), adding multiple subsidiary guarantors, and terminating the revolving commitments of exiting lender Barclays Bank PLC upon full payment of its obligations. The amendment facilitates reallocation of outstanding revolving loans among remaining lenders, including Bank of America, N.A. as Administrative Agent, with conditions precedent confirming no Default or Event of Default post-amendment. No specific financial metrics or changes in borrowing capacity were disclosed.

• ·Original Credit Agreement dated February 14, 2024; First Amendment dated December 9, 2024.
• ·Legal opinion provided by Clifford Chance US LLP.

07-04-2026

Nabors Industries Ltd (Holdings) and Nabors Industries, Inc. (Borrower) entered into an Incremental Joinder to their Amended and Restated Credit Agreement dated June 17, 2024, establishing a $25,000,000 incremental commitment from BOKF, NA dba Bank of Texas, increasing the US Dollar Letters of Credit Maximum Amount from $125,000,000 to $150,000,000. This amendment enhances the company's letter of credit capacity pursuant to Section 2.23 of the Credit Agreement. No declines or flat metrics are reported; the change represents a 20% increase in the facility limit.

• ·Joinder becomes effective upon receipt of executed counterparts, expense reimbursement, true and correct representations and warranties, no Default or Event of Default, pro forma covenant compliance, and officer certificates.
• ·Amends recitals, adds 'Joinder Effective Date' definition, restates 'Letters of Credit Maximum Amount' definition, and updates Schedule V.
• ·Governed by New York law; constitutes a Loan Document.

07-04-2026

AppLovin Corporation announced executive succession plans: Basil Shikin will transition from Chief Technology Officer to Distinguished Engineer effective July 1, 2026, succeeded by Giovanni Ge as CTO; Victoria Valenzuela will retire as Chief Administrative & Legal Officer effective August 1, 2026, succeeded by Corina Cacovean as Chief Legal Officer. Craig Billings was appointed as independent Chairperson of the Board, succeeding his role as Lead Independent Director, while Alyssa Harvey Dawson will not stand for re-election at the 2026 Annual Meeting.

• ·Giovanni Ge joined AppLovin in November 2022 and led development of Axon 2.0.
• ·Corina Cacovean joined via acquisition of Machine Zone in 2020 and has served as Deputy General Counsel since September 2023.
• ·Craig Billings has been on the Board since the IPO and first engaged with AppLovin as a customer in 2013.
• ·Filing date: April 7, 2026; 2026 Annual Meeting of Stockholders referenced.

07-04-2026

New Fortress Energy Inc., through its subsidiary NFE Power PR LLC, completed the sale of certain turbines (Equipment) to Macquarie Energy LLC for $265,882,500 on April 1, 2026, as part of a sale-leaseback transaction. NFE Turbines LLC, another subsidiary, entered into a 10-year Master Lease Agreement to lease the Equipment back from Macquarie, expected to commence on July 1, 2026, with the parent company providing guarantees for both agreements. The net proceeds were used to repay certain indebtedness, providing immediate liquidity while introducing a long-term lease obligation.

• ·Transaction reported under Items 1.01 (Entry into Material Definitive Agreement) and 2.03 (Creation of Direct Financial Obligation)
• ·Lease term: 10 years
• ·Lease expected to begin: July 1, 2026
• ·Company provides parent guarantee for Lessee’s obligations under the Lease and Seller’s obligations under the Purchase Agreement

07-04-2026

Duos Technologies Group, Inc. appointed Douglas Recker as Chief Executive Officer and President effective April 1, 2026, following Charles Ferry's resignation from the CEO role; Ferry remains a Director and continues as CEO of New APR Energy, LLC, in which the Company holds a 5% equity interest. Ferry's equity award agreement, originally granting 552,889 shares vesting on December 31, 2027, was amended to 261,445 shares, now conditioned on his continued service as Director. The amendment is detailed in Exhibit 10.1.

• ·Original Equity Award Agreement effective January 1, 2025, with three-year cliff vesting on December 31, 2027.
• ·Common stock par value $0.001 per share, traded as DUOT on Nasdaq.
• ·Event reported April 1, 2026; filing dated April 7, 2026.

07-04-2026

BlackSky Technology Inc. announced the resignation of Tracy Ward as Senior Vice President, Controller, and Principal Accounting Officer, effective April 24, 2026, to pursue another opportunity, with no disputes or disagreements with the company. Henry Dubois, the current Chief Financial Officer and Principal Financial Officer, has been appointed as the new Principal Accounting Officer effective upon Ms. Ward's departure, with no new compensatory arrangements. Background on Mr. Dubois is available in the company's proxy statement filed on July 24, 2025.

• ·Resignation informed to company on April 2, 2026.
• ·Filing signed by Christiana Lin on April 7, 2026.

07-04-2026

MGM Resorts International entered into a Voting Agreement on April 3, 2026, with IAC Inc. and Barry Diller, requiring IAC, Diller, and their affiliates (Covered Entities) to vote Excess Voting Securities exceeding 25.73% of the Company's total voting power in proportion to non-Covered stockholders. The agreement supports IAC's designation of up to two Qualified Directors for the Board and terminates upon Covered Entities owning less than 17.5% of voting securities, failure to meet nomination conditions, or a change of control. No financial impacts or performance metrics are disclosed.

• ·Agreement termination also occurs if Board fails Nomination Condition or upon Company change of control.
• ·Diller Entities excluded from voting restrictions once Diller ceases IAC Chairman/Senior Executive role and owns <1/3 of IAC voting power.
• ·As of agreement date, Barry Diller deemed designated by IAC for Board service.
• ·Voting applies to annual/special stockholder meetings or actions by written consent.

07-04-2026

On April 1, 2026, Stanley A. Moore resigned from the Board of Ares Industrial Real Estate Income Trust Inc., effective immediately, with no disagreements with management, operations, policies, or practices. The Board appointed Scott W. Lang as an independent director, effective the same date, and assigned him to the conflicts resolution committee and audit committee. The Company entered into a standard indemnification agreement with Mr. Lang.

• ·Mr. Lang's professional background: CFO of KickCharge Creative since April 2025; Operating Partner/Board Member at Shore Capital Partners since January 2023; COO/CFO of All Metals Industries/Gerber Metal Supply from February 2023 to April 2025; prior senior roles at FirstService Residential, Everest Group International, and investment banks.
• ·Mr. Lang holds an M.B.A. from Columbia University and B.S. in Accounting from SUNY Oswego; Certified Public Accountant in New York.
• ·No arrangements or understandings for Mr. Lang's selection as director.
• ·No transactions with Mr. Lang required to be reported under Item 404(a) of Regulation S-K.
• ·Indemnification agreement filed as Exhibit 10.6 to Post-Effective Amendment No. 1 to Form S-11 (Reg. No. 333-200594) on July 1, 2016.

07-04-2026

Mattel, Inc. announced that Steve Totzke, President and Chief Commercial Officer, will step down effective May 1, 2026, and transition to Executive Advisor and President, Strategic Transition through December 31, 2026. Sanjay Luthra, Executive Vice President and Managing Director of EMEA and Global Direct-to-Consumer, has been promoted to succeed Totzke as Chief Commercial Officer, reporting to Chairman and CEO Ynon Kreiz. The announcement highlights Totzke's contributions to commercial growth and Luthra's successful leadership in EMEA, ensuring a smooth handover amid a positive outlook on Mattel's brand-centric strategy.

• ·Steve Totzke joined Mattel in 1996, appointed Chief Commercial Officer in 2018, and promoted to President in 2022; served on boards of Toy Association, Mattel Children’s Foundation, and Advisory Board for Women in Toys, Licensing, and Entertainment Association; inducted into Canadian Toy Association Hall of Fame in 2025.
• ·Sanjay Luthra joined Mattel India in 2003, held leadership roles in Eastern Europe and Canada; Chairman of Toy Industries of Europe for past seven years; will be based in El Segundo, California.

07-04-2026

On April 1, 2026, Ares Real Estate Income Trust Inc. issued 1,020,998 Class S-PR shares for gross proceeds of $8,392,942 and 1,569,934 Class I-PR shares for $12,747,866 pursuant to Regulation D exemptions, including distribution reinvestment plan activity. On April 7, 2026, director Brian P. Mathis resigned from the Board with no disagreements, and Bryan B. Sanchez was appointed as an independent director, also joining the conflicts resolution and nominating and corporate governance committees. The company entered into a standard indemnification agreement with Mr. Sanchez.

• ·Mr. Mathis’s resignation was not the result of any disagreement with management, the Company or its operations, policies or practices.
• ·No arrangements or understandings between Mr. Sanchez and any other persons pursuant to which he was selected as a director.
• ·No transactions between the Company and Mr. Sanchez required to be reported under Item 404(a) of Regulation S-K.
• ·Mr. Sanchez's experience includes CEO of Lionstone Investments (2021-2023), Senior Advisor at Boston Consulting Group (since 2024), M.B.A. from Harvard Business School.

07-04-2026

Wellgistics Health, Inc. entered into a Note Purchase Agreement dated April 1, 2026, for a private offering of promissory notes with an aggregate principal amount of up to $1,250,000 and an aggregate purchase price of $1,000,000. The agreement involves Dawson James Securities, Inc. as Placement Agent and is subject to closing conditions including representations, warranties, and delivery of executed documents. No financial performance metrics or period-over-period comparisons are provided in the filing.

• ·Agreement closing to occur remotely via exchange of documents on or around April 1, 2026.
• ·Notes subject to Nasdaq rules limiting Common Stock issuance without stockholder approval.
• ·Company represents no outstanding Indebtedness except as disclosed on Schedule 7.4 and no Liens except as on Schedule 7.5.

07-04-2026

ATN International, Inc. (Nasdaq: ATNI) announced the appointment of Naji Khoury as President and Chief Executive Officer, effective April 20, 2026, succeeding Brad Martin, who is stepping down from his CEO and Board roles but will serve in an advisory capacity through the end of May 2026. Khoury brings nearly 30 years of telecommunications experience, including 14 years at Liberty Communications Puerto Rico where he was CEO for the last six years, positioning the company for growth in its digital infrastructure and communications services. The Board praised Martin's contributions to operational improvements and network investments, ensuring a smooth transition.

• ·Brad Martin to remain in advisory capacity through end of May 2026
• ·Company operates in US, Caribbean, focusing on rural/remote markets with wireless, wireline, fiber optic, and tower services
• ·Investor contacts: IR@atni.com and kbuchhorn@threepa.com

07-04-2026

On April 3, 2026, Ginkgo Bioworks Holdings, Inc. completed the contribution of its Biosecurity segment (Ginkgo Biosecurity, LLC) to Tower Biosecurity, Inc. (also known as Perimeter Systems, Inc.) in exchange for approximately 20% of the Purchaser's equity on a fully diluted basis, representing a strategic shift with Biosecurity results to be reported as discontinued operations starting in the Q1 2026 10-Q. Pro forma financials for 2025 show total revenue declining 22% to $132.7M (from $170.2M historical) after removing $37.4M Biosecurity revenue, but net loss improved to $287.8M (from $312.8M) due to elimination of associated costs. While losses narrowed YoY in pro forma results (2025 $287.8M vs. 2024 $507.6M), core Cell Engineering revenue fell 24% from 2024 pro forma levels, highlighting ongoing profitability challenges.

• ·Pro forma net loss per share for 2025: $(6.00) vs historical $(5.64)
• ·Biosecurity service revenue removed: $37.4M in 2025, $53.1M in 2024, $78.975M service + $28.9M product in 2023
• ·Pro forma investments increase by $12.3M from equity method accounting of 20% stake
• ·Historical goodwill impairment $47.9M and lease impairment $96.2M remain in pro forma results

07-04-2026

WM Technology, Inc. (Nasdaq: MAPS) announced its voluntary delisting of Class A common stock and warrants from Nasdaq, with Form 25 filing expected around April 17, 2026, and last trading day around April 24, 2026, followed by Form 15 to suspend SEC reporting. The Board cited benefits like reduced regulatory burdens and greater operational agility in the cannabis industry for long-term value creation. However, the move highlights challenges including limited liquidity, lack of investor interest, and potential reduced trading volume and volatility on OTC markets.

• ·Company founded in 2008 and headquartered in Irvine, California.
• ·Expects securities to be quoted on OTC markets post-delisting, but no guarantee of broker market-making.
• ·Forward-looking statements include risks like market reactions, lower liquidity on OTC, and ongoing litigation/regulatory issues.

07-04-2026

Capital One Financial Corporation completed its acquisition of Brex Inc. on April 7, 2026, for approximately $2.56 billion in cash and 10,646,306 shares of common stock, pursuant to a Merger Agreement dated January 22, 2026. The cash payment is subject to customary post-closing adjustments, and the stock issuance was exempt from registration under Section 4(a)(2) of the Securities Act. The Board also approved a special award of 11,041 restricted stock units valued at approximately $2.0 million to Frank LaPrade, Chief Enterprise Services Officer and Chief of Staff to the CEO, for his contributions to the transaction and anticipated integration work.

• ·Merger Agreement dated January 22, 2026.
• ·RSUs vest in three equal annual installments on the first, second, and third anniversaries of the grant date, settling 100% in Company Common Stock.
• ·Cash payment subject to customary post-closing adjustment.

07-04-2026

Supernus Pharmaceuticals, Inc. entered into an Asset Purchase Agreement effective April 1, 2026, with Navitor Pharmaceuticals, Inc. and Navitor Pharmaceuticals, LLC to acquire certain assets related to the Compound (NV-5138 or SPN-820), following exercise of an option under a prior Development Agreement (April 21, 2020) and a Binding MOU (May 5, 2025). The acquisition targets a late-stage psychiatry pipeline asset to complement Supernus's CNS neurology portfolio. No purchase price or financial terms are disclosed in the provided filing excerpt.

• ·Filing Type: 8-K (Items 1.01, 2.01, 9.01)
• ·Filing Date: April 07, 2026
• ·Buyer described as public CNS specialty pharmaceutical company with neurology assets and late-stage psychiatry pipeline

07-04-2026

Richtech Robotics Inc. entered into a Purchase and Sale Agreement on April 1, 2026, with PSIF EBS Rainbow LLC to acquire an approximately 79,325 square foot building located at 9530 S. Rainbow Blvd., Las Vegas, Nevada 89139, for a purchase price of $21,180,000, inclusive of $600,000 earnest money. The Company plans to use the property as a U.S.-based facility for warehousing, assembly, light manufacturing, research and development, testing, and robotics-driven data collection to support its robotics and AI systems. Closing is targeted for 15 days after the expiration of a 45-day inspection period, subject to customary conditions, representations, warranties, and the Company's right to terminate during the inspection period.

• ·Inspection Period ends 45 days after April 1, 2026
• ·Closing Date targeted as the 15th day after Inspection Period expiration
• ·Property address: 9530 S. Rainbow Blvd., Las Vegas, Nevada 89139

07-04-2026

Atlas Lithium Corporation announced the immediate resignation of Director Rodrigo Menck on April 1, 2026, for personal reasons with no disagreements on company operations, policies, or practices. The Board appointed Admiral (Ret.) Flávio Augusto Viana Rocha, a former Four-Star Brazilian Navy Admiral with extensive government, military, and board experience, as an independent director effective April 6, 2026, and assigned him to the Audit Committee. Admiral Rocha will receive a monthly cash board service fee of approximately US$9,700, with no equity awards or related party transactions.

• ·Admiral Rocha is independent under Nasdaq rules and has no family relationships with any director or officer.
• ·Admiral Rocha served 43 years in Brazilian Navy, held Minister-level government roles, and has board experience in energy and insurance sectors.
• ·No arrangements or understandings pursuant to which Admiral Rocha was selected as director.

07-04-2026

Perma-Pipe International Holdings, Inc. (Nasdaq: PPIH) announced the appointment of Nancy Zakhour as an independent director, serving on the Audit, Compensation, and Nominating and Corporate Governance Committees, and Saleh Sagr, the President and CEO, as a director, both effective April 8, 2026. Ms. Zakhour brings extensive experience in renewable energy, oil & gas, investment banking, and carbon capture projects from roles at Clean Energy Services, Piper Sandler, Occidental Petroleum, and others. The board and leadership highlighted these additions as strengthening strategic oversight and supporting long-term growth amid the energy transition.

• ·Nancy Zakhour holds a Bachelor of Engineering in Electrical and Computer Engineering from the American University of Beirut and an MBA from Rice University; recipient of SPE Regional Completions Optimization and Technology Award and Hart Energy’s 40 Under Forty Award.
• ·Saleh Sagr, age 56, has served as President and CEO since June 7, 2025, with over 30 years in pipeline coating, industrial manufacturing, and international operations.
• ·Company contact: Perma-Pipe Investor Relations (847) 929-1200, investor@permapipe.com.

07-04-2026

Haymaker Acquisition Corp. 4, a Cayman Islands exempted company, entered into a Non-Redemption Agreement dated April 1, 2026, with an undersigned shareholder (Holder) regarding its pending Business Combination with Concrete Partners Holding, LLC, originally agreed on October 9, 2025. The Holder, who had elected to redeem 250,000 Public Shares, agreed to reverse the redemption, waive further redemption rights on these shares, refrain from transferring them until closing, and vote them in favor of the Business Combination. In exchange, the Company will pay the Holder post-closing an amount equal to (actual redemption price per share minus $10.75) multiplied by 250,000 shares.

• ·Agreement filed as Exhibit 99.1 in 8-K on April 07, 2026 (Items 1.01, 5.07, 9.01)
• ·Public Shares have par value $0.0001 per share
• ·Holder may own additional 'Other Shares' not subject to this agreement and eligible for redemption
• ·Payment conditioned on Redemption Reversal evidence, holding shares through Closing Date, and compliance with voting/no-transfer covenants

07-04-2026

On April 7, 2026, AI Era Corp. accepted the resignation of Chiyuan Deng as Chief Financial Officer, effective immediately, though he will continue serving as President and director with no disagreements on company matters. The Board appointed Dzmitry Kastahorau, age 35 with over 10 years of international finance experience, as the new CFO and Principal Accounting Officer. His employment agreement includes a $300,000 sign-on bonus in restricted stock, $60,000 annual base salary, 1,500,000 stock options vesting over three years, and up to 1,000,000 performance shares.

• ·Employment Agreement dated April 6, 2026, with 3-year initial term and automatic renewals.
• ·Stock options include full acceleration upon Change of Control or termination without Cause.
• ·No family relationships between Mr. Kastahorau and any director/executive officer; no disclosable transactions under Item 404(a).
• ·Mr. Kastahorau's education: Master of International Finance from EADA Business School; Bachelor of Business Administration from La Salle and International University of Monaco.