Each material 8-K filed by a company listed on a US stock exchange (NYSE, Nasdaq, Cboe), read and summarized: what happened, the key numbers, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). This page lists the last 45 days; every brief stays on its company's 8-K page (4787 companies, A–Z).
Capstone Holding Corp. agreed with lender 3i, LP to push the maturity of its remaining convertible note from October 22, 2026 to December 13, 2027, with about $900,000 in principal outstanding. The lender also agreed not to enforce existing defaults before the new maturity date, and the company extended its common stock purchase agreement with Tumim Stone Capital, LLC, which is tied to up to $20,000,000 of share sales. The deal eases near-term debt repayment pressure, but the note's conversion rights remain unchanged and the press release lists going-concern risk among its forward-looking statements.
Note maturity moved from October 22, 2026 to December 13, 2027; about $900,000 principal outstanding as of November 6, 2026.
Lender will not enforce defaults arising on or before November 6, 2026 before the new maturity, and no default interest or late charges accrue through that date on those defaults.
Tumim Stone purchase agreement term extended from July 1, 2027 to January 1, 2028; the agreement covers up to $20,000,000 of common stock.
Press release says about 87% of the original $6.8 million in convertible note principal has been retired.
On November 5, 2026, Inovio agreed to sell 58,747,235 common shares at $1.05 each and pre-funded warrants for 12,681,337 shares at $1.049 each, and on November 6 the underwriters exercised their option to buy 10,714,285 more shares in full. Net proceeds are expected to be about $80.5 million, with closing expected on or about November 9, 2026. The sale adds to the shares outstanding, which dilutes existing holders, but the company says the proceeds and current cash will fund operations into late fourth quarter 2027.
58,747,235 common shares sold at $1.05 per share, plus pre-funded warrants for 12,681,337 shares at $1.049 each
Underwriters exercised their option for 10,714,285 additional shares in full on November 6, 2026
Net proceeds expected to be about $80.5 million; closing expected on or about November 9, 2026
Company believes proceeds and current cash will fund operations into late fourth quarter 2027
Akamai announced a proposed private offering of $1.1 billion of 2028 convertible senior notes and $1.1 billion of 2031 convertible senior notes, subject to market conditions. On November 5, 2026, it also amended its credit agreement, raising the maximum leverage ratio covenant and tightening the limit on secured subsidiary debt, which the filing says applies through March 31, 2028.
Two $1.1 billion offerings: 2028 notes maturing November 15, 2028, and 2031 notes maturing November 15, 2031, with an option for initial purchasers to buy up to an additional $150.0 million of each series.
Proceeds are intended to repay part of the $1.15 billion 0.375% convertible notes due September 1, 2027, fund Cloud Infrastructure Services capital expenditures, pay hedge costs, and for general corporate purposes.
Fourth Amendment dated November 5, 2026, with JPMorgan Chase Bank, N.A. as agent, sets the maximum leverage ratio at 6.25:1.00 for quarters ending December 31, 2026 and March 31, 2027, stepping down to 3.75:1.00 for the quarter ending March
Akamai states there is no assurance the offering will be completed on the anticipated terms, or at all; pricing terms are yet to be set.
Vivid Seats reported third-quarter 2026 revenue of $126.9 million, down from $136.4 million a year earlier, while its net loss narrowed to $17.4 million from $19.7 million and adjusted EBITDA rose to $8.9 million from $4.9 million. The company also reached an agreement in principle with an ad hoc group of term lenders on a recapitalization that would provide $60 million of new money term loans, convert a significant portion of existing debt into equity, and cut funded debt by about $200 million, subject to definitive documentation.
Q3 2026 revenue was $126.9 million versus $136.4 million in Q3 2025; net loss was $17.4 million versus $19.7 million.
Adjusted EBITDA was $8.9 million versus $4.9 million; Marketplace GOV was $624.0 million versus $618.1 million.
Proposed transaction includes $60 million of new money term loans, conversion of a significant portion of debt into equity, a reduction of about $200 million in funded debt, and an extended maturity on remaining debt.
2026 outlook was continued: Marketplace GOV of $2.3 billion to $2.6 billion and adjusted EBITDA of $34.0 million to $40.0 million; the transaction remains subject to definitive documentation.
CKX Lands and Jacobs Private Equity II agreed to a definitive investment agreement providing for a $1 billion cash equity investment in CKX. After closing, JPE will be the controlling stockholder and Brad Jacobs will become chairman and CEO, and the filing describes substantial dilution from convertible preferred stock and warrants. The deal requires CKX stockholder approval and is expected to close in early 2027.
$1 billion total investment: $900 million from JPE and $100 million from co-investors led by HRTG Partners
Upon closing, JPE will hold a majority stake and Brad Jacobs will become chairman and CEO of CKX
Investors would receive convertible preferred stock convertible into about 219 million common shares at $4.57 per share, plus warrants for about 219 million shares
CKX will declare an aggregate cash dividend of $20.8 million, or $10.1312 per share, with a record date shortly before closing; closing is expected in early 2027
Clean Energy Technologies, Inc. sold FuFront AI Pte. Ltd. a convertible promissory note with a principal amount of $2,000,000 for the same purchase price, with funding received and the transaction closed on November 4, 2026. The note carries 12% annual interest, matures October 3, 2027, and can convert into common stock at a discount to recent trading prices, which could dilute existing shareholders.
Principal of $2,000,000 at a purchase price of $2,000,000; closed November 4, 2026
Interest accrues at 12% per annum; note matures October 3, 2027
Convertible six months after issuance at 85% of the lowest traded price over the prior ten trading days
Conversion limited to 4.99% beneficial ownership, and to 2,432,004 aggregate shares absent Nasdaq Rule 5635(d) shareholder approval; holder deducts $1,750 per conversion for fees
Gogo and its subsidiary GIH signed a third amendment to their 2021 credit agreement, converting $544.4 million of term loans into new 2026 Extended Term Loans that mature October 31, 2030. The amendment requires $75 million of prepayments through December 31, 2027 and sets a higher interest margin of 5.75% over SOFR, so shareholders gain more time on debt maturities but pay more in interest and face required debt repayments.
2026 Extended Term Loans of $544.4 million mature October 31, 2030; Initial Term Loans of $33.4 million mature April 30, 2028
Required prepayments: $25.0 million on the November 6, 2026 closing date, $30.0 million by December 31, 2026, and $20.0 million by December 31, 2027
Interest at SOFR plus 5.75% or an alternate base rate plus 4.75%; quarterly amortization begins March 31, 2027
Amendment adds certain foreign subsidiaries as guarantors and grants additional collateral on a pari passu basis with the HPS Credit Agreement
NextNRG, Inc. closed a debt exchange on November 3, 2026, in which CEO Michael D. Farkas exchanged $7,000,000 of notes, interest and guarantee fees for 7,000 shares of newly designated Series D Convertible Voting Preferred Stock. The company says this reduces indebtedness and supports its efforts to meet Nasdaq's $2.5 million stockholders' equity requirement, but the filing states that the exchange alone does not satisfy that requirement. The Series D shares accrue an 18% annual cumulative dividend, are convertible into common stock at an initial $2.20 price, and carry voting rights, which may dilute common shareholders.
Exchange covered $3,629,924 in note principal, $2,749,169 in accrued interest and $620,907 in guarantee fees, with the closing on November 3, 2026
7,000 Series D shares carry an initial stated value of $1,000 per share, with a cumulative dividend of 18% a year compounding monthly
Initial conversion price is $2.20 per share; conversion and voting are capped at 1,684,224 shares, or 9.99%, until the Cap Release Date
Nasdaq requires at least $2.5 million in stockholders' equity; the exchange alone does not satisfy that requirement, and the company awaits a Nasdaq Hearings Panel decision
60 Degrees Pharmaceuticals agreed on November 5, 2026, to offer inducement letters to holders of existing warrants, who would exercise 584,492 shares at a reduced $0.90 per share. The company expects gross proceeds of $526,042.80 before fees, and in exchange will issue new unregistered warrants for up to 1,168,984 shares, which could add to share count and dilute existing shareholders.
Holders would exercise existing warrants for 584,492 shares at a reduced $0.90 per share, with expected gross proceeds of $526,042.80 before fees.
New warrants for up to 1,168,984 shares, equal to 200% of the exercised shares, carry a $0.90 exercise price and cannot be exercised before stockholder approval.
H.C. Wainwright & Co. is placement agent, receiving a 7.5% cash fee, a 1.0% management fee and placement agent warrants for 43,837 shares.
Closing is expected on or about November 9, 2026, subject to customary conditions.
Annovis Bio agreed on November 5, 2026 to sell 19,000,000 shares of common stock (or pre-funded warrants in lieu of shares) with accompanying warrants, with expected gross proceeds of approximately $21.0 million before underwriting discounts and expenses. The offering adds shares and warrants that could dilute existing shareholders, while the company plans to use the proceeds for clinical development of buntanetap and working capital.
Offering of 19,000,000 shares plus pre-funded warrants for up to 2,000,000 shares, with accompanying warrants for up to 21,000,000 shares, priced at $1.00 per share and accompanying warrant
Accompanying warrants are exercisable at $1.00 per share and expire five years after issuance
One of the company's directors is buying 5,000,000 shares and accompanying warrants for $5,000,000
Offering is expected to close on or about November 6, 2026, with Canaccord Genuity LLC as underwriter
Spruce Power subsidiaries amended their KeyBank credit agreement on October 30, 2026, changing covenant terms tied to a refinancing and requiring new deliverables by November 9, 2026. The same day, subsidiaries signed a non-binding term sheet with a financial institution for a funded debt facility to refinance the SP1, SP2 and SP3 facilities, but the filing states the terms remain indicative and subject to change. The filing also warns that failure to complete a refinancing by January 30, 2027 could have serious consequences, including going-concern risk.
October 30, 2026: subsidiaries amended the Second KeyBank Credit Agreement and entered a term sheet with a financial institution
By November 9, 2026: company must deliver a long-term financial model assuming refinancing of Senior Loan Obligations, and SP4 HoldCo and SP5 HoldCo must execute agreements for the SP4/SP5 Collateral Addition covenant
The proposed Refinancing Facility would refinance the SP1, SP2 and SP3 facilities; the filing cites a January 30, 2027 refinancing risk date
HCW Biologics entered into a notes purchase agreement with Streeterville Capital on November 3, 2026, and closed the financing on November 4, 2026. The company received $3.0 million at closing, with a further $7.0 million held in a controlled account subject to conditions, and says it will use the proceeds for clinical development, business development and general corporate purposes. The notes are secured and carry lender redemption rights, default triggers and a 10% prepayment premium, which shareholders should weigh against the added funding.
$3.0 million received at closing on November 4, 2026, after $30,000 in transaction costs; a further $7.0 million is deposited in a controlled account subject to conditions
Promissory Note A-1 of $3.2 million includes a $240,000 original issue discount; Note B of $7.0 million carries no discount; both are due in 24 months, at 8% and 5% interest per annum
Beginning six months after closing, the lender may redeem up to $125,000 per calendar month on the A-1 Note; the notes are secured by a controlled account, a subsidiary guaranty and a pledge of subsidiary membership interests
Maxim Group LLC, the placement agent, is to receive a cash fee of 7.0% of gross proceeds
3D Systems agreed on November 4, 2026 to exchange all $92,030,000 of its 5.875% convertible senior secured notes due 2030 for $85,000,000 of new 3.30% convertible notes due 2031, 13,471,138 common shares and $20,000,000 in cash. The company says the exchange would eliminate all secured debt, and it expects to close on or about November 12, 2026, subject to conditions. Shareholders face potential dilution from the new shares and the up to 32,196,963 shares that could be issued on conversion, and the company receives no cash proceeds from the exchange.
Exchange covers all $92,030,000 of 2030 Notes; holders receive $85,000,000 of 3.30% notes due April 1, 2031, 13,471,138 shares and $20,000,000 in cash
New notes carry an initial conversion price of about $3.43, a premium of about 30.0% over the $2.64 closing price on November 4, 2026
Closing expected on or about November 12, 2026; closing may be postponed to November 19 or December 4, 2026, and the agreements terminate if closing has not occurred by December 15, 2026
The company will not receive any cash proceeds from the exchange
On November 2, 2026, AEON Biopharma amended its two-year milestone warrants to reduce their exercise price from about $0.32 to $0.20 per share, with holders of at least 67% of the underlying shares agreeing. Certain holders have agreed to exercise at the lower price, and the company expects about $6.2 million in gross proceeds. The amendment applies to all outstanding warrants, which expire on November 16, 2026, after the FDA's September 30 feedback triggered accelerated expiration.
Exercise price cut from $0.3221 to $0.20 per common share, effective November 2, 2026
Company expects approximately $6.2 million in gross proceeds from warrant exercises
Amendment applies to all outstanding Two-Year Warrants; share count and expiration date unchanged
Warrants expire November 16, 2026; 71,517,020 common shares were outstanding as of October 30, 2026
Tevogen amended its loan agreement with The Patel Family, LLP, extending the borrowing window to May 31, 2029 and fixing a $7.40 per-share price for share-based repayments. On November 2, 2026, the company repaid the entire $7.4 million principal balance and $177,880 of accrued interest by issuing 1,000,000 principal shares and 23,733 interest shares, eliminating all loan liabilities. The filing also grants CEO Ryan Saadi a 50,000,000-share restricted award that vests only if Tevogen reaches $1.0 billion in aggregate revenue by December 31, 2031.
Loan amended October 27, 2026; borrowing window extended from May 31, 2027 to May 31, 2029; up to $28.6 million remaining available
November 2, 2026: $7.4 million principal and $177,880 interest repaid in 1,000,000 principal shares and 23,733 interest shares
CEO Ryan Saadi granted 50,000,000 restricted shares, vesting only if $1.0 billion aggregate revenue is certified by December 31, 2031
Filing states Saadi held approximately 90.9% of voting power after the grant and repayment
Workhorse Group entered into Amendment No. 4 to its Cash Flow Credit Agreement and Amendment No. 3 to its Customer Order Credit Agreement, both with lender Motive GM Holdings II LLC, dated October 27, 2026. The amendments raise the Customer Order commitment from $20 million to $30 million and defer interest payments on the additional $10 million loans until after March 31, 2027, which adds to the company's borrowing from its lender.
Customer Order Credit Agreement commitment increases from $20,000,000 to $30,000,000.
Interest on the additional $10,000,000 loan is deferred until the first Interest Payment Date after March 31, 2027.
Cash Flow Credit Agreement interest on additional $10,000,000 loans from three earlier amendments is also deferred to after March 31, 2027.
Amendments were dated October 27, 2026, and the filing was signed November 2, 2026 by CFO Jody Davis.
AAR CORP. distributed a preliminary offering memorandum for $955 million of senior notes due 2031 and $960 million of senior notes due 2034, sold only to qualified institutional buyers and certain non-U.S. persons. The notes are one part of the transactions that include the pending acquisition of a 65% stake in MRO Holdings, which has an implied enterprise value of about $4.0 billion, so the deal adds about $1.9 billion of debt for shareholders to weigh against the target's recent results, which show higher revenue but lower net income.
Acquisition: AAR would acquire 6,500 shares, or 65%, of MRO Holdings at an implied enterprise value of about $4.0 billion under a Share Purchase Agreement dated September 28, 2026
MRO Holdings, six months ended June 30, 2026 (IFRS, unaudited): revenue $489.1 million vs. $465.8 million a year earlier; net income $38.1 million vs. $63.8 million
Intrusion Inc. exchanged $4.0 million of secured promissory notes held by Streeterville Capital for 4,000 shares of newly designated Series B Preferred Stock, with no other consideration exchanged. The company said the exchange lifts its stockholders' equity above $5.0 million, which it believes allows it to request a second 180-day Nasdaq extension to regain compliance with the $1.00 minimum bid price, though Nasdaq may not grant it. The Series B shares carry a 10% annual preferred return and rank senior to common stock, and their protective covenants restrict the company's future debt and equity issuance.
Notes of $3.25 million and $750,000, partitioned from April 6, 2026 and August 28, 2026 notes, were exchanged for 4,000 Series B shares with a $1,100 stated value each, cancelling $4.0 million of principal.
Series B Preferred Stock is non-voting and non-convertible, accrues a 10% annual preferred return, and ranks senior to common stock on dividends and liquidation.
Protective covenants bar the company from incurring debt, issuing equity, or completing reverse splits (other than for Nasdaq compliance) without majority Series B consent.
The company believes it qualifies for a second 180-calendar-day Nasdaq extension, but states there can be no assurance Nasdaq will grant it.
On October 30, 2026, Kosmos Energy amended and restated its commercial debt facility, extending the final maturity to April 1, 2033 and deferring principal reduction to October 1, 2029. Total facility size was reduced to $1.2 billion, with an option to add up to $550 million, and a new $200 million minimum liquidity covenant was added, which may matter to shareholders as the company's borrowing terms change.
Final maturity extended to April 1, 2033; principal reduction starts October 1, 2029, in equal amounts every six months
Applicable interest margin of 4.50% for the first three years, with subsequent increases during the amortization period
New minimum liquidity covenant of $200 million, tested semi-annually beginning March 31, 2027
Total facility size reduced to $1.2 billion; option to increase commitments by up to $550 million to $1.75 billion; fees and expenses expected to be approximately $20 million
Xerox Holdings and Xerox Corporation agreed with consenting holders to exchange about $174.0 million of 2028 notes, about 31.1% of that series, for new 10.250% first lien notes due 2030 and Holdings common stock. The companies expect the transaction to reduce overall debt principal by about $53 million and extend $121 million of debt maturing in 2028 to 2030, but it also adds new shares and a higher coupon than the 5.500% 2028 notes.
Exchange offer covers about $174.0 million of 2028 notes, or 31.1% of the outstanding series.
For each $1,000 of 2028 notes exchanged, holders receive $690 of new 10.250% first lien notes due 2030 and 3,872,062 shares of common stock in total, or an additional $60 principal of notes in limited circumstances.
Early exchange deadline is November 12, 2026; settlement is expected on or about November 13, 2026.
The companies expect the transaction to reduce overall debt principal by about $53 million and keep cash interest approximately neutral.
New Era Energy & Digital agreed on October 28, 2026 to sell 23,272,727 common shares at $2.75 per share to accredited investors, for gross proceeds of about $64 million, with closing expected October 30, 2026. The company expects to use the net proceeds mainly to repay debt, including $36 million under its Macquarie term loan, and for working capital, and the new shares would raise shares outstanding from 117,291,542 to 140,564,269.
23,272,727 shares at $2.75 per share, for gross proceeds of about $64 million; closing expected October 30, 2026
Shares outstanding would rise from 117,291,542 to 140,564,269 after closing
Proceeds expected to repay debt, including $36 million under the Macquarie term loan, plus working capital and general corporate purposes
Northland Capital Markets is placement agent, receiving a 6% fee on gross proceeds; company must file a resale registration statement within 15 business days
On October 22, 2026, GridAI Technologies agreed to sell pre-funded warrants and common warrants, each covering up to 462,365 shares of common stock, for gross proceeds of approximately $2.15 million, and issued them on October 26, 2026 in a private placement. The filing says the warrants could increase the number of shares outstanding if exercised, which matters to shareholders because it can dilute existing holdings, though the company will receive cash proceeds now.
Each pre-funded warrant plus one common warrant was priced at a combined US$4.65.
Pre-funded warrants have an exercise price of $0.0001 per share and no expiration date.
Common warrants have an exercise price of US$4.525 per share and expire five years after the earlier of the registration statement's effective date or the date the shares can be resold under Rule 144.
The company plans to use net proceeds for general corporate purposes, which may include acquisitions, debt repayment and working capital.
Broadcom said financial partners took on part of certain agreements to buy AI racks built on its custom accelerators, along with related customer leases. The company is providing residual value support to a newly formed special purpose vehicle, with maximum potential liability of approximately $43 billion on an undiscounted basis once the racks are deployed. Shareholders face a large contingent obligation, which the company says it views as having a low probability of occurring.
Arrangement dated October 26, 2026, with financial partners taking on a portion of AI rack purchase agreements and related customer leases
Residual value support provided to a newly formed special purpose vehicle called the Backstop
Maximum potential liability of approximately $43 billion, undiscounted, upon deployment of the AI racks
Potential liability equals the difference between 72.5% of outstanding lease amounts and the value of the racks sold
Endovia Health Sciences entered into an addendum on October 22, 2026, to its equity line of credit with C/M Capital Master Fund, LP, raising the total maximum commitment from $35 million to $135 million, including prior sales. The addendum also sets updated terms for sales made beyond the initial 10,875,000 shares already sold and issued under the agreement, which affects how much new common stock the company may issue over time.
Addendum dated October 22, 2026, amends the Securities Purchase Agreement dated September 19, 2025, with C/M Capital Master Fund, LP
Total maximum commitment increases from $35 million to $135 million, inclusive of prior sales
Updated terms apply to sales above the initial 10,875,000 shares sold and issued under the agreement
Original agreement was filed as Exhibit 10.3 to a Form 8-K on September 25, 2025
GeoVax entered a revolving loan agreement dated October 25, 2026 with Bowery Consulting Group Inc. for up to $1 million outstanding at one time, at 12% interest, with no amount borrowed as of the filing. The lender can refuse any drawdown at its sole discretion, and either party can terminate the commitment. Five directors resigned effective October 23, 2026, and three lender-designated nominees now make up three of the five board seats, so shareholders should note both the costly, contingent financing and the shift in board control.
Loan facility of up to $1 million at 12% per annum, due on the first anniversary of closing; no amount borrowed as of the filing date
Lender may refuse any drawdown in its sole discretion, and either party may terminate the commitment at any time
Directors Randal Chase, Dean Kollintzas, Nicole Lemerond, Jayne Morgan and John Spencer, Jr. resigned effective October 23, 2026; Steven Brown, Tyler O'Brien and Manpreet Uppal were appointed as lender nominees
Nominees automatically resign if the initial public equity offering is not closed within ten business days after the S-1 becomes effective, or if at least $10 million in total financing is not completed by December 31, 2026
Invesco Ltd. borrowed the full $1.5 billion of an unsecured five-year term loan on October 26, 2026, and used it to repurchase $1.5 billion of its 5.9% preference shares held by MassMutual, a significant shareholder owning about 18.5% of common shares. The repurchase was made at a 12.5% premium to the $1,000 liquidation preference, and MassMutual will keep $1 billion of preferred stock. The loan adds debt that carries financial covenants, so it changes the company's debt load and its obligations ahead of common shareholders.
$1.5 billion unsecured term loan dated October 26, 2026, maturing October 26, 2031, borrowed in full at closing and guaranteed by Invesco Ltd.
Proceeds funded repurchase of $1.5 billion of 5.9% Series A Preference Shares from MassMutual at a 12.5% premium to the $1,000 liquidation preference per share.
Loan interest is Term SOFR or a base rate plus a margin; based on current credit ratings, the SOFR margin would be 1.350%.
Quarterly covenants require a Debt/EBITDA ratio of no more than 3.25:1.00 and interest coverage of at least 4.00:1.00.
On October 20, 2026, iQSTEL issued senior secured, non-convertible promissory notes of up to $3 million in aggregate to M2B Funding Corp. and ADI Funding LLC, along with pre-funded warrants for 420,000 shares, to help fund its planned 51% acquisition of Ultranet Telecom Group. The notes carry 18% annual interest and are secured by a first-priority interest in company collateral, and the warrants could add dilution, so the financing adds debt cost and potential share issuance for shareholders while the acquisition itself is not yet signed.
Up to $3 million in notes, split between two purchasers: first $750,000 per purchaser funded on or about October 20, 2026, and a second advance of up to $750,000 per purchaser due on or before December 1, 2026
Notes bear 18% annual interest payable monthly in cash; principal repaid in four equal installments over 24 months
Warrants for 420,000 shares at a $0.0001 exercise price were fully issued at the initial closing; holders may accelerate at 120% of funded principal after an uncured default
Company expects to sign the Ultranet share purchase agreement in November 2026 and target closing in the middle of the first quarter of 2027
Venu Holding Corp and subsidiaries executed agreements on October 20, 2026, selling the approximately 46-acre McKinney Parcel under The Sunset McKinney to STORE Capital Acquisitions, LLC and amending its Chapter 380 agreement with the City of McKinney. The city agreement lets the company keep operating control but adds a $3,000,000 cap on certain annual operations incentives and reduces a separated materials tax grant, while the company expects to be reimbursed the full $35,000,000 land purchase price if it meets construction milestones.
Land sale to STORE and the McKinney Sale-Leaseback closed on October 20, 2026, the Execution Date.
The company expects reimbursement of the full $35,000,000 land price ($10,000,000 cash plus $25,000,000 MEDC Note) if a TCO is received by December 3, 2027, or a CO by June 3, 2028.
Certain annual operations incentives for years 12 through 16 are capped at $3,000,000 in aggregate.
The filing excerpt does not state the sale-leaseback sale price.
Peraso Inc. agreed on October 26, 2026 to sell shares, pre-funded warrants and common warrants to Nant Capital, LLC for expected gross proceeds of about $10 million, before offering expenses. The deal, expected to close on or about October 28, 2026, adds cash but also issues a large number of new shares and warrants, which would dilute existing shareholders. It also gives Nant the right to designate board members while its stake stays at or above 5% of outstanding common stock.
Units priced at $0.5034, including Shares, Pre-Funded Warrants and Common Warrants; 3,271,355 shares and pre-funded warrants for 16,593,563 shares, plus common warrants for up to 19,864,918 shares
Common warrants have an exercise price of $0.3784 per share and a two-year term from issuance
Nant may designate two board members while it owns at least 16.7% of common stock, and one while it owns at least 5% but less than 16.7%; no designee has been appointed yet
Closing expected on or about October 28, 2026, subject to closing conditions; proceeds are for working capital and general corporate purposes
Traws Pharma entered a Common Stock Purchase Agreement with Roth Principal Investments, allowing the company to sell up to $50,000,000 of newly issued common stock over time at its own discretion. The company is under no obligation to sell any shares, and sales can begin only after a registration statement covering the resale of those shares is declared effective by the SEC.
Total commitment of up to $50,000,000 in newly issued common stock, at the company's option
Purchase price set at 94.0% of volume weighted average price, a fixed 6.0% discount, for market open, intraday, pre-market and post-market purchases
Sales require the closing price to be at least $0.10 (Threshold Price) and an effective registration statement; the period runs 36 months from the Commencement Date
Agreement dated October 23, 2026, with a related Registration Rights Agreement
FTAI Infrastructure's Jefferson Terminal unit announced plans for a private offering of up to $270 million of notes, a preliminary amount subject to market conditions, to finance its acquisition of DRUbit LLC for an enterprise value of $255 million and pay related fees. Jefferson reported a net loss of approximately $52.2 million for the six months ended June 30, 2026, and expects the acquisition to more than double its annual Adjusted EBITDA to about $100 million, though the filing gives no assurance the financing will be completed.
Notes offering of up to $270 million, preliminary and subject to change, to be offered to qualified institutional buyers and non-U.S. persons
Acquisition of DRUbit LLC from an affiliate of US Development Group LLC at an enterprise value of $255 million, announced in a September 28, 2026 8-K
Jefferson reported a six-month net loss of approximately $52.2 million and Adjusted EBITDA of approximately $19.2 million
Jefferson targets 2027 Adjusted EBITDA of approximately $138 million and total debt of approximately $1,214 million on a pro forma basis
BranchOut Food reported preliminary third-quarter 2026 revenue of about $1 million, which it attributed to customer delivery timing, and forecast record fourth-quarter revenue of $6 million to $7 million. The same day, it announced an underwritten public offering of common stock, with all shares sold by the company, which would increase the share count for existing shareholders.
Q3 2026 revenue approximately $1 million, including about $420,000 of warehouse club shipments that moved into early October
Q4 2026 revenue expected at $6 million to $7 million, up 50% to 75% year over year; full-year 2026 revenue expected at $14 million to $15 million
Underwritten offering of common stock led by Lake Street Capital Markets; underwriters have a 30-day option to buy up to an additional 15% of shares
Net proceeds intended for working capital and general corporate purposes; offering subject to market conditions and may not be completed
Disc Medicine sold 6,000,000 common shares at $75.00 each, for expected gross proceeds of $450 million, and the offering closed October 22, 2026. The company expects net proceeds of about $422.4 million, which existing shareholders will share with the new investors through dilution, and it says its cash is sufficient into 2030.
Priced 6,000,000 shares at $75.00 per share; expected gross proceeds of $450 million before costs.
Underwriters hold a 30-day option for 900,000 more shares; with full exercise, net proceeds would be about $485.9 million.
Preliminary unaudited cash, cash equivalents and marketable securities were about $682.8 million as of September 30, 2026.
Proceeds are intended for clinical development, bitopertin commercialization for EPP and XLP, and general corporate purposes.
On October 21, 2026, CXApp's board authorized a share repurchase of up to $1 million with no expiration date and no obligation to buy. The same day, CXApp and financing partner Avondale Capital agreed to a 90-day standstill that bars Avondale from buying shares under its Pre-Paid Purchases unless stock-price and trading-volume conditions are met, which could limit near-term dilution.
Board authorized repurchases of up to $1 million of common stock on October 21, 2026; timing and amount are at management's discretion.
Standstill Agreement dated October 21, 2026 lasts 90 days and requires a trading price of at least 110% of the Minimum Price and daily volume of at least $250,000 before Avondale can buy.
Between August 24 and October 21, 2026, CXApp issued 214,072 shares to Avondale at prices between $1.743651 and $4.3498 per share.
The standstill does not waive any existing event of default under the Pre-Paid Purchases.
Lion Copper Corp. completed a restructuring of its US$2.7 million, 12% secured convertible debentures, extending maturity from November 6, 2026 to May 6, 2027 and issuing 518,135 warrants to the holders as consideration. The warrants are exercisable at US$4.17 per share until November 6, 2031, so they could add to the number of common shares outstanding. Two insiders, Co-Chairman Tony Alford and director Mark Sharman, were debenture holders and received part of the warrants.
Debentures of US$2,700,000 extended from November 6, 2026 to May 6, 2027; all accrued interest to be paid as at November 6, 2026
518,135 warrants issued October 20, 2026, each exercisable at US$4.17 per share until November 6, 2031
Tony Alford (Co-Chairman, owner of more than 20% of shares) and Mark Sharman (director) received part of the warrants
Atrium Research Corporation engaged for equity research; upfront fee of C$38,000 plus GST for October 15, 2026 to June 30, 2027
Clean Energy Technologies, Inc. (CETY) issued a $500,000 convertible promissory note to Falcon Venture Limited on October 18, 2026, for a purchase price of $500,000 that the company had already received. The note matures October 18, 2027, carries 8% annual interest, and can convert into common stock at 85% of the lowest traded price over the prior ten trading days, which could dilute existing shareholders.
Note principal and purchase price: $500,000, issued October 18, 2026 to Falcon Venture Limited
Maturity October 18, 2027; interest 8% per annum; convertible six months after issuance
Conversion price equals 85% of the lowest traded price in the ten trading days before conversion
Conversion capped at 9.99% beneficial ownership and at 2,432,004 shares absent Nasdaq Rule 5635(d) shareholder approval
On October 14, 2026, LanzaTech, LanzaJet and other LanzaJet stockholders and lenders completed recapitalization and deleveraging transactions for LanzaJet and its subsidiary LanzaJet Freedom Pines Fuels, which operates a facility in Soperton, Georgia. LanzaJet issued $10 million of senior secured notes to Future Solution Investments LLC, an affiliate of a large existing LanzaTech stockholder, and LanzaTech received a warrant that would give it 66.67% of LanzaJet's fully diluted shares upon exercise, assuming $20 million of notes is funded. The filing says the warrant issuance has no immediate effect on LanzaTech's current LanzaJet ownership, and LanzaTech also issued warrants on its own common stock to an affiliate of that noteholder.
LanzaJet issued $10 million of senior secured notes on October 14, 2026, with up to $25 million permitted in total and an additional $10 million committed by December 1, 2026
Notes bear interest at the prime rate (7.00% floor) plus 2.25%, with 7.00% paid in cash for the first eleven payments, and mature October 14, 2029
LanzaTech's Class Y warrant would give it 66.67% of LanzaJet's fully diluted shares upon exercise, assuming $20 million of notes is funded
LanzaTech issued warrants to purchase its common stock to LanzaTech Global SPV, LLC, the designee of Future Solution Investments LLC
Surrozen completed the second and final tranche of its March 2025 private placement on October 20, 2026, raising approximately $95.1 million in gross proceeds before placement agent fees and other expenses. The company says the proceeds extend its expected cash runway into 2029, but the issuance adds shares, pre-funded warrants and warrants that dilute existing shareholders.
Issued 5,741,605 common shares at $11.60 per share, plus pre-funded warrants for 2,456,500 shares and Series E warrants for 4,099,052 shares with an exercise price of $11.54
Closing was triggered by FDA clearance of the Investigational New Drug application for SZN-8141 announced October 2, 2026
Company expects cash runway into 2029, including funding for the DUET Phase 1b/2a study of SZN-8141 and initial Phase 1b development of SZN-8143
Company agreed to file a resale registration statement within 30 calendar days of the closing
OS Therapies said on October 15, 2026 that seven holders exercised or pre-funded 5,517,253 existing warrants at a reduced price of $1.30 per share, bringing in about $7.2 million in gross proceeds before fees. In exchange, the company issued new five-year warrants for the same number of shares at $1.40, and the company says the offer could bring about $12.3 million in total if all existing warrants are exercised. Because the new warrants add potential share issuance, the deal provides near-term capital but also raises potential dilution for existing shareholders.
Initial closing on October 15, 2026: seven holders exercised or pre-funded warrants for 5,517,253 shares at $1.30 per share, for about $7.2 million gross.
New warrants issued for 5,517,253 shares at $1.40 per share, expiring five years from issuance; if all existing warrants are exercised, up to 9,448,060 new warrant shares could be issued.
Company agreed to pay a solicitation agent a 7.0% cash fee on gross proceeds plus a $25,000 expense allowance; the offer expires at 11:59 p.m. Eastern on October 30, 2026.
Company plans to file a resale registration statement by November 30, 2026, and says proceeds will fund Herlystic clinical, regulatory and commercial preparation work.
On October 16, 2026, Teamshares Continuity Holdings LLC, a subsidiary of Teamshares Inc, entered into a $130.0 million senior secured term loan and used it, with cash on hand, to repay in full the $150.0 million Existing Credit Agreement, with a payoff of about $152.8 million including accrued interest. The new loan carries a rate of one-month Term SOFR (3.00% floor) plus 9.50%, down from 11.00% on the old facility, but while it is outstanding the Company may not pay dividends or repurchase its equity without the agent's consent.
New $130.0 million term loan matures on the fourth anniversary of the October 16, 2026 closing date, with quarterly principal payments starting December 31, 2026
Interest rate is one-month Term SOFR (3.00% floor) plus 9.50%, versus Term SOFR (3.00% floor) plus 11.00% on the repaid facility
Company expects annual interest expense to decrease by approximately $5 million at current SOFR levels, per the press release
Credit agreement restricts dividends and equity repurchases without Agent consent, limiting shareholder payouts while the loan is outstanding
CID HoldCo agreed on October 9, 2026 to cancel about $368,107 in loans from its CEO, CFO/COO and CTO. In exchange, the company will pay about $37,075 in cash and issue 55,613 shares at a deemed price of $6.00 per share, and it has committed to issue 752,889 more shares to other creditors. The deal removes debt but adds new shares that can be sold after the April 15, 2027 lock-up ends, and the filing says it was approved as a related person transaction.
Executive loans totaled $368,107.25 as of October 9, 2026, including principal and unpaid interest.
Settlement terms: about $37,075 cash (roughly 10% of the debt) plus 55,613 shares at a deemed price of $6.00 per share.
As of October 15, 2026, the company committed to issue 752,889 shares to other creditors on similar terms.
Shares are locked up through April 15, 2027; the cash payment is due by December 31, 2026, and a resale registration statement is due by November 30, 2026.
Fermi Inc. and a subsidiary signed a Limited Waiver and Amendment No. 1 to an equipment supply loan agreement with MUFG Bank, Ltd. The amendment removes a requirement to secure a lease or offtake arrangement for 400 MW at the Project Matador site by November 10, 2026, and removes a potential increase in amortization tied to that requirement. The company believes this eliminates potential required principal payments of about $56 million across the fourth quarter of 2026 and first half of 2027, while it paid amendment fees totaling $25 million.
Covenant removed: lease or offtake arrangement for 400 MW on Project Matador site, originally due by November 10, 2026
Estimated potential principal payments avoided: about $22 million in Q4 2026, $19 million in Q1 2027 and $15 million in Q2 2027
Amendment fees paid: $25 million; MUFG Bank remains administrative agent for a new syndicate of lenders
First Tracks Biotherapeutics agreed on October 15, 2026 to sell 6,106,870 common shares at $32.75 each to institutional investors, for expected gross proceeds of about $200 million before placement fees and expenses. The deal is expected to close on October 19, 2026, and proceeds will fund general corporate purposes, including clinical development of ANB033. The new shares are unregistered and will be issued to investors who must be covered by a resale registration statement filed within 30 days after closing, so existing shareholders face dilution from the issuance and possible future resales.
Sale of 6,106,870 common shares at $32.75 per share, for about $200 million in gross proceeds before fees and expenses
Expected closing on October 19, 2026, subject to customary conditions
Placement agents are Leerink Partners, Piper Sandler, UBS Investment Bank and Wells Fargo Securities
Company had 35,909,814 common shares outstanding as of October 12, 2026; resale registration due within 30 days after closing
On October 15, 2026, subsidiary NCL Corporation closed a $950.0 million offering of 8.750% senior notes due 2031, with net proceeds of approximately $941.7 million. The company used the proceeds, with cash on hand, to redeem its 6.125% notes due 2028 and to repay and prepay other borrowings, and it amended its revolving credit facility to raise lender commitments to $2,801.0 million. For shareholders, the filing shows a debt refinancing and a larger revolver, but the new notes carry a higher interest rate than the notes they replaced.
$950.0 million of 8.750% senior notes due October 15, 2031 closed October 15, 2026; net proceeds approximately $941.7 million before estimated fees and expenses.
Proceeds, with cash on hand, used to redeem all outstanding 6.125% notes due 2028 and to repay approximately $376.3 million of revolver borrowings and prepay approximately $42.2 million of export-credit facilities.
Revolving loan commitments increased from $2,486.0 million to $2,801.0 million; maturity is January 22, 2030, subject to conditions tied to 2027 exchangeable notes.
Pride of America Ship Holding and Norwegian Epic were added as guarantors; Norwegian Dawn and Norwegian Spirit were released as guarantors.
SUNation Energy amended a secured revolving line of credit with MBB Energy, LLC, an entity controlled by two of the company's executives, extending the maturity date to April 15, 2027. The line's capacity had previously been raised to $1.5 million, and drawn loans carry 8% annualized interest, so the company's reliance on related-party borrowing continues.
Maturity date extended from October 15, 2026 to April 15, 2027, unless sooner repaid, amended or terminated
Aggregate capacity of the line of credit is $1.5 million, raised from $1 million in an April 14, 2026 amendment
Recursion agreed to sell 61,540,000 new Class A common shares at $3.25 each, for expected gross proceeds of about $200 million, with closing expected October 16, 2026. The company also reported preliminary cash of about $561 million as of September 30, 2026, which it says will fund operations into 2029, and released updated Phase 1b/2 data for REC-4881 and news of a Sanofi option on a development candidate.
Offering of 61,540,000 Class A shares at $3.25 per share, with expected gross proceeds of about $200 million before fees and expenses, closing expected October 16, 2026
Executive officers and directors agreed to a 45-day lock-up on sales of company securities, subject to exceptions
Preliminary cash, cash equivalents and restricted cash of about $561 million as of September 30, 2026; company expects funding into 2029
Sanofi optioned a development candidate, triggering a $10 million milestone payment and bringing total collaboration payments to $144 million
USBC signed a Second Addendum on October 12, 2026 that raises the borrowing commitment under its Master Loan Agreement with Payward Interactive, Inc. from $25.0 million to $40.0 million, with $21.0 million outstanding and $19.0 million available. The company also amended its collateral arrangement so Bitcoin collateral can secure both loan obligations and certain digital asset derivative transactions, which ties more obligations to the same collateral and could lead to liquidation of that collateral if specified defaults occur.
Commitment rises from $25.0 million to $40.0 million under the Master Loan Agreement dated March 18, 2026, amended by the Second Addendum dated October 12, 2026.
$21.0 million principal outstanding; $19.0 million available, subject to borrowing conditions and collateral requirements.
Account control agreement amended to cross-collateralize MLA obligations and certain digital asset derivative transactions; collateral may be applied after specified defaults.
Virtual 2026 Annual Meeting set for December 17, 2026; record date October 26, 2026; stockholder proposal and nomination notices due October 23, 2026.
On September 30, 2026, Interactive Strength exchanged $7,685,090 of outstanding convertible note obligations for 768,509 shares of newly designated Series R Convertible Preferred Stock, and the notes were cancelled. On October 1, 2026, subsidiary Wattbike refinanced its working capital facility with up to £1,375,000 (about $1,825,200) of new term, invoice discounting and inventory financing, with lenders holding security over its assets. The Series R preferred ranks senior to common stock and is convertible into common, and the new loans include events of default that allow lenders to demand immediate repayment.
September 30, 2026: $7,685,090 of remainder notes exchanged for 768,509 Series R Preferred shares; company to reimburse holders $50,000 in legal fees
October 1, 2026: Wattbike prior facility repaid in full, with a £85,000 (about $112,800) exit fee and new financing of up to £1,375,000 (about $1,825,200)
Inventory loan facility of up to £750,000 (about $995,600) carries interest of 1.85% per month and is secured by a debenture over all Wattbike assets
Series R Preferred ranks senior to common stock; 1,619,907 common shares were outstanding as of September 30, 2026
Wheeler Real Estate Investment Trust entered into a Note Purchase Agreement on October 13, 2026, to issue promissory notes totaling up to $25 million in principal, with the initial note at $1 million. The notes carry 0.00% interest, mature 18 months after issuance, and require amortization payments that can be made in common stock, which could dilute existing shareholders, subject to stockholder approval and an effective registration statement.
Initial Note Investor purchase: $1,000,000 principal note; maximum aggregate principal of up to $25,000,000 across Notes.
Notes bear 0.00% interest and mature 18 months after issuance; amortization payment set at 0.4% of original principal per trading day, adjustable between 0.2% and 0.6%.
Amortization payments are paid in common stock at market value, or in cash if the price is below $0.25 per share or other listed conditions are not met.
Closing requires stockholder approval for issuance above 19.99% of outstanding common stock and an effective resale registration statement; purchase price is paid in Series D Preferred Stock at $25.00 liquidation preference.
ADC Therapeutics agreed on October 7, 2026 to sell equity in an $86.6 million private placement, with closing expected October 22, 2026. The company also amended its term loan, cutting principal to $50.0 million, and amended its HealthCare Royalty agreement, removing a $150 million change-of-control payment. The filing gives preliminary third-quarter ZYNLONTA net product revenue of about $21.0 million and cash of $189.2 million, and the new share sales and warrant repricing add dilution for existing shareholders.
Private placement of 12,911,347 common shares at $1.42 per share, plus pre-funded warrants for 48,088,653 shares, expected to close October 22, 2026
Term loan prepayment of $70.0 million leaves $50.0 million outstanding; minimum liquidity covenant eliminated and a $65.0 million ZYNLONTA sales covenant set for the quarter ending December 31, 2026
HCR amendment removes the $150 million change-of-control payment and lets the company buy out royalties for $525 million by December 31, 2029 or $750 million from January 1, 2030
Preliminary Q3 2026 ZYNLONTA net product revenue of about $21.0 million; cash and equivalents of $189.2 million as of September 30, 2026
SS Innovations International entered a Securities Purchase Agreement on October 9, 2026, issuing a secured convertible promissory note with a $21,025,000 principal amount for a $20,000,000 purchase price. The note bears 8.75% interest, matures 36 months after closing, and is secured by the company's intellectual property and most subsidiary assets, which could dilute existing shareholders through conversions.
Note issued October 9, 2026 with $21,025,000 principal for a $20,000,000 purchase price, including $1,000,000 original issue discount and $25,000 investor expenses
Interest at 8.75% per annum compounded daily; matures 36 months after the Closing Date
Investor may convert at 95% of Market Price beginning on the Effective Date; company reserved an initial 8,000,000 common shares for conversions
Note secured by company IP held by SSI IP Holdings and assets of the company and SS IP; Indian subsidiary SSI-India excluded from collateral
Sunshine Biopharma (SBFM) closed a best-efforts public offering on October 9, 2026, with gross proceeds of approximately $6.0 million before placement agent fees and other expenses. The offering included Series D warrants with a $0.66 exercise price, which the company says could bring up to about $14.4 million more if fully exercised, though no assurance is given that any warrants will be exercised.
Common units sold at $0.55 each, with each unit including one share of common stock and two Series D warrants exercisable at $0.66 per share over five years.
Placement agent Aegis Capital Corp. received a 7% fee on the public offering price plus a 1% non-accountable expense allowance.
The company expects to use net proceeds for general corporate purposes and working capital.
The offering was made under a Form S-1 (File No. 333-299274) declared effective on October 7, 2026.
DENTSPLY SIRONA obtained lender consent and amended its revolving credit facility and three note purchase agreements, effective around September 30, 2026. The changes raise the maximum permitted leverage ratios for the quarters ending September 30 and December 31, 2026, and add tighter limits on new liens, subsidiary debt and restricted payments. The company says the revised terms are intended to keep it in compliance with its debt covenants in all material respects.
Maximum permitted Total Leverage Ratio and Senior Leverage Ratio increased for fiscal quarters ending September 30, 2026 and December 31, 2026.
Until the compliance certificate for fiscal 2026 is delivered, new liens and new subsidiary debt are generally prohibited, and restricted payments are limited with certain carveouts.
Credit facility adds a new pricing level for the applicable margin and facility fee; note interest increases if leverage meets specified thresholds.
Mangoceuticals sold 657,000 shares of common stock, each paired with a warrant, in a registered direct offering to certain investors, for gross proceeds of about $492,750, with closing on October 9, 2026. The unit price was a 74% premium to the referenced recent closing price of $0.43, but the warrants can add up to 788,400 shares and may dilute existing shareholders.
657,000 shares sold at $0.75 per share and accompanying warrant, for gross proceeds of about $492,750 before offering expenses
Warrants exercisable at $1.00 per share, immediately exercisable, expiring five years from issuance, covering up to 788,400 shares
Unit price represents an approximately 74% premium to the referenced recent closing share price of $0.43; no placement agent was engaged
Proceeds intended for working capital and general corporate purposes; separate $2.5 million MangoRx IP subsidiary investment does not involve parent-company shares
Subsidiaries TCDC PowerCo and Texas Critical Data Centers entered into a Letter of Credit Reimbursement Agreement with Macquarie Bank on October 7, 2026, to back a $116.0 million standby letter of credit for a power purchase agreement with Luminant. The arrangement carries 12% annual interest on reimbursements and required cash collateral, and the company issued warrants to the lender, which would add potential dilution for shareholders.
$116.0 million standby letter of credit issued in favor of Luminant ET Services to secure PowerCo's obligations under the power purchase agreement
PowerCo must reimburse the Bank at 12% per annum; TCDC has unconditionally guaranteed these obligations
Cash collateral must be kept at not less than 102% of the undrawn face amount (approximately $118.3 million at issuance), with $60.0 million funded from Term Loan A-2 and A-3 proceeds and about $58.3 million from cash on hand
Warrants issued to the lender for 413,055 shares of common stock at an exercise price of approximately $7.26; the company also began pursuing direct leases with hyperscale tenants for the TCDC Project
Wolfspeed announced a conditional commitment letter with the U.S. Department of War's Office of Strategic Capital for a senior secured delayed-draw term loan of up to $1.5 billion. Entry into the facility depends on due diligence, definitive agreements, government approvals and conditions such as raising at least $750 million of qualifying sources and issuing warrants for up to 7.5% of fully diluted equity.
Facility of up to $1.5 billion with a currently expected 30-year maturity and a 36-month draw period; initial tranche of $600 million would refinance first lien senior secured notes due 2030
Provisional risk premium of 1.25% to 1.75% over a comparable U.S. Treasury rate, subject to final agreements
Company must raise a Minimum Contribution of at least $750 million, including $50 million before the facility's effective date, and issue warrants to the DoW for 5% and 2.5% of outstanding equity
Filing states no assurance that definitive agreements will be signed or that financing will be provided
AVAX One Technology Ltd. said it eliminated more than $14.9 million of debt in the third quarter of 2026 and cut its convertible debt balance to about $970,000 as of September 30, 2026. The company's common shares outstanding rose to about 9,987,248 from about 7,363,270 on June 30, 2026, which reflects conversions of debentures into shares, so existing shareholders' ownership is diluted even as the debt load falls.
About $7.1 million of convertible debentures were converted into common shares in Q3 2026.
About $7.4 million of debt was repaid, and $0.4 million of debt was redeemed into common shares.
Convertible debt fell to about $970,000 as of September 30, 2026.
Common shares outstanding were about 9,987,248 as of September 30, 2026, versus about 7,363,270 as of June 30, 2026; the company also repurchased 333,500 shares during the quarter, adjusted for the one-for-twelve reverse split on June 15, 2
Rocket Pharmaceuticals entered a Loan and Security Agreement with Hercules Capital on September 30, 2026, providing up to $150.0 million in senior secured term loans, with $35.0 million funded at closing. The company also issued warrants to the lenders for 1,755,853 shares of common stock at $2.99 per share, which adds potential dilution, and the loans are secured by substantially all of the company's assets.
Tranche 1-A advance of $35.0 million funded September 30, 2026; further tranches total up to $115.0 million at the company's option or the lenders' approval
Loans mature October 1, 2030, with interest at the greater of prime or 6.75%, plus 2.40%
Warrants for 1,755,853 shares at $2.99 per share; 409,699 shares exercisable after the Tranche 1-A funding
Prepayment charges of 3.00%, 2.00% or 1.00% depending on timing; minimum cash covenant not tested while market capitalization exceeds $600.0 million
Rocky Mountain Chocolate Factory agreed to sell its Durango, Colorado property, which serves as its corporate headquarters and production and warehouse facility, to American Heritage Legacies, LLC for $6.6 million, and will lease it back for 10 years. The buyer is controlled by the family of Interim CEO Allen Harper, making the deal a related party transaction, and proceeds will repay $6.6 million of notes at 12% annual interest held by entities affiliated with board members Steven L. Craig and Jeffrey R. Geygan, which reduces debt but commits the company to rent and a possible buyback obligation if control changes.
Sale price is $6.6 million; closing is expected on or about October 15, 2026, with an independent appraisal supporting the price
Net proceeds are expected to repay $6.6 million of notes accruing 12% per annum, held by RMC Credit Facility LLC and RMCF2 Credit, LLC
Lease has a 10-year initial term, first-year annual rent of $624,000 rising 2% a year, and an option to renew for 10 more years
On a change of control, the lease terminates and, at the landlord's option, the company must buy back the property for the greater of $6.93 million or appraised value
Neighborhood Intelligence sold about 10.9 million common shares plus pre-funded and common warrants in a registered direct offering that closed October 6, 2026, with approximately $42.6 million in net proceeds. The company also cut its at-the-market program ceiling from $200 million to $75 million, and its Executive Chairman and CEO bought shares at the same $2.76 price, so the offering adds share count and potential dilution for existing holders.
Offering of 10,881,192 common shares at $2.76 per share, plus pre-funded warrants for 5,241,997 shares and common warrants for 16,123,189 shares, closed October 6, 2026.
Net proceeds of approximately $42.6 million, which the company intends to use to accelerate merger synergies and build inventory.
Maximum aggregate offering price under the at-the-market program reduced from $200,000,000 to $75,000,000 on October 5, 2026.
Company and directors and executive officers agreed to lock-ups of 90 days after closing; Marcus Lemonis bought 362,319 shares at $2.76.
Telomir Pharmaceuticals sold 4,843,300 shares of common stock at $1.16 per share in a private placement that closed on October 5, 2026, for approximately $5.6 million in gross proceeds before expenses. The company said it will use the proceeds mainly to support clinical development of Telomir-Zn, including its Phase 1/2 trial in advanced or metastatic triple-negative breast cancer, and for working capital. The new shares add to the existing share count and carry a placement agent fee and warrants, and the company must register the resale of the shares with the SEC.
4,843,300 shares sold at $1.16 per share, a 5% discount to the 10-day VWAP on Nasdaq; closing on October 5, 2026
Approximately $5.6 million gross proceeds; existing shareholder John Paul DeJoria invested an additional $1.0 million
Placement agent Alexander Capital receives a cash fee of about $455,000 (9.0% of gross proceeds) and warrants for 387,464 shares at $1.16, expiring five years after issuance
Company must file a resale registration statement with the SEC within 30 days of the closing
HighPeak Energy agreed on October 6, 2026 to sell $450 million of convertible preferred stock to two Indonesian investors, with closing expected in the fourth quarter of 2026. The company also obtained an $800 million reserve-based credit facility from Citibank and Fifth Third Bank, which it says will let it repay its existing $1.17 billion term loan in full. The preferred carries a 6.0% cash dividend and a $9.50 conversion price, so it adds a dividend obligation and possible future share issuance for common shareholders.
Investors agreed to buy 450,000 shares of Series A 6.0% Perpetual Convertible Preferred Stock at a $1,000 stated value, for about $450 million in gross proceeds
Preferred convertible into common stock at an initial conversion price of $9.50 per share
New $800 million reserve-based credit facility with Citibank, N.A. and Fifth Third Bank, expected to fund repayment of the $1.17 billion term loan
Each investor may nominate one director; the investment is expected to close in the fourth quarter of 2026, subject to customary conditions
On October 5, 2026, AMC completed a $3.97 billion refinancing that included $2,000 million of 8.875% first lien notes due 2031, an $850 million first lien term loan due 2031, and a $1,120 million second lien term loan at a fixed 11.25% due 2033. The proceeds were used to tender for and redeem AMC's 7.500% Senior Secured Notes due 2029, redeem Muvico's $903.4 million notes due 2029, and repay existing term loans. The company says the deal extends most of its debt maturities and reduces its cost of capital, but the new debt carries higher fixed rates than some of the instruments it replaced, so the net effect for shareholders depends on how the company manages these obligations.
$2,000 million 8.875% first lien notes due October 15, 2031, with semi-annual interest payable April 15 and October 15
$850 million first lien term loans due October 5, 2031, and $1,120 million second lien term loans at a fixed 11.25% due October 5, 2033
Tender offer for AMC Secured Notes: $355,515,000 of the $359,964,500 outstanding (about 98.8%) was tendered, with remaining notes to be redeemed on or about February 15, 2027
Muvico's $903.4 million 2029 senior secured notes to be redeemed in full
On September 30, 2026, RenX Enterprises agreed to cancel $1,446,774.32 of debt owed to James D. Burnham, a current Director of Growth & M&A and former director, in exchange for 1,441 shares of Series D Convertible Preferred Stock and a warrant. The Series D Preferred carries a 150% liquidation preference and can convert into up to 960,666 common shares at the floor price, so the deal removes debt but adds potential dilution and a senior claim for shareholders.
Debt of $1,446,774.32 under a June 2, 2025 promissory note was cancelled in exchange for 1,441 preferred shares and a warrant.
Preferred converts at an initial $2.895 per share into 497,754 common shares; the warrant covers 124,438 common shares at $2.895 with a five-year term.
Full conversion at the $1.50 floor price could issue up to 960,666 common shares, subject to stockholder approval where Nasdaq rules require it.
Preferred dividends accrue at 8% per year, rising to 9% if not paid in cash; the Certificate of Designation was filed October 2, 2026.
NN, Inc. closed a private placement on October 5, 2026, selling 11,275,605 common shares and pre-funded warrants for up to 4,824,395 shares at $3.30 per share, for about $50 million in net proceeds. The company said most proceeds will redeem its remaining Series D Preferred Stock, and the rest will fund business growth; shareholders face potential dilution from the new shares and resale registration.
Gross proceeds of about $53 million; net proceeds of about $50 million after a 6.0% placement agent fee and expenses
Closed October 5, 2026; 93,744,210 common shares outstanding immediately after issuance
Majority of net proceeds to redeem remaining Series D Preferred Stock; company must file resale registration statement within 45 days
Vulcan Infrastructure and Power said it will redeem all outstanding 8.50% Senior Notes due 2026 on October 13, 2026, at 100% of principal plus accrued interest, which will eliminate its 2026 debt maturity. Based on preliminary, unaudited figures, the company expects cash and digital assets of about $16.9 million after the redemption and PIPE-related expenses, down from about $49.2 million as of September 30, 2026.
Remaining 2026 notes of $30,345,200 in principal are expected to be redeemed October 13, 2026, for about $30.9 million including about $523,000 of accrued interest through October 12, 2026
On October 1, 2026, $2,793,150 of 2026 notes were exchanged for $2,833,358 of 10.00% Senior Notes due 2030 and warrants for up to 1,000,000 Class A shares at $1.87 per share
Cash and digital assets were about $49.2 million as of September 30, 2026, including bitcoin of about $5.4 million; expected to fall to about $16.9 million after the redemption and about $1.4 million of PIPE expenses
DocGo and its subsidiaries entered into an amended and restated credit agreement on October 1, 2026, with Perceptive Credit Holdings IV as administrative agent, replacing a prior Citibank-led revolving facility that was terminated the same day. The new term loans total $102 million in committed facilities, with a stated maturity of December 6, 2029, and the company issued a warrant for 4,000,000 shares at $0.5039 per share as part of the deal, which could dilute existing holders.
Term loans include $52 million continued from prior debt, $12.5 million new Term Loan B, $12.5 million Term Loan C tied to the Merger, and $25 million delayed draw Term Loan D
Term SOFR with a 3.50% floor plus a 7.50% margin; maturity December 6, 2029
Warrant to purchase 4,000,000 common shares at $0.5039 per share, fully vested, exercisable through the tenth anniversary of October 1, 2026
Ambulnz began managing Hicuity's non-clinical operations effective October 1, 2026; 98,992,347 common shares were outstanding as of October 1, 2026
On October 4, 2026, Profusa amended two senior secured convertible promissory notes held by Ascent Partners Fund LLC, issued April 2 and April 20, 2026. The amendments change the conversion price formula, set a fixed floor price of $0.338 per share, and set a reserve amount of 150% of potentially issuable shares for these notes, and Ascent waived certain anti-dilution protections on three later notes. The filing describes the changes as affecting potential conversions and dilution, which matters to shareholders because the share count could rise on conversion.
Amendments dated October 4, 2026 cover the April 2, 2026 note ($555,555.55 principal, $500,000 purchase price) and the April 20, 2026 note ($1,111,111.11 principal, $1,000,000 purchase price).
Conversion price is now the greater of $1.20 and 95% of the lowest daily VWAP over the five trading days before conversion, and cannot be less than the $0.338 fixed floor; previously it was a fixed $0.50 per share.
Reserve amount for these notes is 150% of the maximum shares issued or potentially issuable under the transaction documents.
Ascent waived anti-dilution provisions in Sections 5(b) and 5(c) for notes issued August 12, September 1 and September 16, 2026.
Gold.com entered into a Second Amended and Restated Credit Agreement with CIBC Bank USA as administrative agent on September 29, 2026. The uncommitted revolving line is payable on demand and is reduced from $427.5 million to $250 million, while many caps on dividends, buybacks, acquisitions and metals-related arrangements are removed or loosened.
Facility reduced from $427,500,000 to $250,000,000
Converted to an uncommitted revolving line of credit payable on demand
Caps on special and recurring dividends and share repurchases removed, subject to conditions
Agreement dated September 29, 2026; filed October 2, 2026
Star Holdings amended its term loan with Safehold, extending maturity to March 31, 2029, and amended its management agreement with a Safehold subsidiary, raising the termination fee to $62.5 million. On September 30, 2026, the company also cut its margin loan balance from $94.5 million to $46.5 million, which reduces its borrowing but adds fee costs that shareholders should weigh.
Margin loan balance reduced from $94.5 million to $46.5 million on September 30, 2026, funded mainly by about $30.0 million of asset sale proceeds and $18.0 million of restricted cash
Term loan maturity extended one year to March 31, 2029, with an extension fee of 0.5% of outstanding loans and a 1.0% per annum rate increase during any extension to September 30, 2029
Management agreement termination fee increased from $55.0 million to $62.5 million, with minimum quarterly management fees of $1.25 million and $625,000 set for later annual terms
Pyxis Oncology closed an underwritten public offering on October 1, 2026, selling 36,047,919 shares and pre-funded warrants for 1,883,121 shares, each paired with common warrants, for a combined price of $2.90 per share. The company expects net proceeds of about $102.8 million, and says its cash plus these proceeds will fund operations into the first half of 2028. The common warrants cannot be exercised until stockholders approve an increase in authorized shares, and if they are exercised, the company would receive about $162.2 million more, net of a 6% solicitation fee.
Offering: 36,047,919 shares and 1,883,121 pre-funded warrants, with common warrants for up to 49,310,352 shares; closed October 1, 2026
Combined public offering price of $2.90 per share; common warrants have a $3.50 exercise price
Net proceeds of about $102.8 million; up to about $162.2 million more if all warrants are exercised, net of a 6% fee
Warrants require a stockholder vote to increase authorized shares, with a meeting planned within 60 days of closing; the company says funds may be insufficient for the Phase 3 Headliner trial if warrants go unexercised
Veritone agreed on September 30, 2026 to sell 20,000,000 shares of common stock to purchasers in a registered direct offering, with expected gross proceeds of $15.0 million before offering expenses. The company plans to use the net proceeds, together with existing cash, to repay or restructure part of its convertible debt and for working capital, and the forward-looking statements cite its 1.75% convertible senior notes due November 2026. The new shares add to the existing share count, while the filing says the proceeds are intended to address debt maturing later this year.
Issuance of 20,000,000 shares of common stock at $0.001 par value under an effective Form S-3 shelf registration
Expected gross proceeds of $15.0 million before offering expenses
Closing expected on or about October 2, 2026, subject to customary closing conditions
Proceeds intended to repay or restructure part of convertible debt, including 1.75% convertible senior notes due November 2026 referenced in the filing
KLX Energy Services completed its subscription rights offering on September 29, 2026, selling 24,975,001 shares at $1.49 each for $37.2 million in gross proceeds. Backstop holders of its 2030 Notes exchanged them for 59,273,445 shares, cutting outstanding principal by $94.0 million, and the company expects 105,677,168 shares outstanding afterward, so existing shareholders will be diluted. The 2030 Notes indenture was also amended to loosen leverage tests, which gives the company more covenant flexibility.
Rights offering: 24,975,001 shares sold at $1.49 per share for $37.2 million gross; $31.0 million for general corporate purposes and $6.2 million to redeem 2030 Notes at par on October 10, 2026
Backstop exchange: 59,273,445 shares issued to Backstop Parties; 2030 Notes principal reduced by $94.0 million; 105,677,168 shares expected outstanding
Indenture amended: total net leverage incurrence test relaxed from 2.50:1.00 to 3.00:1.00; maintenance covenant step-down reset to 4.50:1.00 starting with the quarter ending September 30, 2026
Beasley Broadcast Group closed a registered direct offering and a concurrent private placement on September 30, 2026, selling 200,000 Class A shares at $14.00 each, pre-funded warrants for up to 157,000 shares, and common warrants for 357,000 shares exercisable at $15.00. The company expects net proceeds of about $4.3 million, which it plans to use with proceeds from asset sales to reduce revolver borrowings and redeem part of its 11.000% notes due 2028, but the sales add shares and warrants that could dilute existing shareholders.
200,000 Class A shares sold at $14.00 each to a single institutional investor, plus pre-funded warrants for up to 157,000 shares
Common warrants for 357,000 shares at a $15.00 exercise price, initially exercisable six months after issuance
Net proceeds of about $4.3 million after a 6.0% placement agent fee; about $2.2 million to reduce revolver borrowings and about $11.4 million to redeem 11.000% notes due 2028
Company agreed not to issue more equity for 60 days and not to enter variable rate transactions for 180 days after the September 30, 2026 closing
Hyperscale Data and its subsidiaries signed an amendment on September 29, 2026 to their existing loan agreement with JGB-affiliated lenders. Affiliate Ault & Company borrowed an additional $21 million and issued notes totaling $22,580,645, and the maturity of all loans under the agreement was extended to December 14, 2027. The added debt is secured by collateral owned by the guarantors, and the proceeds are to fund a loan to Rockwell One Holdings secured by a Georgia manufacturing facility.
Ault & Company, an affiliate of the Company, borrowed an additional $21 million and issued secured notes totaling $22,580,645 to the lenders.
Maturity of all loans under the Loan Agreement extended to December 14, 2027.
Additional loan is secured by collateral from certain Hyperscale guarantors, including mortgages on owned properties; Milton C. Ault, III and Scott Soura also agreed to guarantee repayment of the notes.
Ault & Company intends to lend the proceeds to Rockwell One Holdings, secured by a first-priority leasehold mortgage on a LaGrange, Georgia property.
Summit Therapeutics agreed on September 28, 2026 to sell 108,955.3686 shares of Class A Convertible Preferred Stock to AstraZeneca Holdings B.V. for $2.0 billion in gross proceeds, and also signed a separate clinical trial collaboration with AstraZeneca on sonesitatug vedotin combined with ivonescimab. Shareholders would face dilution once the preferred converts into common stock, which is subject to conditions and a registration statement, and the company must redeem the preferred for cash if a required share authorization is not effective within 18 months.
Purchase price of $18,356.14 per preferred share, based on a common stock price of $18.3561; each preferred share converts into 1,000 common shares
Closing is expected within five business days of the Purchase Agreement, subject to customary conditions
Conversion is barred until the later of any Hart-Scott-Rodino waiting period expiration and effectiveness of the authorized share increase charter amendment
Company must file a resale registration statement within 60 days after closing; cash redemption required if the share increase is not effective within 18 months
Sabre Financial Borrower, a Sabre subsidiary, issued $1.35 billion of 9.875% senior secured notes maturing October 15, 2032, and used the proceeds to refinance part of Sabre GLBL's debt and repurchase portions of its 10.750% and 11.125% notes due 2029 through tender offers. The filing also reports early tender results showing more than 90% of a separate 11.125% note series tendered, which the company plans to redeem, so the refinancing reshapes Sabre's debt structure and secured creditor position.
SPV Notes: $1.35 billion principal, 9.875% annual interest, payable April 15 and October 15, maturing October 15, 2032
Sabre GLBL accepted about $251.9 million of 10.750% 2029 notes at $992.50 per $1,000 principal, with proration of about 84.0%
Early tender results: $930.7 million, or 93.07%, of the 11.125% 2029 notes tendered by September 25, 2026; redemption expected October 13, 2026
Settlement of the tender offers is expected September 28, 2026
On September 24, 2026, Celularity closed the initial phase of a financing agreement signed September 23 for up to $25.0 million of senior secured convertible notes, raising $11.01 million in gross proceeds with warrants for about 4,037,000 shares. The filing also shows a September 18 settlement with Helena in which 2,000,000 additional shares were issued, and the notes and warrants could add substantial share dilution for existing holders.
Initial closing on September 24, 2026: $11.01 million in notes, convertible at $1.50 per share into about 7,340,000 shares
Warrants for about 4,037,000 shares, exercisable at $1.50 per share for five years
Notes bear 10% interest, mature 24 months after issue, and are secured by substantially all company and subsidiary assets
Helena settlement dated September 18, 2026: 700,000 shares issued on conversion of $1.197 million at $1.71 per share, plus 2,000,000 additional shares
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.
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