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 (4788 companies, A–Z).
Hyperscale Data entered a note purchase agreement dated November 6, 2026 with an institutional investor for convertible notes with an aggregate face amount of $27,027,027.03, including original issue discount. The first note closed the same day, and the notes convert into Class A common stock at a discount to market price, which could dilute existing shareholders.
Initial note: $10,810,810.81 principal for a $10,000,000 purchase price, closed November 6, 2026
Second note: $5,405,405.41 principal for a $5,000,000 purchase price, expected on or around November 16, 2026
Conversion at the lower of $0.30 or a 10% discount to the lowest 5-day VWAP, with a $0.1025 floor; issuance capped at 19.99% of outstanding shares unless stockholders approve
Notes accrue 8% interest and mature February 5, 2027, extending to May 5, 2027 after stockholder approval
RenX Enterprises exchanged $1,022,971.22 of principal and accrued interest under a February 12, 2026 senior convertible note for a new senior convertible note of $1,037,283.93 and a warrant to buy 644,944 shares, both issued November 2, 2026. The new note carries 10% interest and a 12-month maturity, and it can convert at $2.895 per share, with a possible alternate conversion price tied to a $0.534 floor once stockholders approve, which could add substantial share issuance for existing holders.
Exchanged $1,022,971.22 of the February 12, 2026 note for a new note of $1,037,283.93, equal to 110% of the prior note's outstanding principal.
New note bears 10% interest, matures in 12 months, and has an initial conversion price of $2.895 per share.
Alternate conversion, available after stockholder approval, is priced at the greater of a $0.534 floor and 92% of the lowest 10-day VWAP.
Warrant has a $2.67 exercise price and a six-year term; default interest rises to 18% per annum if an event of default occurs.
Silo Pharma, Inc. entered into securities purchase agreements on November 5, 2026, and closed a private placement with accredited investors on November 6, 2026. The company expects net proceeds of approximately $815,000 for working capital and general corporate purposes, and it agreed to register the resale of the shares and warrant shares with the SEC, which adds potential future share supply for existing shareholders.
Sold 136,005 shares of common stock at $1.50 per share
Issued pre-funded warrants for up to 430,661 shares of common stock at $1.4999 per warrant
Expected net proceeds of approximately $815,000 after placement agent fees and offering expenses
Must file a resale registration statement within 30 days of the November 5, 2026 registration rights agreement, with effectiveness targeted within 60 days (90 days if the SEC conducts a full review)
Reed's, Inc. entered into a third amendment to its senior secured loan with Whitebox-affiliated lenders and Cantor Fitzgerald, adding new liquidity and equity-contribution conditions. The company must receive at least $2,500,000 in cash equity contributions by November 20, 2026, or an Event of Default will occur, and it must also pay a $25,000 extension fee by that date. The company said a delay in its previously announced private placement pushed the expected closing to on or before November 20, 2026, and it has so far received $7,500,000 in gross proceeds from that placement.
Minimum liquidity covenant of not less than $11,000,000 in Cash / Inventory / AR Liquidity, tested at any time and monthly after the Increased Liquidity Period
New Event of Default if at least $2,500,000 in cash equity contributions is not received by November 20, 2026
Non-refundable $25,000 extension fee due on or before November 20, 2026; nonpayment is an Event of Default
Private placement agreement dated October 28, 2026; $7,500,000 gross proceeds received to date
Health In Tech, Inc. issued a second promissory note to investor YA II PN, Ltd. on November 2, 2026, with a principal amount of $3.0 million, which provided gross proceeds of $2.85 million after a 5% purchase price discount. The notes are convertible into Class A common stock at a fixed price of $1.5735 per share and can be converted into shares that could dilute existing holders, with an Exchange Cap of 13,100,378 shares that the company is seeking stockholder approval to exceed at its November 10, 2026 annual meeting.
Second promissory note issued November 2, 2026: $3.0 million principal, $2.85 million gross proceeds after 5% discount
Notes mature February 18, 2028, bear 8.75% annual interest (18% after certain defaults), and carry a 4% payment premium unless paid via stock sale proceeds
Conversion price fixed at $1.5735 per share with a floor price of $0.204; Exchange Cap is 13,100,378 shares, about 19.99% of outstanding Class A and Class B common stock
Company seeks stockholder approval to issue shares above the Exchange Cap at its annual meeting on November 10, 2026
Profusa, Inc. entered into Amendment No. 4 to its Note Modification and Conversion Agreement with holder NorthView Sponsor I LLC on November 5, 2026. The amendment sets a $0.20 floor on the conversion price for the note, which has an original principal amount of up to $2,500,000. The change could result in a larger number of shares being issued to the holder on conversion, which may dilute existing shareholders.
Amendment No. 4 dated November 5, 2026 sets conversion price at the greater of $0.20 Floor Price or the prior trading day's Nasdaq closing price
Conversion shares are calculated as principal multiplied by 122%, divided by the conversion price, unchanged by the amendment
The prior Amendment No. 3 of August 12, 2026 set the conversion price at the greater of $4.28 or the prior trading day's closing price
Original note principal amount of up to $2,500,000, with the agreement first entered April 24, 2026
MediaCo Holding entered a Third Amendment to its First Lien Term Loan Credit Agreement, moving the maturity of its Delayed Draw Term Loans from October 31, 2026 to the earliest of November 30, 2026 or certain acceleration or debt-related triggers. The lender agent acknowledged that defaults or events of default have occurred and are continuing, and all parties reserved their rights, signaling significant financial stress for shareholders.
Delayed Draw Term Loan maturity extended from October 31, 2026 to no later than November 30, 2026
Agent acknowledged that certain defaults or events of default have occurred and are continuing
Agent and lenders reserved all rights and remedies under the Credit Agreement
Company released the agent and lenders from known claims arising on or before the amendment date
Parabolic Technologies, Inc. (Nasdaq: PARA) closed a $13.5 million underwritten public offering on November 5, 2026, selling units that each include one share or a pre-funded warrant plus two warrants. The filing says net proceeds were approximately $5.512 million, and the warrants include exercise-price resets that can increase the number of shares issuable, which could dilute existing shareholders.
Gross proceeds of about $13.5 million from 4,963,235 units priced at $2.72 each, with net proceeds of about $5.512 million after offering expenses
Each unit includes two warrants with an initial exercise price of $6.80 per share, for up to 9,926,470 warrant shares
Warrants reset on the fifth and tenth trading days after issuance to the lower of the then-current exercise price and 80% of the lowest VWAP in the measurement period, subject to floor prices, and holders keep additional shares from resets
Aegis Capital Corp. holds a 45-day over-allotment option, and the Underwriter exercised it for 360,000 warrants on November 5, 2026
America's Car-Mart amended its Credit and Guaranty Agreement with Silver Point Finance, LLC, as agent, and its lenders, and agreed to further extend the Scheduled Termination Date and temporary relief on minimum liquidity and Collateral Coverage Ratio requirements through November 9, 2026. The filing shows the company needed repeated short extensions of its credit terms, which signals ongoing pressure on its lending arrangements for shareholders.
First Amendment and Limited Waiver to the Credit Agreement dated October 30, 2025, with Silver Point Finance, LLC as Administrative Agent and Collateral Agent
Scheduled Termination Date previously extended through November 4, 2026, and now extended again through November 9, 2026
Temporary relief on minimum liquidity thresholds and minimum Collateral Coverage Ratio also extended through November 9, 2026
On November 4, 2026, FTC Solar resumed use of its at-the-market offering program and executed common stock sales under it that day. The company had said in its September 30, 2026 quarterly report that it had no current plans to use the remaining capacity, and it says that statement no longer reflects its plans.
Sales of common stock were executed under the ATM Program on November 4, 2026, under a sales agreement dated May 1, 2025 with H.C. Wainwright & Co., LLC.
The 10-Q for the quarter ended September 30, 2026 said there were no current plans to use the remaining ATM capacity; the company now says that no longer reflects its plans.
The company says future sales depend on market conditions and that it is under no obligation to sell additional shares.
The filing states that any sales may be at prices that cause additional dilution to existing stockholders.
On October 29, 2026, PodcastOne, its majority parent LiveOne, and subsidiary guarantors entered into a Forbearance Agreement with holders of LiveOne's 11.75% senior secured convertible debentures. The lenders agreed not to exercise remedies for certain Events of Default that may have occurred, in exchange for cash payments, a fee in PodcastOne shares, and a new exit fee. The share issuance adds to the common stock outstanding, and the filing indicates the debt remains in default-related negotiations.
PodcastOne issued 275,000 common shares to the holders in a private placement as a fee for the forbearance
LiveOne must pay $1,000,000 within 30 days and $1,250,000 within 60 days of October 29, 2026
Exit fee of the greater of $1,000,000 or 1.5% of Company Sale Proceeds above $50,000,000, payable on maturity or a Company Sale
PodcastOne must file a resale registration statement within 30 days; late filing triggers payments of 2% per 30 days, up to 4%
On October 29, 2026, LiveOne and certain subsidiaries entered a Forbearance Agreement and Amendment to Debentures with holders of its 11.75% senior secured convertible debentures issued May 19, 2025. The holders agreed to forbear from exercising remedies for an existing Event of Default, but the company must make $1,000,000 and $1,250,000 payments and faces a contingent exit fee tied to a sale of PodcastOne. The filing adds new cash obligations and a default-related arrangement that shareholders should weigh.
Forbearance covers Event of Default under Section 7(a)(iii) of each debenture occurring before October 29, 2026; it ends on a Forbearance Termination Event or full payment of the obligations.
Company must pay $1,000,000 within 30 days and $1,250,000 within 60 days of the October 29, 2026 Effective Date.
November 2026 Holder Redemption Amount is deferred to December 15, 2026; redemption rights resume in December 2026.
PodcastOne issued 275,000 shares to the holders as a fee; an exit fee equal to the greater of $1,000,000 or 1.5% of PodcastOne sale proceeds above $50,000,000 applies on a PodcastOne sale.
reAlpha Tech Corp. (Nasdaq: AIRE) priced a best efforts public offering of common stock and pre-funded warrants, with gross proceeds expected to be about $1.75 million before fees and expenses. Closing is expected on or about November 4, 2026, and the company plans to use the proceeds for working capital and general corporate purposes, including possible litigation settlements. The new shares and warrant shares would add to the shares outstanding, which could dilute existing shareholders.
Offering includes 1,361,028 shares at $0.40 each and pre-funded warrants for 3,013,972 shares at $0.3999 each, totaling 4,375,000 shares.
Gross proceeds are expected to be approximately $1.75 million, before placement agent fees and other offering expenses.
Maxim Group LLC is the placement agent, with a cash fee of 6.0% of gross proceeds plus up to $150,000 for counsel and out-of-pocket expenses.
The company agreed not to issue new common stock or variable rate transactions for 180 days after closing; directors and executive officers agreed to a 45-day lock-up.
On October 28, 2026, Stewards, Inc. sold an unsecured convertible promissory note with a principal amount of $6,050,000 to Crom Structured Opportunities Fund I, LP for $5,500,000. The note matures in 12 months, and the investor can convert it into common stock from January 31, 2027, at 90% of the lowest daily VWAP over the prior five trading days, which could add substantial dilution for shareholders. The company plans to use about $4,937,000 in net proceeds to fund its proposed acquisition of PIXL, LLC, though no definitive agreement has been signed.
Note: $6,050,000 principal, $5,500,000 purchase price, 10% original issue discount, due in 12 months
Conversion from January 31, 2027 at 90% of the lowest five-day VWAP, with a full-ratchet anti-dilution adjustment
Share reserve of at least 7,000,000 shares; issuance above 45,309,740 shares (19.99%) requires stockholder approval, given by majority holders by written consent on October 28, 2026
Placement agent E.F. Hutton & Co. received a $440,000 cash fee and warrants for 121,109 shares at $2.498
On November 2, 2026, Ocean Power Technologies entered a Securities Purchase Agreement with Vanquish Funding Group and issued a 12% promissory note with a principal of $373,750 for a purchase price of $325,000, with up to $2,875,000 in additional tranches possible over the next twelve months, subject to further agreement. The note's conversion feature applies only after an Event of Default, at 75% of the lowest closing bid price over the prior ten trading days, which could lead to dilution for shareholders.
Note principal of $373,750 issued for a $325,000 purchase price, including a $48,750 original issue discount; matures October 30, 2027
Up to $2,875,000 in additional financing tranches possible over the next twelve months, subject to further agreement
Conversion into common stock is possible only after an Event of Default and not before 180 days after issuance, at 75% of the lowest closing bid price over the prior ten trading days
On default, the company must pay 150% of outstanding amounts plus collection costs; the company is responsible for $7,000 of Vanquish's fees
Fathom Holdings signed a Third Omnibus Amendment to its Senior Secured Convertible Promissory Notes with the holders on November 2, 2026. The amendment extends the Maturity Date from November 1 to November 30, 2026, defers accrued interest to the new maturity date, and adds weekly extension fees of 0.5% of outstanding principal. Because the deferred interest and fees add to the amount owed, shareholders face a larger payment due at maturity. The chairman of the board, Scott Flanders, is one of the holders, and the independent directors approved the transaction.
Maturity Date extended from November 1, 2026 to November 30, 2026.
All accrued and unpaid interest is deferred, and the 18% per annum rate continues to apply to outstanding principal.
Weekly extension fee of 0.5% of outstanding principal is due on November 9, 16, 23 and 30, 2026, if principal remains outstanding.
Chairman Scott Flanders is a Holder of one of the Notes; a majority of independent, disinterested directors approved the transaction.
Peraso Inc. completed a private placement to Nant Capital, LLC on October 28, 2026, issuing 3,271,355 shares, pre-funded warrants and common warrants for aggregate gross proceeds of approximately $10.0 million before offering expenses. The filing says the company will use the proceeds for working capital and general corporate purposes, and the warrants could add up to 36,458,481 shares of common stock, which would dilute existing shareholders. The company has also agreed to register the resale of these shares, and the filing lists going concern and Nasdaq listing compliance among its risk factors.
Closing date was October 28, 2026; the Purchase Agreement was signed October 26, 2026.
Shares were sold at $0.5034 each, with pre-funded warrants priced at $0.5024 each, both including a common warrant.
Common warrants have an exercise price of $0.3784 per share and expire October 28, 2028.
A resale registration statement is due by November 27, 2026, with liquidated damages of 1.0% per month, up to 5.0%, if deadlines are missed.
Our Bond, Inc. (OBAI) converted its senior secured loan from Eastward Fund Management and fees owed to Maxim Group into Series G Preferred Stock, and exchanged older Series C and D preferred stock for Series G with Ascent Partners. On November 3, 2026, it also agreed to sell up to $10 million of common stock to an accredited investor, with $250,000 issued at the initial closing. The filing describes dilution-related terms, including conversion price adjustments, resale registration obligations, and leak-out limits on the holders' stock sales, which matter to shareholders because the share count could grow.
Eastward loan obligations of $7,878,149.32 converted into 787,815 Series G Preferred shares; Eastward's Series B-1 Warrants were retired.
Maxim fees of $803,940.82 converted into Series G Preferred shares; Ascent exchanged 52,500 Series C and 525,451 Series D preferred shares for 577,948 Series G shares.
November 3, 2026 private offering: up to $10,000,000 of common stock at $2.75 per share; initial closing issued 90,909 shares for $250,000.
Series G conversion price is $2.0265 per common share, with dividends at 10% annually, rising to 24% after a triggering event.
On October 27, 2026, Inuvo exchanged $1.2 million of principal on its Secured Promissory Note B for a Secured Promissory Note A-2 with a principal amount of $1,308,000, held by Streeterville Capital, LLC. The new note carries 9.00% interest, is due June 29, 2028, and lets the lender demand cash redemptions from March 2027 and, from December 29, 2026, when the share price is at least 10% above the NYSE Minimum Price. Trigger events can increase the balance and lead to default with a rate of up to 15%, which adds cost and repayment pressure for shareholders.
A-2 note principal of $1,308,000, due June 29, 2028, at 9.00% annual interest
Lender may redeem up to $750,000 per calendar month starting March 29, 2027
Limited Redemptions up to 8% of cumulative daily dollar trading volume may begin December 29, 2026, if shares trade at least 10% above the NYSE Minimum Price
Major and minor trigger events can raise the balance by 10% and 5%; uncured events can become defaults with a rate of up to 15%
On October 30, 2026, ABVC BioPharma sold senior convertible notes with $4,106,060 in principal for a purchase price of $3,387,500, maturing June 30, 2027. The company also agreed on October 26 to pay Lind $625,000 to settle a New York lawsuit and retire its earlier Lind notes, while Lind's warrant rises by 20%. Because the notes convert into common stock at a discount, shareholders may face dilution.
Notes: $4,106,060 principal, $3,387,500 purchase price, 17.5% original issue discount, maturity June 30, 2027
Conversion at 85% of the average of three VWAPs, with a $0.2 floor price; issuance capped at 19.99% of shares outstanding unless shareholders approve by June 30, 2027
Innventure's board formed a Strategic Review Committee of disinterested directors to evaluate capital strategies, working with independent financial advisors. The company said it has near-term parent-company liquidity needs, set up an at-the-market equity offering program on October 6, 2026, and plans to limit funding for AeroFlexx and Refinity, which could affect shareholder value and dilution.
The committee has no set timetable and no decisions have been made on potential actions.
Headcount fell from 40 to 15 since the end of the first quarter of 2026, reducing payroll costs by about 57%, excluding severance.
The at-the-market program was established October 6, 2026, as an alternative to a $75 million Standby Equity Purchase Agreement; the company does not intend to raise the full $60 million available under it.
AeroFlexx funding is to conclude within the next month and Refinity funding by the end of 2026, with interim funding subject to committee oversight.
America's Car-Mart amended its credit agreement with Silver Point Finance, LLC and other lenders, waiving certain anticipated or existing events of default through September 7, 2026. On November 1, 2026, the lenders agreed to extend the Scheduled Termination Date and temporary relief on minimum liquidity and Collateral Coverage Ratio requirements through November 4, 2026, following a series of prior short extensions. The repeated short-term extensions signal ongoing pressure on the company's credit terms, which matters to shareholders because it shows the company still depends on lender relief to stay in compliance.
Credit Agreement dated October 30, 2025, with Silver Point Finance, LLC as Administrative Agent and Collateral Agent
Scheduled Termination Date extended to November 4, 2026, from November 1, 2026
Temporary relief on minimum liquidity thresholds and minimum Collateral Coverage Ratio extended through November 4, 2026
Prior extensions began September 4, 2026, as previously disclosed in the June 25, 2026 Current Report on Form 8-K
Digital Brands Group received a notice of default on October 29, 2026 from the holder of its unsecured convertible note, which asserts the full note is immediately due at 120% of outstanding amounts. The holder says it will start legal proceedings unless it receives an acceptable extension proposal by the end of October 29, 2026, and the company disputes some of the assertions while evaluating its options.
Note principal is $3,529,412, issued July 23, 2026 under a Securities Purchase Agreement with Shakawe Capital LLC.
Holder cites a missed $1,000,000 partial payment due October 23, 2026 and a registration statement not filed by August 7, 2026.
Holder asserts the Mandatory Default Amount is 120% of outstanding principal, accrued interest and other amounts, with default interest of 20% per annum.
Company disputes certain assertions and says a material adverse effect on liquidity is possible if the note is accelerated or legal proceedings begin.
OFA Group reduced the floor price on its Series A Convertible Preferred Shares from $2.00 to $0.20 per Class A Ordinary Share, which increases the number of shares issuable on conversion. The company also sold additional preferred shares to TriCore, Greentree and L&H under its Purchase Agreement, and the floor price change takes effect only after Nasdaq notification, a 15-day waiting period, share reservation and Cayman Islands approvals. Shareholders face a larger potential share count from these conversions, and TriCore is an affiliate controlled by CEO Li Hsien "Larry" Wong.
Floor price reduced from $2.00 to $0.20 per Class A Ordinary Share, with a further automatic reduction scheduled for December 29, 2026
L&H agreed to buy 300 Series A Preferred Shares for $270,000, with the shares to be issued after the Effective Time, which must occur by November 30, 2026
Sales under the Purchase Agreement: 262 shares to TriCore for $235,800 on July 30, 2026, and 111 shares to Greentree for $99,900 on August 3, 2026
Preferred shares convert at the lesser of the fixed conversion price and 90% of the lowest ten-day VWAP, subject to the Floor Price
NextBoat's subsidiary Off The Hook Yacht Sales NC, LLC entered a $5.0 million revolving credit agreement with RLLT Capital, LLC, and the company guaranteed the obligations. Chairman Jason Ruegg and Ruegg Capital Group pledged 7,874,000 shares as security, and the filing says a default could lead to a sale of those shares and a change in control of the company.
Initial advance of $2.0 million funded October 22, 2026, at a fixed 12.99% per annum; advances are due October 22, 2027
Ruegg Capital Group and Jason Ruegg pledged 7,874,000 shares, about 31.3% of the 25,142,895 shares outstanding as of August 13, 2026; combined pledges total 41.3%
Lender may sell pledged shares after an event of default and a ten business day redemption period, which could result in a change in control
Lender to receive a warrant for 100,000 shares at $2.50 per share, pending NYSE American listing approval
INmune Bio agreed to sell 3,000,000 shares at $1.50 each in a registered direct offering to a single investor, with gross proceeds expected to be about $4.5 million before placement agent fees and expenses. The company also issued unregistered warrants for up to 3,000,000 shares at $1.65 per share, so the deal adds potential dilution for existing shareholders. The company said it intends to use the net proceeds for working capital and general corporate purposes.
3,000,000 common shares sold at $1.50 per share, with gross proceeds of about $4.5 million expected before fees
Unregistered warrants for up to 3,000,000 shares at $1.65 per share, first exercisable April 27, 2027 and expiring April 27, 2032
Placement agent A.G.P./Alliance Global Partners receives a cash fee of 7.0% of gross proceeds
Closing expected on or about October 29, 2026, subject to customary conditions
On October 28, 2026, JELD-WEN Holding announced that JELD-WEN, Inc. launched an exchange offer and consent solicitation for its $400,000,000 of 4.875% senior notes due 2027, offering new first lien senior secured notes due 2031 and up to $410.2 million of new money. The filing says the deal would remove substantially all restrictive covenants in the old notes and subordinate existing term loans to the new notes, and that the company's forward-looking statements cite risks including its ability to continue as a going concern if the transactions are not completed. For shareholders, the transaction reshapes the company's debt structure on terms that include a higher interest rate and reduced lender protections.
Early Exchange Time is 5:00 p.m. New York time on November 10, 2026; the offer expires November 27, 2026, unless extended.
Early exchange consideration is $1,000 of new notes per $1,000 of old notes for New Money Participants and $880 for all participants; non-participants in the new money offer receive $930.
New notes bear interest at 10.500% per year payable in cash, or 11.500% per year under an alternative structure with at least 9.000% payable in cash.
About 94.5% of old notes and about 72.2% of term loans are held by parties to the commitment letter that supports the transactions.
Actuate Therapeutics closed an underwritten public offering on October 28, 2026, selling 30,985,900 shares of common stock and warrants for up to 15,492,950 shares, with Newbridge Securities Corporation as sole book-running manager. Net proceeds were approximately $9.96 million, which the company intends to use for working capital and general corporate purposes. The new shares and warrants increase the number of shares outstanding and could dilute existing shareholders.
Offering priced at $0.71 per set of two shares and one Common Warrant, before underwriting discounts and commissions
Common Warrants exercisable at $0.45 per share, immediately upon issuance, expiring five years after issuance
Net proceeds of approximately $9.96 million; the press release had projected gross proceeds of $11.0 million
Underwriter has a 45-day option to buy up to 4,647,885 additional shares and 2,323,942 additional warrant shares
SANUWAVE Health amended its September 25, 2025 credit agreement with JPMorgan Chase Bank, N.A. as administrative agent. Lenders waived any default from the company's fixed charge coverage ratio for the twelve months ending September 30, 2026, which was below the level the agreement requires. The amendment also requires lender written consent for certain acquisitions and equity repurchases and lowers two basket limits, so shareholders face tighter restrictions on the company's financial flexibility.
Lenders waived any default or event of default tied to the fixed charge coverage ratio for the twelve-month period ending September 30, 2026, which was below the required level
Written lender consent is now required for Permitted Acquisitions or Restricted Payments used to repurchase outstanding equity, subject to exceptions in the amendment
Permitted other secured indebtedness and permitted subsidiary investments were each lowered from $500,000 to $250,000
The company agreed to pay a $5,000 amendment fee; the amendment is dated October 28, 2026 and filed as Exhibit 10.1
Hydrofarm sold about 8.6 million common shares and pre-funded warrants at $0.905 per share in a registered direct and private placement, with gross proceeds of $8.3 million before fees and expenses. Investors also received common warrants for up to 9,210,975 shares at $0.78, which dilutes existing holders and adds potential future share issuance. The filing also describes side letter and registration terms with lenders tied to a restructuring, including rights to designate board members subject to stockholder approval.
Registered direct offering of 1,599,400 shares at $0.905 per share, plus a concurrent private placement of 6,971,575 shares and pre-funded warrants for 640,000 shares, all closed October 27, 2026.
Common warrants for up to 9,210,975 shares at $0.78 per share expire 5.5 years after issue; the placement agent, ThinkEquity LLC, receives a cash fee of 8% of the purchase price.
Under a side letter with lenders, the lenders may designate 1 initial director and up to 3 additional directors, subject to stockholder approval under Nasdaq Rule 5635.
The company must file a resale registration statement by the 15th calendar day after the registration rights agreement date, or pay partial liquidated damages of 2.0% of the subscription amount for each affected holder.
Hydrofarm priced a registered direct offering and concurrent private placement with expected gross proceeds of about $8.3 million, and agreed to satisfy its $109 million senior secured term loan in full by issuing 27.5 million shares of Series 1 Non-Voting Convertible Preferred Stock and warrants for 27.5 million common shares. The conversion and warrant exercise require stockholder approval, and the filing lists dilution to existing stockholders as a risk.
Offering priced at $0.905 per share; expected gross proceeds of about $8.3 million before placement agent fee and expenses, with closing expected on or about October 27, 2026
Term loan of $109 million to be satisfied in full through 27.5 million Series 1 Non-Voting Convertible Preferred Stock shares and Lender Warrants for 27.5 million common shares at $0.78 exercise price
Concurrent private placement includes 9,210,975 Common Warrants exercisable at $0.78 and expiring five and a half years from issuance
Conversion and warrant exercise are subject to shareholder approval; the filing also cites risk of failing to regain Nasdaq continued listing compliance
Eva Live said Streeterville Capital asserted that the company's October 2, 2026 Dune Equity Holdings deal breached the terms of two convertible notes, triggering a 10% increase in their outstanding balances. The company estimates the increase at about $741,786, raising the total to about $8,159,643, and disputes the lender's position and reserves all rights. Shareholders face potential added debt and possible legal or enforcement action, and the outcome is uncertain.
Streeterville's October 20, 2026 letter asserts a Major Trigger Event under each note as of October 2, 2026, and says the outstanding balances rose 10%.
The company estimates the balance would rise from about $7,417,857 to about $8,159,643, including about $522,302 on the February note and about $219,483 on the July note.
Streeterville has not delivered a cure demand or declared an Event of Default, according to the filing.
The company disputes the lender's assertions and says it is evaluating its options, which may include legal proceedings.
22nd Century Group filed a prospectus supplement allowing it to sell up to $18.8 million of common stock under its at-the-market offering with Needham & Company, LLC. During October 2026, the company sold 15,785,757 shares for gross proceeds of about $4.7 million, and it had 19,202,198 shares outstanding as of October 23, 2026, so the sales are large relative to the existing share count and dilute current holders.
Prospectus supplement permits sales of up to $18.8 million of common stock under the Needham & Company, LLC sales agreement, filed October 23, 2026.
During October 2026, the company sold 15,785,757 shares for gross proceeds of about $4.7 million.
19,202,198 shares of common stock were outstanding as of October 23, 2026.
Exhibit 5.1 is an opinion of Foley & Lardner LLP, with a consent filed as Exhibit 23.1.
Azio AI Holdings entered an unsecured revolving credit agreement on October 21, 2026, with Azio Corporation, a lender whose CEO and majority shareholder is Chi Wei David Shiue, a former Chief Business Development Officer and sole member of a more-than-5% shareholder. The facility allows borrowing of up to $2.3 million, including $2.225 million of advances the lender had already provided, at 8.5% annual interest with a maturity one year after the effective date. The lender can terminate on 30 days' notice, which could make the funding less dependable for shareholders.
Credit commitment of up to $2,300,000, inclusive of $2,225,000 in prior advances from the lender
Promissory Note bears 8.5% annual interest; no interest or principal payments due before the maturity date
Maturity on the first business day after the one-year anniversary of the October 21, 2026 effective date
Lender may terminate on not less than 30 days' written notice; the Company may terminate on three days' notice after repaying all loans
Circle8 Group disclosed that its Lyneer subsidiary received a default notice from its professional employer organization, Employers Personnel, LLC, alleging missed payments under a service agreement. Separately, lender SPP Credit Advisors issued default notices under a financing agreement and a bridge loan, and senior lender SLR said it intends to sell substantially all Lyneer assets on or after October 27, 2026. The company disputes the validity of the asset sale notice and is reviewing the defaults, which could materially affect shareholders given the threatened asset sale.
PEO Employers Personnel, LLC alleged Lyneer is in default of payment obligations under its service agreement; discussions are ongoing.
SPP Credit Advisors letter dated October 14, 2026 asserted events of default under the Financing Agreement dated April 29, 2025 and the Bridge Loan Agreement dated June 18, 2024.
On October 15, 2026, Lyneer received notice that SLR intends to sell substantially all Lyneer assets under Article 9 of the UCC on or after October 27, 2026.
The company disputes the validity of the SLR notice and says it is reviewing the purported defaults in light of a Settlement Agreement dated August 7, 2026.
Iris Acquisition Corp II, a Cayman Islands blank-check company, issued an unsecured promissory note of up to $250,000 to listed payees on October 20, 2026, to fund expenses and general corporate purposes. The note is repayable only at a business combination or liquidation, and if repaid from trust funds or after a combination it carries an additional return of 150% or 250% of principal depending on timing.
Note principal of up to $250,000, bearing no stated interest rate, issued October 20, 2026.
Additional return of 150% of principal if a business combination closes on or before December 31, 2027; 250% if it closes after that date.
If no business combination is completed, the note is repaid only from amounts outside the trust account, if any.
Evernorth Holdings entered an agreement on October 23, 2026, that lets it sell up to 5,218,935 newly issued Class A common shares to CF Principal Investments LLC (Cantor) over time, at its option. The company must pay a commitment fee of $521,893.50, and sales would be priced at 97% of the volume weighted average price, which can add dilution for existing shareholders.
Up to 5,218,935 new Class A common shares may be sold to Cantor at the company's discretion
Purchase price is 97% of the volume weighted average price during the purchase period, subject to a $1.00 minimum threshold price
Upfront commitment fee of $521,893.50, with any true-up capped so total fees do not exceed $1,000,000
Company must file an initial resale registration statement on Form S-1 within 30 days of the registration rights agreement
Alpha Modus Holdings agreed on October 21, 2026, to sell 6,304,348 shares of Class A common stock at $1.15 each in a registered direct offering, for gross proceeds of about $7.25 million before fees and expenses. The company intends to use the net proceeds to pay down debt and for working capital, and the issuance adds dilution for existing stockholders.
6,304,348 shares priced at $1.15 each, for about $7.25 million in gross proceeds
Net proceeds intended for debt repayment, working capital and general corporate purposes
Placement agent H.C. Wainwright receives a 7.0% cash fee and warrants for 441,304 shares at $1.4375 per share
Closing expected on or about October 22, 2026; company agreed not to issue new common stock for 30 days after closing
On October 20, 2026, Alpha Teknova agreed to sell 8,000,000 common shares at $5.00 each, for expected gross proceeds of $40 million, and granted underwriters an option to buy 1,200,000 more shares. The company also disclosed preliminary third-quarter 2026 estimates showing revenue of $12.5 million to $12.7 million, an Adjusted EBITDA loss of $1.0 million to $1.2 million, and $16.6 million in cash and short-term investments, while noting the figures are unaudited and may change materially. The new shares will increase the number of shares outstanding for existing holders.
8,000,000 shares offered at $5.00; underwriters buy at $4.70 per share; closing expected on or about October 22, 2026
Proceeds are intended for general corporate purposes, potentially including repayment of outstanding debt; no current acquisition commitments
Preliminary Q3 2026 estimates: revenue $12.5 million to $12.7 million, gross margin 36.0% to 38.0%, net loss $3.5 million to $3.7 million
Directors and executive officers agreed to lock-up restrictions on share sales until January 19, 2027
America's Car-Mart signed a Second Amendment to its credit agreement on October 15, 2026, adding $5.0 million in incremental term loans that mature October 30, 2030, with $200,000 in fees added to the loan principal. On October 20, 2026, lenders extended temporary relief on minimum liquidity and minimum Collateral Coverage Ratio requirements through November 1, 2026, following a series of earlier extensions, which adds to the company's debt and shows continued reliance on lender waivers. Separately, its ACM Auto Trust 2024-2 subsidiary redeemed all its asset-backed notes, releasing about $92 million in receivables from the trust.
October 15, 2026: Second Amendment provides $5.0 million in incremental term loans, maturing October 30, 2030, for general corporate purposes
Company agreed to pay $200,000 in fees to the Agent and Lenders, added to the outstanding principal balance
October 20, 2026: Lenders extended temporary relief on minimum liquidity and Collateral Coverage Ratio through November 1, 2026, after prior extensions through October 22, 2026
October 20, 2026: ACM Auto Trust 2024-2 redeemed all outstanding asset-backed notes; about $92 million in receivables released
Silicon Valley Acquisition Corp. (SVAQ) entered an October 19, 2026 agreement for subordinated unsecured notes of up to $5 million, issued by EigenQ with warrants to buy EigenQ shares at $12.00. The notes are unsecured and subordinated to the secured notes already in place, so holders are paid after those notes, and the financing adds debt and potential share dilution for shareholders before the business combination closes.
Up to $5,000,000 aggregate original principal of subordinated unsecured promissory notes, with an initial note of $2,413,333.33 issued at a 10% original issue discount
Warrants for 201,111 EigenQ shares at $12.00 issued at the initial closing, with up to 215,555 more warrants possible at the additional closing
Notes bear 8% cash or 10% paid-in-kind interest and mature April 15, 2027, extendable to July 15, 2027
Notes are unsecured and expressly subordinated to the secured notes, with payments restricted while those notes remain outstanding
Netcapital Inc. closed the first tranche of a securities purchase agreement with Hinterland Partners LLC on October 14, 2026, paying $402,743.00 for a note with an outstanding principal of $447,492.22. The note is convertible into common stock at a discount to recent trading prices and is secured by Netcapital's pledge of 3,209,685 KingsCrowd, Inc. Class A shares, so shareholders may face dilution and the company's assets are pledged if it defaults.
First tranche funded October 14, 2026 at a purchase price of $402,743.00; outstanding principal became $447,492.22
Conversion price is 85% of the lowest trading price in the seven trading days before conversion; 64,387 Commitment Shares issued for the first tranche
Second tranche of $175,000.00 due within five business days after conditions are met, including filing the delinquent 10-K for fiscal year ended April 30, 2026 and 10-Q for quarter ended July 31, 2026, within 90 days
Issuance cap of 1,603,685 shares unless shareholder approval is obtained; special meeting required within 180 calendar days
Onfolio Holdings subsidiary Eastern Standard, LLC and the company, as guarantor, entered into a forbearance agreement on October 12, 2026 over missed payments on an $850,000 promissory note tied to the Eastern Standard acquisition. The Payee agreed to hold off on remedies only if a $450,000 payment is made by October 31, 2026 and later monthly payments are made on time, and failure to do so lets the Payee enforce its rights against the Maker's assets and the company's guaranty.
Initial payment of $450,000 due on or before October 31, 2026
Monthly payments of $60,000 start December 1, 2026; final payment of $45,754.29 due July 1, 2027
Total scheduled payments of $915,754.29, including a $20,000 late charge; default interest continues to accrue and maturity is not extended
Change Agents Corporation issued pre-funded warrants to two lenders, Dune Equity Holdings and FirstFire Global Opportunities Fund, in exchange for waiving prepayment provisions tied to a recent note issuance and share sale. The company also executed unsecured promissory notes of $150,000 and $100,000 due December 1, 2026, with amounts due at maturity of $183,335 and $116,665. The warrants may add shares to the 1,254,947 currently outstanding, and a buyout fee applies if stockholder approval is not obtained within 90 days.
Pre-funded warrants issued to Dune for 62,000 shares and to FirstFire for 37,500 shares, at an exercise price of $0.0001 per share
If stockholder approval for the warrant shares is not obtained within 90 days, buyout fees of $150,000 (Dune) and $75,000 (FirstFire) may become payable
Unsecured promissory notes of $150,000 and $100,000 executed October 16, 2026, with amounts due at maturity of $183,335 and $116,665 on December 1, 2026
Chief Strategy Officer Luisa Ingargiola advanced the company $7,500 on October 13, 2026, to cover a loan payment, which was repaid in October 2026
On October 16, 2026, Curis agreed to sell 16,666,680 shares, or pre-funded warrants in place of shares, with accompanying common warrants for up to 16,666,680 shares, at a combined price of $0.51 per share. Gross proceeds are expected to be about $8.5 million before placement agent fees and expenses, with closing expected on or about October 19, 2026. The company also agreed to lower the exercise price of its January and August 2026 warrants to $0.60, and the new share count and warrants would add to the shares outstanding for existing holders.
Offering of 16,666,680 shares or pre-funded warrants, plus common warrants for up to 16,666,680 shares, at a combined $0.51 per share
Gross proceeds expected to be about $8.5 million, before placement agent fees and offering expenses; placement agents to receive a 6.5% cash fee
New common warrants have a $0.60 exercise price, become exercisable six months after issuance, and terminate April 19, 2032
January 2026 and August 2026 warrants to be amended to a reduced exercise price of $0.60; proceeds expected to fund operations through initial CLL data in 5-10 patients in December 2026
On October 13, 2026, NextBoat subsidiary Off The Hook Yacht Sales NC, LLC issued a subordinated promissory note to BPC Management, LLC for advances of up to $2.2 million to fund short-term working capital. The note carries 15.0% simple interest, a 2% origination fee and 90-day maturities, and NextBoat guaranteed Off The Hook's obligations, while the company's controlling stockholder and an affiliate pledged company shares as security, which could lead to a change in control if the lender forecloses.
Initial advance of $1.0 million funded October 13, 2026; a second advance of up to $1.2 million may be made on or before December 31, 2026
Advances bear 15.0% simple interest, carry a 2% origination fee and mature 90 days after funding
Ruegg Capital Group, Inc., an affiliate of Chairman and President Jason Ruegg, pledged shares with collateral value of not less than $5.0 million
Filing states that foreclosure on the pledged shares after an event of default could result in a change in control of the company
XTI Drones Holdings, a subsidiary of XTI Aerospace, missed $1.5 million in principal payments due September 30, 2026 on two seller promissory notes tied to its Drone Nerds and Anzu Robotics acquisitions, triggering events of default on October 11, 2026. The defaults also create cross-defaults under the subsidiary's $20.0 million JPMorgan Chase credit agreement, which the company says may let the lender terminate commitments and accelerate about $8.4 million of outstanding revolving loans. The company says it does not have enough liquidity to repay all amounts that could come due, and that the situation could materially harm its liquidity and financial condition.
Missed payments: $1,380,000 under the DN Note and $120,000 under the AR Note, due September 30, 2026; events of default occurred October 11, 2026
Outstanding principal on the two notes is about $4.51 million as of October 11, 2026; default interest rate is 9.25% per annum
Credit agreement with JPMorgan Chase Bank, N.A. has about $8.4 million of revolving loans outstanding as of October 16, 2026; no remedy notice received yet
Company agreed in principle with sellers on a temporary waiver subject to a signed agreement; no assurance a deal will be reached
IonQ entered into an underwriting agreement on October 14, 2026 with J.P. Morgan Securities LLC for a sale of 20.5 million common shares, 29.5 million pre-funded warrants and 100 million Series C warrants, with each share or pre-funded warrant offered with two Series C warrants at a combined price of $40.00. The offering closed on October 16, 2026. The filing shows the new shares and warrants add potential dilution for existing shareholders, and the Series C warrants can be exercised at $69.46 per share for up to seven years.
Offering closed October 16, 2026, after an underwriting agreement dated October 14, 2026 with J.P. Morgan Securities LLC as sole underwriter
Offered 20.5 million common shares and 29.5 million pre-funded warrants, each paired with two Series C warrants, at a combined price of $40.00
Series C warrants total 100 million, with an exercise price of $69.46 per share and a term through the seven-year anniversary of issuance
Warrants were issued under agreements dated October 16, 2026 with Continental Stock Transfer & Trust Company as warrant agent
On October 15, 2026, Profusa issued a Senior Secured Convertible Promissory Note with a $769,230.77 principal amount to Ascent Partners Fund LLC for a purchase price of $700,000.00, with original issue discount. The note is convertible into common stock at $4.28 per share and is secured by company assets, so holders could receive new shares and the company faces debt and cash payment obligations that may affect existing shareholders.
Principal of $769,230.77 issued for a purchase price of $700,000.00, with original issue discount.
Matures on the earlier of October 15, 2027 and the Option Closing Date; interest is 7% per annum, rising to 18% upon an Event of Default.
Convertible at Ascent's option at $4.28 per share, subject to adjustment and a Floor Price of $1.07 per share.
Monthly principal amortization begins January 1, 2027; 33% of net proceeds of any Subsequent Offering must be used to prepay the note in cash.
CDT Equity Inc. issued a $6,750,000 senior secured convertible note to J.J. Astor & Co. on October 6, 2026, to be funded in two tranches. The company received $3,000,000 in the first tranche and must repay the note in weekly installments starting October 14, 2026, with maturity on March 24, 2027. The lender can convert the note into common stock at a discounted price and received warrants for 225,000 shares, which could add shares outstanding for existing shareholders.
First tranche: $3,000,000 received against $4,050,000 of principal, with net proceeds of $2,869,850 after closing fees
Second tranche of $2,000,000 is subject to conditions on or before December 31, 2026, including a closing bid price of at least $3.00
Conversion price is the greater of 70% of the lowest closing price over 20 trading days or a $0.18354 floor; warrants for 225,000 shares at $0.9177
80% of net proceeds from the at-the-market offering with A.G.P. are applied to the note first; the note is secured by a first priority lien
On October 9, 2026, Co-Diagnostics entered a Loan Agreement with J.J. Astor & Co. for up to $3.1 million, with an initial $2.1 million funded at closing against a note with an original principal of $2.835 million. The notes are secured by substantially all company and subsidiary assets, are payable in 30 weekly installments, and can be converted into common stock at a discount to market, which could dilute existing shareholders; ATM sale proceeds are also routed to the lender.
Initial loan funded: $2.1 million; initial note original principal: $2.835 million; net initial proceeds about $2.016 million after a 4% origination fee
Conversion price is the greater of 90% of the lowest 10-day VWAP and the Nasdaq-based floor, with 600,000 commitment shares issued to the lender
Initial $1.0 million of ATM net proceeds is payable to the lender, with 80% of later net proceeds applied to the notes
Placement agent Maxim Group LLC receives a 5.0% cash fee on gross proceeds; a 19% default interest rate applies after an event of default
On October 9, 2026, Flyte Aviation agreed to sell 2,050 shares of Series C-4 Convertible Preferred Stock to existing investors for $2.05 million, with closing expected on or about October 13, 2026. The same day, the company cut the conversion price of its Series C, Series D and Series J preferred stock from $2.30 to $1.00 per share (Series J was reduced to $1.00), which could increase the number of common shares issuable to those holders and may dilute existing shareholders.
2,050 Series C-4 preferred shares at a $1,000 stated value, for $2.05 million in gross proceeds; Dawson James Securities acted as placement agent
Series C-4 shares convertible at $1.00 per share into up to 2,050,000 shares of common stock
Conversion price cut from $2.30 to $1.00 for Series C-1, C-2, C-3, C-4 and Series D preferred stock, with the floor price waived
Series J conversion price reduced to $1.00; the company effected a 1-for-10 reverse stock split on October 5, 2026
Volato Group, Inc. (the filing names this company, not SOAR AI, Inc.) signed an equity line of credit with DFU, LLC that lets it sell up to $1,000,000,000 of Class A common stock over 36 months, at its own discretion. The deal also requires issuing 3,646,974 common shares and 13,058 Series B preferred shares convertible into 56,528,082 common shares, which would dilute existing shareholders.
Up to $1,000,000,000 of Class A common stock may be sold to DFU, LLC over a 36-month Investment Period, at the company's discretion.
Each Put Notice may cover up to $6,000,000 in shares, with a floor price of $0.21 per share.
Commitment Shares: 3,646,974 common shares plus 13,058 Series B preferred shares convertible into 56,528,082 common shares, subject to NYSE American approval.
Without stockholder approval, sales cannot exceed 19.99% of outstanding shares as of October 8, 2026.
Universal Safety Products, Inc. (the filing names this company, not DeFi Capital Markets or DCM as the request stated) entered into an amended and restated securities purchase agreement on October 9, 2026 with SJC Lending LLC for up to $2.5 million in convertible note financing. Conversion shares above 19.99% of common stock require new stockholder approval, and the notes convert at a discount to recent trading prices, which would dilute existing shareholders.
Up to $2,650,000 in convertible notes for up to $2.5 million; $1,000,000 funded June 12, 2026 and $500,000 funded July 29, 2026, with a third $1,000,000 tranche due after a resale registration statement is declared effective
Conversion price is the greater of a $1.00 floor or 80% of the lowest five-day VWAP, capped at $10.00 per share; conversions above 19.99% of shares outstanding need stockholder approval
Notes accrue 8% interest (20% after an event of default) and mature one year after issuance; the company may not enter a variable rate transaction for one year and SJC holds a one-year right of first refusal on future equity offerings
On October 9, 2026, subsidiary STAR Investment Holdings SPV LLC entered into Amendment No. 5 to its margin loan with Morgan Stanley, which had about $46.5 million outstanding before the amendment. The amendment lowers the share price trigger that would require mandatory prepayment from $10.00 to $8.00 for the Safehold common stock pledged as collateral, and it ends a $15.8 million undrawn delayed draw commitment. Because the lower trigger and loan-to-value changes affect when collateral and repayment obligations apply, shareholders should note the changed terms on the loan secured by Safehold shares.
Share price trigger for mandatory prepayment cut from $10.00 to $8.00 per Safehold common share
Delayed draw commitment of up to $15.8 million terminated; it was undrawn at the amendment date
Loan had about $46.5 million principal outstanding before Amendment No. 5, secured by a first priority pledge of Safehold shares
Amendment also lowers loan-to-value ratios that trigger additional collateral posting or permit collateral release requests
On October 5, 2026, authID entered into an agreement to sell $1,350,000 of senior secured convertible debentures and warrants to four accredited investors, and the offering closed on October 6, 2026. The debentures carry no interest, mature on February 28, 2027 or earlier upon a change of control, and are secured by substantially all company assets, while the holders of the April 2026 debentures agreed to extend their own maturity to the same date. For shareholders, the conversion and warrant terms could add significant share dilution and the new secured debt ranks alongside the April 2026 debentures.
Gross proceeds of $1,350,000 from the offering, before placement agent fees and expenses, closed October 6, 2026.
Debentures convert at $0.386 per share into an aggregate of 3,497,409 shares and mature February 28, 2027.
Warrants cover 1,800,000 shares at $0.50 per share and cannot be exercised until stockholder approval is obtained.
April 2026 debenture maturity moved from October 29, 2026 to February 28, 2027, with the warrant exercise price cut from $0.57 to $0.50.
Sky Quarry agreed to settle $638,998 in past-due or defaulted liabilities owed to LendSpark Corporation by issuing common stock, under a settlement approved by a Florida court on October 2, 2026. The shares will be issued without registration under Section 3(a)(10) of the Securities Act, so shareholders face potential dilution from newly issued shares.
Claim Amount settled: $638,998.00, owed to LendSpark Corporation and described as past due or in default
Settlement Shares are issued in up to two tranches at the lower of the prior day's closing price or the five-day average closing price before the initial conversion
LendSpark is capped at 4.99% beneficial ownership and limited to resales of 20% of daily trading volume; the company must reserve an initial 500,000 shares with its transfer agent
Approximately 8,770,000 shares were outstanding as of September 15, 2026; the company also issues 6,000 Settlement Fee Shares
FibroBiologics sold Peak One Opportunity Fund a $1.2 million convertible debenture for $1,020,000, a 15% original issue discount, and issued 125,000 restricted commitment shares. The debenture matures October 8, 2027, and is convertible only after an Event of Default, at a fixed $0.78 per share. Shareholders face possible dilution and near-term repayment obligations, with the company's interim payments of $1,080,000 due in April 2027.
Debenture principal of $1,200,000 sold for $1,020,000, with 0% interest and a maturity date of October 8, 2027
Interim payments of $1,080,000 due April 8, 2027, and $60,000 due July 8, 2027, with the balance at maturity
Conversion only after an Event of Default, at $0.78 per share; issuance capped at 1,671,094 shares absent stockholder approval
Company issued 125,000 commitment shares and paid a $20,000 non-accountable fee to Peak One
Boxlight agreed on September 30, 2026 to sell 106,250 shares of Series E convertible preferred stock to J.J. Astor & Co. for a $850,000 subscription amount, at $8.00 per share after a 20% original issue discount. J.J. Astor's CEO is Chairman Michael Pope, who recused himself, and the disinterested directors approved the deal, which is convertible into Class A common stock and comes with registration and covenant obligations that affect shareholders.
Series E: 106,250 shares at $8.00 per share, $850,000 subscription amount, dated September 30, 2026
Chairman Michael Pope is CEO of J.J. Astor and recused himself; the disinterested directors approved the transactions by unanimous written consent effective September 30, 2026
Company must file a resale registration statement within 30 calendar days after the Closing Date; liquidated damages of 5% of the subscription amount apply on missed deadlines
Series D holders consented on October 6, 2026 to the Series E issuance and waived related Series D SPA provisions, with no consideration paid
Picard Medical, Inc. issued three unsecured convertible notes totaling $1.0 million to three accredited investors on September 30, 2026, maturing September 30, 2027, with 3.0% interest. Conversion is priced at a floor of $4.00 per share, and the filing says conversion could dilute existing stockholders by up to about 250,000 shares of common stock plus an equal number of pre-funded warrants, excluding interest-related shares.
Notes: three unsecured convertible notes, $1.0 million aggregate principal, 3.0% annual interest, maturing September 30, 2027
Conversion price is the higher of $4.00 per share or the prior-day closing price; maximum of 250,000 shares at the $4.00 floor, excluding interest
Each converted share comes with a pre-funded warrant for one additional share at $0.0001 exercise price, up to 250,000 more shares
Issuance is capped at 19.99% of outstanding shares until stockholder approval is obtained, per NYSE American rules
UWM Holdings Corporation began its previously announced rights offering on October 5, 2026, seeking up to $400 million. Each holder of record as of October 2, 2026 receives one right to buy 0.57 Class A shares at the greater of $2.00 or 85% of the average trading price over ten days, and the offering expires November 12, 2026. The filing notes the stock closed at $1.26 on the record date, below the $2.00 minimum, and that the rights will not trade on the NYSE unless that changes.
Offering up to $400 million; each right buys 0.57 Class A shares at the greater of $2.00 or 85% of the 10-day VWAP
Record date October 2, 2026; rights expire 5:00 p.m. Eastern Time on November 12, 2026
Class A closing price was $1.26 on the record date, below the $2.00 minimum subscription price; rights are not eligible to trade on the NYSE while this continues
Backstop: Oaktree-affiliated funds may buy unsubscribed amounts, and SFS Group and CEO Mat Ishbia are obligated to fund the remainder so gross proceeds reach at least $400 million
Dragonfly Energy amended its senior secured term loan, with lenders waiving the minimum liquidity covenant test for the month ending September 30, 2026, and agreeing to waive any default tied to a deferred portion of the October 1, 2026 Series B preferred dividend. The company also agreed to a $450,000 amendment fee added to the loan principal, and the Series B holders waived their right to the full dividend on time, which means shareholders face a modified payment schedule and a larger loan balance.
Lenders waived testing of the minimum liquidity covenant solely for the fiscal month ending September 30, 2026.
The company will pay a $450,000 amendment fee, paid in kind by adding it to the outstanding Term Loan principal.
Series B holders waived the full October 1, 2026 dividend; the company must pay a 2% per annum cash dividend by October 1, 2026 and a 6% per annum cash dividend by October 30, 2026, with 2% per annum paid in kind.
Mercer International said a special committee is in advanced talks with holders of more than 75% of its 2028 and 2029 senior notes on a comprehensive recapitalization and capital infusion. The company elected not to make a $25.8 million interest payment due October 1, 2026 on the 2028 notes and is using the indenture's 30-day grace period, which it says is not an event of default.
Missed interest payment of approximately $25.8 million on 12.875% 2028 Senior Notes was due October 1, 2026; company is using 30-day grace period
Ad Hoc Group holds more than 75% of the aggregate principal of the 2028 and 5.125% 2029 Senior Notes
Company is optimistic about announcing a Transaction in the near term but gives no assurance of a definitive agreement or its timing or terms
On October 1, 2026, TransCode Therapeutics made an $840,975 prepayment on its convertible notes with Yorkville under a waiver. The stock's daily VWAP was below the $1.72 Floor Price on 10 of 14 trading days from September 11 to September 30, 2026, which could have triggered monthly repayment obligations. After the prepayment, about $4.1 million of principal remains outstanding, and the waiver covers potential Amortization Events through October 31, 2026.
Prepayment of $840,975 made October 1, 2026: $759,000 principal, $75,900 prepayment premium and $6,075 accrued interest.
Yorkville waived any Amortization Event deemed to have occurred through September 30, 2026, and through October 31, 2026.
Daily VWAP was below the $1.72 Floor Price on 10 of 14 trading days from September 11 to September 30, 2026.
About $4.1 million of principal remains under the Convertible Notes after the prepayment.
Reed's entered an amendment to its senior secured loan with Whitebox-affiliated lenders and Cantor Fitzgerald as agent, converting its revolving credit commitments into $9.25 million of term loans that cannot be re-borrowed once repaid. The amendment raises the interest rate to 8.75% from 8.00%, extends maturity to June 30, 2027, and adds a new Event of Default requiring at least $10 million of cash equity contributions by November 6, 2026, which matters to shareholders because it signals tighter financing terms and a near-term capital requirement.
Revolving credit commitments converted into $9.25 million in term loans, effective September 30, 2026
Interest rate on term loans rises to 8.75% per annum from 8.00%; optional extension period accrues at 9.25%
Maturity extended to June 30, 2027, with an optional three-month extension to September 30, 2027
New Event of Default requires at least $10 million in cash equity contributions by November 6, 2026; inventory plus receivables liquidity covenant waived through that date
On September 29, 2026, BioStem Technologies agreed to sell 735,296 shares at $4.08 per share, with Series A and Series B warrants, for approximately $3.0 million in gross proceeds before fees; the deal closed September 30, 2026. The filing also says a $10.0 million Clearance Payment owed to BioTissue, due by September 15, 2026, has not been made, and the company is in ongoing talks about its timing and terms. Shareholders face potential dilution from the new shares and warrants, along with an unpaid obligation.
735,296 shares at $4.08 per share, plus Series A and Series B warrants each for up to 735,296 shares at a $3.83 exercise price
Gross proceeds of approximately $3.0 million before placement agent fees; H.C. Wainwright received a cash fee of 7.0% of gross proceeds
Private placement closed September 30, 2026; resale registration statement due within 30 calendar days of the registration rights agreement
$10.0 million Clearance Payment to BioTissue was due by September 15, 2026 and had not been paid as of the filing date
Nomad Power Solutions entered a Note Purchase Agreement on September 28, 2026, issuing a $6.57 million original issue discount secured promissory note for $6.0 million in gross proceeds. The note matures 12 months after funding, carries 9% annual interest, and is secured by company assets including equity interests, equipment, and receivables, with subsidiaries Lixte and Liora guaranteeing the debt, which may dilute or pressure shareholders' claim priority.
Gross proceeds of $6.0 million; original issue discount of $540,000 plus $30,000 in fees and expenses
Note matures 12 months from the Purchase Price Date and bears 9% annual interest
From the 6-month anniversary, the investor may redeem up to $800,000 per calendar month in cash, with 2 trading days to pay
Collateral includes all company equity interests, goods and equipment, accounts receivable, and contract rights; subsidiaries Lixte and Liora guarantee the debt
Lantern Pharma sold 3,669,725 shares or pre-funded warrants at $1.09 per share in a registered direct offering that closed on September 30, 2026, for approximately $4.0 million in gross proceeds before expenses. The company also issued unregistered warrants for up to 3,669,725 shares at $1.09 that could bring in about $4 million more if fully exercised, which would add to the number of shares outstanding and dilute existing shareholders.
Offering priced at $1.09 per share, with approximately $4.0 million in gross proceeds before expenses; closed September 30, 2026
Purchase warrants for up to 3,669,725 shares at $1.09 exercise price; exercisable only after stockholder approval, expiring five years after that approval
Company must seek stockholder approval within 90 days of September 28, 2026
Placement agent Rodman & Renshaw received a cash fee of 7% of gross proceeds, and the company plans to use net proceeds for working capital and general corporate purposes
On September 28, 2026, Silexion Therapeutics agreed to lower the exercise price of 3,216,928 series E warrants from $0.65 to $0.2603 per share, with holders expected to exercise for about $0.84 million in gross proceeds before fees. In return, the company will issue new Series F and Series G warrants covering up to 6,433,856 ordinary shares, which adds potential dilution for existing shareholders.
Holders of 3,216,928 existing warrants agreed to exercise at a reduced price of $0.2603, down from $0.65.
Expected gross proceeds from the exercises are about $0.84 million, before placement agent fees and offering expenses.
New warrants cover 6,433,856 ordinary shares, split between 3,216,928 Series F and 3,216,928 Series G warrants.
Closing is expected on or about September 29, 2026, and H.C. Wainwright & Co. is the placement agent with a 7.0% cash fee plus a 1.0% management fee.
Imunon, Inc. agreed on September 28, 2026 to exchange $1,200,000 of principal on its A-1 secured note held by Streeterville Capital, LLC for 120 shares of newly designated Series B Preferred Stock, reducing the note balance by the amount exchanged. The company also filed a certificate of designation creating 200 Series B shares with an 8% annual return and a 110% optional redemption price, which carries event-of-default terms that could raise the return by 15% a year.
Exchange covers $1,200,000 of A-1 Note principal plus accrued interest, for 120 Series B Preferred Shares at $10,000 per share.
Series B Preferred Stock has a $12,000 stated value, an 8% annual return, and is not convertible into common stock.
Company may redeem Series B shares at 110% of the applicable liquidation amount; an event of default would raise the return by 15% per year.
Series B holders have no voting rights except on matters that materially and adversely affect their rights or as required by law.
RideNow Group entered a $220 million senior secured term loan with Centerbridge-affiliated lenders and Alter Domus, using proceeds to fully repay its 2021 Oaktree-agented credit agreement. The new loans mature in September 2031 but carry steep interest, and the company is in advanced talks for a $50 million ABL revolver with Wells Fargo that is not yet committed.
$220 million senior secured term loans due September 25, 2031, funded September 25, 2026 to refinance the Existing Credit Agreement with Oaktree
Interest at Base Rate plus 7.375% or Adjusted Term SOFR (3.00% floor) plus 8.375%
Financial covenants include a first-lien net leverage ratio up to 4.80 to 1.00 and minimum liquidity of $15 million
Three unsecured promissory notes totaling about $10.0 million, held by SH Capital Partners, Mark Tkach and Face Canyon, were amended with 13.0% PIK interest maturing August 31, 2028
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.
Frequently asked questions
Which filings get a brief?
Form 8-K filings by companies listed on a US stock exchange (NYSE, Nasdaq, Cboe; not over-the-counter stocks) that report a material event: results (Item 2.02), deals (1.01, 2.01), executive changes (5.02), restructuring (2.05), impairments (2.06), delisting notices (3.01), restatements (4.02), cybersecurity incidents (1.05), bankruptcy (1.03) and Regulation FD or other events (7.01, 8.01). Routine filings such as vote results or exhibits only are skipped.
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Every company with shares listed on the NYSE, Nasdaq or Cboe that files 8-Ks, about 4,500 of them. Foreign companies that report on Form 6-K instead are not included. The S&P 1500 only filter above narrows the list to the large, mid and small caps of the S&P Composite 1500.
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