1,853 material Form 8-K filings that 1,500 companies we cover made with the SEC in September 2026, each read and summarized by AI: what happened, the key figures, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). All of them were written later, when past filings were added: a selection, not every 8-K of the month (see the note below).
The fund's Board of Trustees approved a transferable rights offering that lets common shareholders buy new common shares at a discount to market price, subject to a sales load. The fund says the proceeds would add capital for infrastructure investments while reducing the need to sell existing holdings.
Record date is September 21, 2026; each common share held earns one transferable right.
Three rights are needed to subscribe for one new common share; the subscription price is 92.5% of the average closing price or 92.5% of NAV, whichever is lower.
Subscription period runs to October 15, 2026; rights are expected to trade on the NYSE under ASGI RT beginning about September 22, 2026.
Shares issued in the offering will not receive the September 30, 2026 distribution or the October distribution.
BioVie entered a sales agreement with A.G.P./Alliance Global Partners allowing it to sell up to $6,464,341 of Class A common stock through the agent over time. The company pays the agent a 3.0% commission on gross proceeds and says it may use proceeds for general corporate purposes; it has no obligation to sell any shares. Shareholders may face dilution if the shares are sold.
Aggregate offering price of up to $6,464,341 in Placement Shares under the Sales Agreement dated September 11, 2026
Agent commission of 3.0% of gross proceeds, plus reimbursement of certain specified expenses
Sales made under Form S-3 (File No. 333-296924), declared effective June 29, 2026; offering ends no later than the registration statement's third anniversary
Company has no obligation to sell shares and may suspend or terminate the offering at any time
Fly-E Group's Chief Executive Officer and Director, Lisa Fan, resigned effective immediately on September 11, 2026, and the filing states the resignation was not due to any disagreement with the company or its board. The board appointed Qiang Chen as CEO and Jingxia Song as an independent director, both effective immediately, which changes the company's top executive and board composition.
Lisa Fan resigned as CEO and Director effective September 11, 2026; the filing says there was no disagreement on any matter
Qiang Chen, 54, appointed CEO; he was previously chief financial officer of General Steel Holdings, Inc. from May 2004 to December 2015
Chen's employment agreement sets annual compensation at $60,000
Jingxia Song, 40, appointed independent Director and member of the Audit, Nominating and Corporate Governance, and Compensation committees; her offer letter sets annual compensation at $26,400
KULR Technology Group sold approximately 764 bitcoin between August 20 and September 11, 2026, for aggregate gross proceeds of about $58.6 million, and says it no longer holds any bitcoin. The filing also reports a grant of 200,000 restricted stock units to CFO Michael Kimel, vesting over four years, which ties part of his pay to continued service.
Approximately 764 BTC sold at a weighted average price of about $76,633 per bitcoin, for gross proceeds of about $58.6 million
Sales completed September 11, 2026, and described as part of ongoing treasury management; all remaining BTC holdings were sold
Compensation Committee approved 200,000 time-based RSUs for CFO Michael Kimel on September 4, 2026, effective September 10, 2026
RSUs vest in eight equal semi-annual installments, starting December 6, 2026, for a total vesting period of four years
Greenwave Technology Solutions closed a private placement of Series B Convertible Preferred Stock on September 9, 2026, raising $3.75 million before placement agent fees and other offering expenses. The preferred shares are convertible into common stock at an initial price of $5.24 per share, which creates potential dilution for existing common shareholders, and the company may not take certain actions, such as paying common dividends or issuing senior or parity preferred stock, without holder approval.
Closed September 9, 2026 with five institutional investors; aggregate proceeds of $3.75 million before fees and expenses
Authorizes 3,750 shares of Series B Preferred Stock, stated value $1,000 per share
Initial conversion price of $5.24 per share, with a 4.99% beneficial ownership cap on conversion
Holders have no voting rights except on certain matters affecting the preferred stock
Immunic director Dr. Duane Nash resigned from the Board of Directors on September 10, 2026. The company said the resignation was not due to any disagreement over its operations, policies, or practices, and the board reduced its size from ten members to nine.
Dr. Duane Nash resigned as a director on September 10, 2026.
The filing states no disagreement with the company on operations, policies, or practices.
Board size reduced from ten members to nine members.
GMR Solutions' subsidiary Global Medical Response, Inc. received binding lender commitments to reprice its existing first lien term loan, with closing expected on or about September 17, 2026. The company plans to prepay about $200 million from cash on hand, and expects roughly $28 million in annual cash interest savings, which supports its stated deleveraging goal.
Applicable margin falls from SOFR +325 to SOFR +275 basis points, a 50 basis point reduction
About $200 million of cash on hand to be used to repay term loan borrowings, reducing principal to about $2.7 billion from $2.9 billion
Expected annual cash interest savings of approximately $28 million
Closing expected on or about September 17, 2026, subject to customary conditions and definitive documentation
Flux Power Holdings' Chief Operating Officer, Jeff Mason, tendered his resignation on September 8, 2026, effective September 25, 2026. The company and Mr. Mason agreed to a separation and release agreement providing a $5,000 payment, conditioned on a general release of claims.
Jeff Mason, Chief Operating Officer, resigned; departure effective September 25, 2026
Separation payment of $5,000, payable within ten days of signing the separation agreement
Full separation agreement expected to be filed with the Form 10-Q for the period ending September 30, 2026
Coty said CFO Laurent Mercier stopped serving as Chief Financial Officer on September 1, 2026, in connection with the previously announced appointment of Soraya Benchikh as CFO. He will serve as Strategic CEO Advisor under a Transition Agreement through June 30, 2027, with pay and benefit terms that the filing details.
Mercier ceased being CFO on September 1, 2026; Soraya Benchikh was previously announced as successor
Mercier keeps a €825,000 annual base salary through June 30, 2027 for advisory services and will be released from active duties beginning November 1, 2026
He will receive a fixed one-time bonus of €290,000 and no annual bonus or variable pay for fiscal 2026 or 2027
Flexsteel Industries appointed Dr. Anand Kangala, Chief Digital and Technology Officer of Trex Company, to its Board effective September 10, 2026, and to the Audit and Ethics Committee. The filing describes a board seat with a $75,000 annual retainer and a quarterly stock grant valued at $26,250, and the company reports no related-party transactions involving him, so the change is a routine board addition rather than a change in financial results.
Kangala appointed effective September 10, 2026 as a Class I director, up for re-election at the 2027 annual meeting
Compensation: $75,000 annual Board retainer, $7,500 annual Audit and Ethics Committee retainer, and quarterly stock grants valued at $26,250
Kangala is Chief Digital and Technology Officer of Trex Company, Inc., and previously held technology leadership roles at The Home Depot, Lowe's and others
National Beverage reported first-quarter results for the period ended August 1, 2026, with net sales of $331 million, essentially unchanged from a year earlier. Net income fell to $47 million from $55.8 million, and earnings per share dropped to $0.50 from $0.60, as higher aluminum, tariff, fuel and freight costs pressured gross margin, which was 35%. Shareholders also saw cash fall to $107 million after a $304 million special dividend of $3.25 per share paid July 30, 2026.
Net sales were $330.7 million for the three months ended August 1, 2026, versus $330.5 million a year earlier.
Net income was $47.0 million, or $0.50 per diluted share, compared with $55.8 million, or $0.60 per diluted share, a year earlier.
Gross margin was 35%; the company said aluminum costs alone reduced gross margin by almost 600 basis points.
The company paid a $304 million special dividend ($3.25 per share) on July 30, 2026, and reported cash of $107 million afterward.
Sunshine Biopharma said that recent sales of its common stock under its at-the-market offering triggered a reduction in the exercise price of its outstanding Series B Warrants to $1.2046. The price is subject to further adjustment under the warrant terms. The change lowers the price at which warrant holders can buy shares, which could increase potential dilution for existing shareholders.
Series B Warrant exercise price reduced to $1.2046 per share
Reduction tied to recent sales of common stock under the at-the-market offering
Exercise price remains subject to further adjustment under the Series B Warrant terms
At its September 8, 2026 annual meeting, Toppoint Holdings stockholders approved a reverse stock split of 1-for-2 to 1-for-900 at the Board's discretion, a reincorporation from Nevada to Delaware, and an increase in authorized common stock from 300,000,000 to 1,000,000,000 shares. Five directors were also elected. Neither the reincorporation nor the share increase has taken effect yet, so the votes authorize future changes that shareholders will be notified of separately.
Reverse split authority: 15,657,330 votes for and 55,377 against, usable through August 24, 2029, at ratios from 1-for-2 to 1-for-900.
Authorized common shares to rise from 300,000,000 to 1,000,000,000; approved with 15,619,194 for and 93,512 against.
Reincorporation to Delaware approved with 14,757,565 for, 16,707 against and 938,422 broker non-votes.
Five directors elected, including Anthony Kwong, Chung Ming Bruce Hui and Christy Tarala; Jimmy M. Wong's term ended and he was not renominated.
At a September 10, 2026 special meeting, Daily Journal shareholders approved eliminating cumulative voting in director elections, and the amendment took effect September 11, 2026, alongside new bylaws that add proxy access and an exclusive South Carolina forum provision. The Board also authorized a share repurchase framework for up to 35,000 shares, running through September 30, 2027, with no obligation to buy and a director resignation policy that took effect September 10, 2026.
Shareholders approved the amendment with 804,436 votes for, 21,786 against and 1,672 abstentions, out of 848,577 shares represented
Amended bylaws allow passive shareholder groups owning at least 3% for three years to nominate two directors, and require nominations 60 calendar days before the prior year's annual meeting anniversary
Repurchase framework permits buying up to 35,000 shares through September 30, 2027, but the Company is not required to buy any shares
Directors must resign if they receive more "no" votes than "yes" votes in an uncontested election, subject to Board acceptance
On September 9, 2026, Centrus Energy priced an underwritten offering of Class A common stock, pre-funded warrants and common warrants, with gross proceeds expected to be about $500 million before underwriting discount and expenses. Closing is expected on or about September 11, 2026, and the company said proceeds may fund working capital, technology, debt repayment, capital expenditures and acquisitions. The filing also discloses advanced talks on a potential acquisition of a domestic manufacturing supplier for about $115 million to $125 million, but no definitive agreement has been signed, and the new warrants could dilute existing shareholders if exercised.
Offering of 500,000 Class A shares, pre-funded warrants for 2,005,513 shares and common warrants for up to 6,992,382 shares, priced at a combined $199.64 per share
Gross proceeds expected to be about $500 million, before underwriting discount and other offering expenses; closing expected on or about September 11, 2026
Common warrants have four exercise price series from $226.8625 to $362.9800 per share
Company is in advanced discussions on a potential acquisition priced at about $115 million to $125 million; target generated about $160 million of revenue in 2025, and no definitive agreement has been signed
On September 4, 2026, Bonk, Inc. agreed to buy 26,667 of the 100,000 Series A Preferred Shares held by Core4 Capital Holdings Corp for $4.0 million, and disclosed the deal on September 11, 2026. As part of the deal, Core4 waived anti-dilution rights and its rights under the May 2, 2025 Certificate of Designation, including voting, liquidation preference and conversion rights, and agreed to a general release of claims. For shareholders, the filing shows a $4.0 million cash payment and a smaller preferred stake with fewer preferred rights, but no earnings or financial results.
Bonk will pay $4.0 million by wire within three business days of the September 4, 2026 agreement to purchase 26,667 preferred shares.
After the transaction, Core4 will hold 73,333 preferred shares, convertible into 1,516,873 common shares in a merger.
Core4 waived anti-dilution, voting, liquidation preference and conversion rights and agreed to a general release of claims against Bonk.
A subsidiary of Cardinal Infrastructure Group, Cardinal Civil Contracting, LLC, signed a second amendment to its credit agreement with Truist Bank and other lenders on September 10, 2026. The amendment adds a delayed draw term loan of up to $250 million and raises revolving commitments from $75 million to $100 million, giving the group more borrowing capacity under the facility.
Delayed draw term loan facility of up to $250,000,000 established under the Second Amendment
Aggregate revolving commitments increased from $75,000,000 to $100,000,000
Truist Bank serves as administrative agent, issuing bank and swingline lender; the parent company is not a party to the amendment or the Credit Agreement
Oportun Financial appointed William Franklin, formerly CFO of Consumer Banking at Discover Financial Services, as its Chief Financial Officer effective September 8, 2026. Joseph Schueller, the Controller, will no longer serve as principal financial officer but remains in his current role. The filing describes the change in leadership of the finance function without reporting any financial results.
William Franklin, 48, was named CFO and principal financial officer effective September 8, 2026, succeeding Joseph Schueller in that role.
Franklin's offer letter provides a $500,000 base salary, a 2026 target bonus of 75% of base salary, and a $200,000 signing bonus vesting on the six-month anniversary of the effective date.
Franklin is to receive a 276,626 RSU new hire award, expected to be granted in December 2026, subject to Board approval and continued employment.
Rainier Acquisition Corporation, a special purpose acquisition company focused on life sciences, said holders of its units may separate them starting September 14, 2026. The Class A ordinary shares and warrants will then trade separately on the Nasdaq Capital Market from September 15, 2026, while unseparated units keep trading under RNAQU. The announcement is administrative, and the filing states the warrant exercise price of $11.50 per share.
Unit holders may separate units starting September 14, 2026; separate trading begins September 15, 2026 on Nasdaq Capital Market
Shares will trade as RNAQ, warrants as RNAQW, and unseparated units as RNAQU
Initial public offering totaled 8,625,000 units for gross proceeds of $86,250,000, with $86,250,000 ($10.00 per unit) placed in the trust account
Each whole warrant entitles the holder to buy one Class A ordinary share at $11.50; each unit includes one-quarter of one warrant
AMREP Corporation reported net income of $276,000, or $0.05 per diluted share, for the fiscal first quarter ended July 31, 2026, down from $4,692,000, or $0.87 per diluted share, a year earlier. Revenues fell to $6.1 million from $17.9 million, and shareholders also approved a 2026 Equity Compensation Plan at the September 10 annual meeting.
Net income: $276,000 ($0.05 per diluted share) vs. $4,692,000 ($0.87) in the same quarter last year
Revenues: $6,051,000 vs. $17,851,000 a year earlier
Shareholders approved the 2026 Equity Compensation Plan, which allows up to 500,000 shares and becomes effective September 20, 2026
Directors Timothy S. McNaney and Albert V. Russo were re-elected to terms ending at the 2029 annual meeting
Peraso's chief financial officer, James Sullivan, resigned for personal reasons, effective October 2, 2026, and the filing says the resignation was not due to any disagreement with the company. CEO Ronald Glibbery will also serve as interim CFO and principal financial officer without additional pay, and stockholders on September 10, 2026 approved adding 1,500,000 shares to the company's 2019 stock incentive plan.
James Sullivan resigns as CFO and Secretary effective October 2, 2026, citing personal reasons
Ronald Glibbery, CEO and board member, becomes interim CFO and Secretary effective October 2, 2026, with no added compensation
Stockholders approved 1,500,000 additional shares for the 2019 Stock Incentive Plan at the September 10, 2026 annual meeting
Q/C Technologies, Inc. said on September 10, 2026 that it mutually terminated, effective immediately, two consulting agreements: one with Chelsea Voss and one with Ocean Avenue Holdings LLC, an entity affiliated with Martin Shkreli. The same day, Chelsea Voss resigned from the Company's Board of Directors, and the filing states her resignation was not due to any disagreement with the Company's operations, policies or practices. The filing does not disclose financial terms or the reasons for the terminations.
Consulting agreement with Chelsea Voss, dated January 16, 2026, terminated effective September 10, 2026
Consulting agreement with Ocean Avenue Holdings LLC, dated December 8, 2025, terminated effective September 10, 2026
Chelsea Voss resigned from the Board of Directors on September 10, 2026, with no disagreement stated
Business First Bancshares, Inc. disclosed that it and its subsidiary b1BANK were notified on September 9, 2026 of the voluntary resignation of Philip Jordan, b1BANK's Executive Vice President and Chief Banking Officer. The filing states the resignation was not due to any disagreement with the company or b1BANK over operations, policies, or practices. The filing does not name a successor or give financial effects.
Philip Jordan, Executive Vice President and Chief Banking Officer of b1BANK, resigned voluntarily.
Business First and b1BANK were notified of the resignation on September 9, 2026.
The filing states the resignation was not due to any disagreement with the company or b1BANK.
The filing does not name a replacement or describe any financial impact.
On September 8, 2026, P3 Health Partners entered a Securities Purchase Agreement with affiliates of CPF to issue up to $70 million of units in multiple tranches, each including Series D-1 19.5% Cumulative Preferred Stock and warrants. A special committee of independent directors approved the deal because the CPF affiliates may be related parties. The preferred stock ranks senior to common stock, and the warrants could add to the number of common shares outstanding.
Up to $70 million of units to be issued in multiple tranches under a Securities Purchase Agreement dated September 8, 2026.
Series D-1 preferred stock: 19.5% cumulative dividend, $100 stated value per share, not convertible, no voting rights, redeemable at $100 per share plus unpaid dividends.
Warrants exercisable for 0.66333% of outstanding Class A and Class V common stock per $1,000,000 funded, with a seven-year term.
CPF may designate one additional independent director while it owns 40% of common stock; the 49.99% standstill limit is extended from January 1, 2027 to December 31, 2027.
Korsana Biosciences completed its merger with Cyclerion Therapeutics on September 8, 2026, and the combined company is set to trade on Nasdaq under the ticker KRSA starting September 9. The closing included a $380 million private placement and a 1-for-7 reverse split of Cyclerion common stock, leaving about 55.1 million shares and share equivalents outstanding, excluding equity awards. The company expects pro-forma cash of about $475 million to fund operations into 2029, but it reported a $30.9 million net loss for the six months ended June 30, 2026.
Merger closed September 8, 2026; shares begin trading on Nasdaq as KRSA on September 9, 2026
$380 million gross proceeds from a private placement led by Fairmount and Venrock Healthcare Capital Partners
About 55.1 million shares and share equivalents outstanding after closing, excluding equity awards
Pro-forma cash of about $475 million, expected to fund operations into 2029; net loss of $30.9 million for the six months ended June 30, 2026
At its September 8, 2026 annual meeting, Artiva Biotherapeutics stockholders approved an amendment to the 2024 Equity Incentive Plan that adds 5,097,095 shares for issuance and counts shares issuable under pre-funded warrants in the annual automatic share reserve increase. Stockholders also re-elected two Class II directors and ratified KPMG LLP as the auditor for fiscal 2026, so shareholders face potential dilution from the expanded share reserve.
Plan amendment adds 5,097,095 shares of common stock for issuance; the board approved it on July 15, 2026
Brian Daniels, M.D. and Laura Stoppel, Ph.D. elected as Class II directors with terms through the 2029 annual meeting
Proposal 3 approved with 32,527,133 votes for and 6,816,989 against
KPMG LLP ratified as independent registered public accounting firm for fiscal year ending December 31, 2026
Stephen M. Silver resigned as chief executive officer, chair and director of M Evo Global Acquisition Corp II, effective immediately, on September 9, 2026, and the filing says the resignation was not due to any disagreement with the company. The board appointed Chief Operating Officer Ashley Zumwalt-Forbes as CEO and chair, and the board may fill the resulting board vacancy. The filing says the company is a special purpose acquisition company and does not describe any change to its operations or financial results.
Stephen M. Silver resigned as CEO, Chairman and director effective immediately; notice given September 9, 2026
Ashley Zumwalt-Forbes, age 36, appointed CEO and elected Chair, effective concurrently with Silver's resignation
Zumwalt-Forbes remains Chief Operating Officer and a board member; she is a managing member of the sponsor, Evolution Sponsor Holdings LLC II
No new or modified compensation arrangement has been entered into as of the filing date
UniFirst said Executive Vice President and Chief Operating Officer Kelly Rooney resigned to pursue other career opportunities, with her final day of employment on September 11, 2026. The company entered into a Separation Agreement and General Release with her that day, and she will not receive severance-related payments or benefits because she resigned voluntarily.
Kelly Rooney resigned as Executive Vice President and Chief Operating Officer; final day is September 11, 2026
Separation Agreement and General Release signed September 11, 2026, including a general release of claims and a cooperation obligation
No severance-related payments or benefits due because the departure was voluntary
The filing does not name a successor or interim COO
Amrize Ltd said its board appointed Mario Gross as President, Building Envelope, effective September 11, 2026, replacing Jake Gosa, who notified the company of his resignation on September 6, 2026. Gosa remains an employee through a 12-month termination notice period ending September 6, 2027. The filing does not report any financial results or guidance changes.
Mario Gross, previously Chief Supply Chain Officer and a former Building Envelope COO, takes over effective September 11, 2026.
Jake Gosa gave notice on September 6, 2026, starting a 12-month termination notice period through September 6, 2027.
The company's Chairman and CEO Jan Jenisch praised Gross's operational expertise in the press release.
Tredegar Corporation said its Executive Vice President, General Counsel and Corporate Secretary, Kevin C. Donnelly, will resign effective October 1, 2026, after notifying the company on September 8, 2026. The filing contains no financial results, and no successor is named in the filing.
Kevin C. Donnelly notified the company of his resignation on September 8, 2026, effective October 1, 2026.
Donnelly held the roles of Executive Vice President, General Counsel and Corporate Secretary, and joined Tredegar in 2010.
He had 16 years with the company, including more than five and a half years as an executive officer, per CEO Dr. Arijit (Bapi) DasGupta.
Optical Cable Corporation reported third quarter fiscal 2026 results for the period ended July 31, 2026, with net sales up 22.0% to $24.3 million and net income of $1.9 million, or $0.21 per share, versus $302,000 a year earlier. Gross profit rose 43.9% to $9.1 million, and the company reported a sales order backlog of $13.5 million. The filing contains no guidance; management declined to give forward guidance on sales or margins during the earnings call.
Q3 net sales $24.3 million, up 22.0% from $19.9 million; gross margin 37.4% vs. 31.7%
Q3 net income $1.9 million, or $0.21 per share, vs. $302,000, or $0.04 per share, a year earlier
Nine-month net income $2.5 million, or $0.28 per share, vs. a net loss of $1.5 million, or $0.19 per share, in the prior-year period
Sales order backlog $13.5 million at July 31, 2026, up from $13.3 million at April 30, 2026
Sphere 3D Corp. closed a $5.0 million private placement on September 11, 2026, selling 1,666,661 units at $3.00 each, with each unit including one common share and one warrant. The company also agreed to sell its non-core Iowa site and legacy mining fleet to fund AI and high-performance computing development. The new shares add dilution for existing shareholders, and the warrants could bring in about $5.8 million more if exercised for cash.
Private placement of 1,666,661 units at $3.00 per unit for $5.0 million in gross proceeds, closed September 11, 2026.
Each warrant has a $3.50 exercise price, is exercisable immediately, and expires five years after issuance.
Insiders, including the Chairman and CEO Joel Block, bought 333,332 units for about $1.0 million.
Iowa site sale for $1.5 million plus about $500,000 in deposit recovery; mining fleet sale for about $3 million; purchasers face a six-month lock-up.
Fractyl Health said Nasdaq notified it on September 10, 2026 that its stock is subject to delisting because it did not regain compliance with the $1.00 minimum bid price requirement by September 9, 2026. The company intends to request a hearing before a Nasdaq Hearings Panel, which would keep its stock listed while the process runs, and has proposed a reverse stock split of 1-for-5 to 1-for-15 for stockholder approval.
Nasdaq letter dated September 10, 2026 says the stock is subject to delisting unless the company timely requests a hearing
Company did not meet the $1.00 minimum bid price within the 180-calendar day grace period ending September 9, 2026
Company intends to request a Panel hearing, which automatically stays suspension or delisting
Proxy statement filed August 24, 2026 seeks approval for a reverse split ranging from 1-for-5 to 1-for-15
FiEE, Inc. director David Natan notified the board on September 4, 2026, that he will resign effective September 30, 2026. He chairs the Audit Committee and sits on the Compensation and Nominating and Corporate Governance committees; the filing says the resignation is not due to any disagreement with the company. The company has started a search for a successor and will disclose any appointment in a later filing.
Resignation notice given September 4, 2026; effective September 30, 2026
David Natan chairs the Audit Committee and serves on the Compensation and Nominating and Corporate Governance committees
Filing states no disagreement with the company on operations, policies or practices
NCG Committee has begun searching for a successor director; no successor named
Sandisk entered into Amendment No. 1 to its Loan Agreement on September 9, 2026, providing a $1.5 billion revolving credit facility that refinances the prior revolving commitments in full. The facility matures September 9, 2031, and carries a 1.375% margin on SOFR-based borrowings, which may step up or down based on leverage or credit ratings.
Revolving commitments of $1.5 billion replace prior revolving commitments under the Loan Agreement
Facility matures September 9, 2031, with no amortization
Pricing: SOFR plus 1.375% margin, or base rate plus 0.375%; commitment fee of 0.175% on undrawn amounts
Collateral and guarantees may be released if the company achieves certain investment grade corporate family ratings
USA Compression Partners priced a $600 million offering of 6.750% senior unsecured notes due 2035 at par, with net proceeds of about $592.1 million expected before the offering closes on or about September 18, 2026. The company plans to use the proceeds to repay outstanding borrowings under its credit agreement and to pay offering fees and expenses. The filing is a debt financing that refinances existing borrowings and does not report new operating results.
Notes: $600 million principal, 6.750% coupon, due 2035, sold at par
Estimated net proceeds: about $592.1 million after initial purchasers' discounts and offering expenses
Closing expected on or about September 18, 2026, subject to customary conditions
Proceeds to repay credit agreement borrowings; Issuers agreed to a 90-day lock-up on other debt sales
Cronos Group amended its share purchase agreement to acquire CanAdelaar B.V., a Dutch licensed cannabis grower, pushing the long stop date from September 9 to October 15, 2026. The filing does not describe any change to price or other terms, and the rest of the agreement remains in effect.
Second SPA Amendment dated September 8, 2026, extends the Long Stop Date from September 9, 2026 to October 15, 2026.
CanAdelaar is one of ten licensed cannabis growers in the Dutch Controlled Cannabis Supply Chain Experiment.
Except for the deadline change, the original agreement dated December 9, 2025 remains in full force.
Skye Bioscience's Chief Financial Officer John P. Sharp resigned effective September 8, 2026, and CEO Punit Dhillon was appointed principal financial and accounting officer. The company also gave notice to end its Master Services Agreement with Lohman & Associates on the same date, and Nasdaq confirmed the company regained compliance with the minimum bid price rule. The filing states Sharp's departure was not due to any disagreement with the auditors or the company on financial or operating matters.
Sharp resigned as CFO and principal financial and accounting officer effective September 8, 2026; the filing says there was no disagreement with auditors or the company on financial statements, internal controls, operations, policies or pra
Board appointed CEO Punit Dhillon as principal financial and accounting officer effective September 8, 2026; his employment terms are unchanged.
Company terminated the Master Services Agreement dated March 31, 2026 with Lohman & Associates, Inc., effective September 8, 2026.
Nasdaq letter received September 8, 2026 confirmed a closing bid price at or above $1.00 for 10 consecutive business days (August 24 through September 4, 2026), closing the matter.
Greenland Technologies Holding received a Nasdaq letter on September 10, 2026, granting an additional 180-day period, until March 8, 2027, to regain compliance with the $1.00 minimum bid price. The company says the letter has no immediate impact on its listing, but its Class A shares must still close at or above $1.00 for 10 consecutive business days, and failure to do so would lead to a delisting notice.
Nasdaq letter dated September 10, 2026 extends the compliance deadline from September 8, 2026 to March 8, 2027
Shares must close at or above $1.00 for at least 10 consecutive business days, which may be extended to 20 at Nasdaq's discretion
The company may effect a reverse stock split if necessary to cure the deficiency
If compliance is not regained, Nasdaq will issue a delisting notice, which the company could appeal to a hearings panel
Hagerty Holding Corp., Hagerty's selling stockholder, sold 10,637,500 Class A common shares in a secondary offering after the underwriters exercised their option in full. Hagerty, Inc. said it will receive none of the proceeds, so the sale does not add cash to the company, but it does increase the number of publicly traded Class A shares.
Public offering price of $11.95 per share, priced September 9, 2026
10,637,500 shares sold, including 1,387,500 shares from the underwriters' option exercised in full
Offering closed September 11, 2026; Hagerty, Inc. receives none of the proceeds
Selling stockholder says net proceeds will fund a redemption of its HHC shares for the Kim Hagerty Revocable Trust
At its September 9, 2026 annual meeting, NetScout stockholders approved an increase of 3,500,000 shares in the 2019 Equity Incentive Plan and 4,000,000 shares in the 2011 Employee Stock Purchase Plan. They also elected three Class III directors, approved executive pay on an advisory basis, and ratified KPMG LLP as the independent auditor for the fiscal year ending March 31, 2027. The larger share pools expand the stock available for future equity awards, and 17,623,992 votes were cast against the 2019 plan amendment.
Equity Incentive Plan: 3,500,000 additional shares authorized; 45,428,891 votes for and 17,623,992 against
Employee Stock Purchase Plan: 4,000,000 additional shares authorized; 62,292,690 votes for and 780,665 against
Directors Joseph G. Hadzima, Jr., Christopher Perretta and Marlene Pelage elected to terms ending at the 2029 annual meeting
KPMG LLP ratified as auditor with 67,476,559 votes for and 219,775 against
Nautilus Biotechnology entered a new Sales Agreement with TD Securities (USA), LLC (TD Cowen) that allows it to sell up to $125 million of common stock through an at-the-market offering, replacing a prior 2024 agreement with the same agent that the companies mutually terminated. The company has no obligation to sell any shares and can suspend sales at any time, but future sales would add new shares and dilute existing shareholders.
New Sales Agreement permits sales of up to $125,000,000 of common stock, to be issued under a shelf registration statement on Form S-3 once declared effective by the SEC.
TD Cowen would receive up to 3.0% of gross proceeds from any shares sold.
The prior Sales Agreement dated February 28, 2024 was mutually terminated on September 11, 2026; no shares were sold under it.
The company has no obligation to sell any shares and may suspend offers at any time.
Oaktree Specialty Lending Corporation entered into an underwriting agreement on September 9, 2026 to issue $300.0 million of 7.000% Notes due 2031. The company expects net proceeds of $296.5 million, with closing expected on September 16, 2026, subject to customary conditions. The debt issuance adds funding capacity and adds to the company's debt obligations.
Principal amount: $300.0 million of 7.000% Notes due 2031
Underwriting agreement dated September 9, 2026 with J.P. Morgan Securities LLC and other underwriters
Net proceeds expected to be $296.5 million after a $2.6 million underwriting discount and about $0.8 million in offering expenses
Closing expected September 16, 2026, subject to customary closing conditions
SI-BONE initiated a voluntary recall on August 21, 2026, of 98 iFuse TORQ implants from specific lots because some tube packaging may not meet sterile-barrier criteria. The company expects a gross charge of up to approximately $150,000 in third and fourth quarter cost of goods sold, and says it does not expect third quarter revenue to be otherwise affected. Separately, the company extended its Santa Clara headquarters lease for October 2026 at $43,696 per month.
Recall covers 98 implants from specific lots; tube packaging was made between May 4 and May 15, 2026.
Two recalled implants were already used in patients; no infections or adverse events reported as of the filing date.
About 3,900 implants need repackaging and re-sterilization; up to approximately $150,000 gross charge expected in Q3 and Q4 cost of goods sold.
FDA was notified on August 31, 2026, and the company recommends a Class II classification; the Fourth Lease Amendment runs October 1 to October 31, 2026.
EQV Ventures Acquisition Corp. II disclosed that director Bryan Summers resigned from its board, including his committee seats, effective immediately, on September 4, 2026. The company said the resignation was not related to any disagreement over its operations, policies, or practices. On September 11, 2026, the board reassigned committee seats, which the filing lists in full.
Bryan Summers resigned from the board on September 4, 2026, effective immediately, including his Nominating and Compensation Committee seats.
On September 11, 2026, Derek Rush and Marc Peperzak joined the Nominating Committee, and Rush and Jerome C. Silvey, Jr. joined the Compensation Committee.
Derek Rush now chairs the Compensation Committee; Jerome C. Silvey, Jr. chairs the Nominating Committee.
The filing states the resignation was not related to a disagreement with the company.
Lucid Group disclosed a Transition Agreement with former Chief Financial Officer Taoufiq Boussaid, who will serve as a Senior Advisor through December 31, 2026. Alexander De Bock signed the filing as Chief Financial Officer, and the filing describes the separation terms but does not disclose financial results.
Boussaid will receive a monthly salary of $10,000 plus benefits and continued equity vesting through the December 31, 2026 Separation Date.
He is eligible for severance under the Executive Severance Plan and his prior offer letter, subject to conditions including a release of claims.
He will also receive a prorated 2026 annual bonus of $156,390 and his company vehicle.
The full agreement will be filed as an exhibit to the Form 10-Q for the quarter ending September 30, 2026.
AGNC Investment Corp. disclosed a September 10, 2026 amendment to the employment agreement of Executive Chair Gary Kain, setting a $1,300,000 target annual cash bonus and a $1,500,000 target annual long-term equity award starting in 2027. The base salary, termination payments and restrictive covenants are unchanged, so the filing mainly alters incentive pay tied to future performance.
Annual cash bonus target of $1,300,000 for 2027 and later years, payable from 0% to 200% of target, expected in Q1 of the following year
Annual long-term incentive award target of $1,500,000 in company stock starting in 2027, subject to Board approval
67% of the equity award vests on three-year performance metrics; 33% vests annually over three years
Base salary, termination payments and restrictive covenants are unchanged
Scotts Miracle-Gro said director Adam Hanft notified the company on September 8, 2026, that he is retiring from its board effective immediately. His Class III term was set to run until the 2028 annual meeting. The filing says the company's consulting relationship with Hanft Ideas LLC, where Hanft is principal and chief executive, will continue.
Adam Hanft retired from the board effective immediately; notice given September 8, 2026
His Class III term was set to expire at the 2028 Annual Meeting of Shareholders
Consulting relationship with Hanft Ideas LLC continues after his resignation
Filing dated September 11, 2026, signed by Dimiter Todorov, Chief Legal Officer and Corporate Secretary
Private Bancorp of America, Inc. disclosed that CFO Cory Stewart entered into a three-year employment agreement with its subsidiary, CalPrivate Bank, effective September 5, 2026. The filing sets his minimum base salary, bonus target and severance terms, and it does not report a change in his role or in the company's financial results.
Minimum annual base salary of $425,000, subject to annual review by the Board
Target annual incentive bonus of 40% of base salary, beginning with the 2026 performance period
If terminated without cause or for good reason, severance of 18 months of base salary plus a prorated bonus; 24 months of base salary plus the full target bonus if terminated within one year after a change of control
Eight-month employee non-solicitation period after employment ends
Daktronics disclosed that Bradley T. Wiemann, Executive Vice President – Advisor to the CEO, retired on September 5, 2026, under a previously disclosed amended termination and general release agreement. The filing describes his more than 34 years of service, including roles as Interim President and Interim Chief Executive Officer, and contains no new financial results.
Bradley T. Wiemann retired September 5, 2026, as Executive Vice President – Advisor to the CEO.
Retirement follows an Amended and Restated Termination Agreement and General Release of Claims first disclosed in a February 20, 2026 Form 8-K.
Wiemann served the company for more than 34 years, including as Interim President and Interim Chief Executive Officer.
The filing includes only a cover page interactive data exhibit (Exhibit 104); no financial statements were filed.
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