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).
HIVE Digital Technologies said on September 10, 2026 that its estimated average daily revenue from hashrate and GPU services exceeded approximately $1 million per day, based on preliminary, unaudited information. It also appointed Mark Volk as Senior Vice President, Revenue of its subsidiary BUZZ High Performance Computing, and said it plans to wind down Bitcoin mining at its Swedish facilities to repurpose that infrastructure toward HPC and AI uses.
Estimated average daily revenue exceeded approximately $1 million since August 21, 2026; the company says this is not a forecast and has not been through its normal quarter-end closing procedures.
GPU cloud operations generated approximately $100,000 in average daily revenue, and the company reports closing more than $600 million in total contract value year to date.
Swedish Bitcoin mining represented less than 5% of global daily revenue during August; the company intends to wind it down.
Mark Volk, a former HPE and IBM executive who has consulted for the company for about nine months, reports to Craig Tavares, President and COO of BUZZ HPC.
Expand Energy Corporation priced a $500 million underwritten offering of 5.650% senior notes due 2031 at 99.889% of face value. The company said it expects to close the offering on September 17, 2026, and intends to use the net proceeds for general corporate purposes.
Offering size: $500,000,000 aggregate principal amount of 5.650% senior notes due 2031
Price to the public: 99.889% of face value
Expected closing date: September 17, 2026
Use of net proceeds: general corporate purposes; underwriters were Citigroup Global Markets Inc. and J.P. Morgan Securities LLC
Three Lions Acquisition Corp., a blank check company, announced that holders of its units may elect to separately trade ordinary shares and warrants starting on or about September 17, 2026. Units not separated will keep trading under TLACU, while separated shares and warrants will trade as TLAC and TLACW on Nasdaq. This is an administrative step that does not change the company's financial position or shareholder economics.
Separate trading of ordinary shares and warrants begins on or about Thursday, September 17, 2026.
Separated ordinary shares and warrants will trade on Nasdaq as TLAC and TLACW; unseparated units continue as TLACU.
Unit holders must contact transfer agent Continental Stock Transfer & Trust Company through their broker to separate units.
The registration statement became effective on August 31, 2026.
AEye, Inc. entered into an at-the-market sales agreement with A.G.P./Alliance Global Partners allowing it to sell up to $50,000,000 of common stock from time to time, and ended its prior sales agreement with the same agent. The company is under no obligation to sell any shares and may suspend sales at any time, but any shares sold would add to the existing share count and dilute current shareholders.
Up to $50,000,000 of common stock may be sold through A.G.P. under a shelf registration on Form S-3.
Commissions of up to 3.0% of gross proceeds are payable to A.G.P., plus up to 1.0% in advisory fees to Craig-Hallum Capital Group LLC.
The agreement replaces the prior sales agreement dated September 12, 2024, with no early termination penalties, and runs up to 36 months.
Proceeds are intended for working capital and general corporate purposes, including aerospace, defense and infrastructure markets.
Catalyst Acquisition Corp., a blank check company, announced that starting September 17, 2026, holders of its units may separate the Class A ordinary shares and rights for separate trading on Nasdaq. Units not separated will keep trading under CATLU, and the filing does not report any change to the company's financial results or business combination terms.
Separate trading of Class A ordinary shares (CATL) and rights (CATLR) begins September 17, 2026.
Each right entitles the holder to receive one-seventh (1/7) of one Class A ordinary share upon completion of the initial business combination.
Only whole rights will trade; no fractional rights will be issued on separation.
Holders must have their brokers contact Continental Stock Transfer & Trust Company to separate units.
Liberty Latin America disclosed term sheets exchanged with holders of debt at its Liberty Puerto Rico (LPR) subsidiaries during restructuring talks, and said those negotiations are not continuing. The company states that no agreement has been reached and that none is assured, so the outcome for LLA shareholders remains unresolved. The proposals show that LLA's equity stake and the debt structure could change materially.
Term sheets are dated August 26, August 30, September 9 and September 11, 2026, and cover a restructuring of LPR debt, including a proposed $410 million of new money first-out notes at a 6.50% rate.
An LLA proposal of August 26, 2026 includes $1,250 million of second-out takeback debt at 8.00% and 25% of pro forma equity for LLA, plus warrants.
A SteerCo counterproposal dated August 30, 2026 shows LLA common equity as fully extinguished for no consideration.
LLA disputes any claim by LPR or its bondholders tied to about $410 million? No: LLA disputes any claim tied to distributions made from LPR bond proceeds, citing disclosures and records provided on August 28, September 1 and September 2, 20
West Coast Community Bancorp said its Form 10 registration statement was declared effective by the SEC and its common stock was approved for listing on Nasdaq. The shares, previously quoted on the OTCQX Best Market, are expected to begin trading on Nasdaq under the same WCCB ticker on September 16, 2026. The company said it is not issuing new shares and is not raising proceeds, and shareholders do not need to take any action.
Form 10 registration statement declared effective by the SEC; common stock approved for Nasdaq listing.
Trading expected to begin on Nasdaq under WCCB at the market open on September 16, 2026; shares previously traded on OTCQX.
No new shares issued and no proceeds raised; shareholders need not take action.
Company is also launching an enhanced investor relations website at investors.wccb.com.
On September 15, 2026, iPower completed an additional optional closing under its convertible note facility with an institutional investor, issuing $3,000,000 of Series A senior secured convertible notes for $2,820,000 before fees and expenses. The notes carry a fixed conversion price of $3.156, and the filing says $9,084,580 of Series A notes have already been converted to date, which adds potential dilution for shareholders.
Issued $3,000,000 principal of Series A notes on September 15, 2026, at $940 per $1,000 of principal
Received about $2,820,000 gross proceeds before fees; a 6% cash fee is payable to placement agent Digital Offering
Fixed conversion price of $3.156, set at 120% of the Nasdaq closing price on September 15, 2026
Total Series A notes sold to date: $15,184,024; $15,000,000 remains available; $9,084,580 converted to date
Advanced Flower Capital disclosed an update on its previously announced stock repurchase program, under which it has bought back 1,060,089 shares as of September 14, 2026. After those repurchases, 22,468,755 shares of common stock are issued and outstanding, and the program runs until the earlier of full repurchase of $5.0 million or May 4, 2027.
Program authorizes repurchases of up to $5.0 million of common stock, with no obligation to buy
As of September 14, 2026, 1,060,089 shares have been repurchased under the program
Shares outstanding after repurchases: 22,468,755
Program expires on the earlier of full $5.0 million repurchase or May 4, 2027, unless the board extends it
On September 15, 2026, Uber completed a registered public offering of five series of senior unsecured notes totaling €4.5 billion, issued under its Form S-3 registration statement. The company intends to use the net proceeds for general corporate purposes, and the filing does not state the net proceeds amount.
Notes priced at 3.750% due 2029 (€750 million), 4.125% due 2032 (€1.0 billion), 4.375% due 2034 (€1.0 billion), 4.750% due 2038 (€1.0 billion) and 5.250% due 2046 (€750 million)
Goldman Sachs & Co. LLC, Morgan Stanley & Co. International plc, Deutsche Bank AG, London Branch, Merrill Lynch International and BNP PARIBAS are named as representatives of the underwriters
Notes were issued under a base indenture dated September 9, 2024 and a Third Supplemental Indenture dated September 15, 2026, with U.S. Bank Trust Company, National Association as trustee
Proceeds are intended for general corporate purposes
authID entered a Backstop Commitment Agreement on September 9, 2026 with holders of its senior secured debentures, and $300,000 was funded on September 11, 2026. The agreement also fixes the debenture conversion price at $0.38, reduces existing warrant exercise prices from $1.50 to $0.57, and issues 750,000 commitment fee warrants, which could dilute shareholders. Share issuance under these securities is capped at 19.99% of prior outstanding shares absent stockholder approval.
Backstop commitment of up to $300,000 or $500,000, depending on whether a strategic investor funding transaction occurs; $300,000 was funded on September 11, 2026.
Existing warrant exercise price reduced from $1.50 to $0.57 per share; debenture conversion price fixed at $0.38.
750,000 commitment fee warrants issued at a $0.57 exercise price with a five-year term.
Nasdaq rules cap share issuance at 19.99% of shares outstanding before the April 29, 2026 purchase agreement without stockholder approval.
Talon Capital Corp., a special purpose acquisition company, appointed Dr. Victoria Ivashina as an independent director effective September 11, 2026, and to its audit committee. She is a Harvard Business School finance professor and a trustee of two Carlyle AlpInvest private markets funds. The filing reports no financial results, and the change is an administrative board addition.
Board appointed Dr. Victoria Ivashina as independent director effective September 11, 2026, and to the audit committee on the same date.
Dr. Ivashina is the Lovett-Learned Professor of Finance at Harvard Business School, and has served as a trustee of two Carlyle AlpInvest private markets funds since 2022.
Sponsor Talon Capital Sponsor LLC transferred 20,000 Class B ordinary shares to Dr. Ivashina under a September 11, 2026 agreement at approximately $0.003 per share.
USA Rare Earth filed a supplement to its risk factors, attaching an updated set as Exhibit 99.1 that adds disclosures tied to the Serra Verde (SVRE) merger agreement dated April 19, 2026. The filing reports a 2025 net loss of $298.5 million and says that delays at Less Common Metals have affected production at the Stillwater Facility, which matters to shareholders because it adds detail on the company's losses, feedstock supply and lack of signed customer contracts.
Net loss of $298.5 million for the year ended December 31, 2025; accumulated deficit of $387.4 million as of that date.
Merger Agreement dated April 19, 2026 among USAR, Merger Sub, SVRE and Serra Verde Rare Earths Ltd. is referenced.
Less Common Metals is experiencing delays in supplying metal feedstock to the Stillwater Facility, which has affected production there.
The company states it has no revenue or definitive offtake or sales agreements with customers in its magnet business.
JBS S.A., a wholly-owned Brazilian subsidiary of JBS N.V., signed an association agreement on September 15, 2026 with Viva Holding to combine the leather production and processing assets of JBS S.A. and Viva into a company named JBS Viva. Completion depends on customary conditions precedent and is not guaranteed in timing or at all, so shareholders should view the deal as pending rather than closed.
JBS Viva will be owned 50% by JBS S.A. and 50% by Viva Holding after closing, with parity governance and a six-member board.
JBS S.A. will contribute its leather division entity JBS Couros in exchange for new JBS Viva shares.
Excluded from the transaction are collagen and gelatin assets, the Cactus, Texas leather operations, and JBS S.A. leather assets in Germany, Uruguay and Mexico.
The filing does not disclose any purchase price, financial terms or expected closing date.
Pearl Diver Credit Company Inc. disclosed in a Form 8-K that its management's unaudited net asset value per common share was $10.86 as of August 31, 2026. The filing contains no earnings, guidance, or transaction details, so it gives shareholders a single unaudited valuation data point.
Unaudited net asset value per share: $10.86 as of August 31, 2026
Filed under Item 8.01 (Other Events) on September 15, 2026
Forward Industries said it sent a letter to the SkyAI board proposing to acquire all of SkyAI's outstanding common stock. Each SkyAI share would convert into 0.306 Forward shares at a fixed ratio, which implies $2.13 per SkyAI share based on Forward's $6.95 close on September 14, 2026, a 50% premium to SkyAI's $1.42 close that day. The proposal is non-binding and depends on due diligence, a definitive agreement, regulatory approvals and SkyAI stockholder approval, and Forward has asked for a board response by September 25, 2026.
Fixed exchange ratio of 0.306 Forward shares per SkyAI share, implying $2.13 per SkyAI share at Forward's $6.95 close on September 14, 2026.
Implied price is a 50% premium to SkyAI's $1.42 closing price on September 14, 2026.
SkyAI stockholders could elect cash, Forward common stock, or a combination of the two.
Forward requested a SkyAI board response by 5:00 p.m. Eastern time on September 25, 2026; the proposal is non-binding.
Beta Bionics said the FDA cleared its Mint patch pump and that it submitted a 510(k) application for its 3D Intelligence algorithm. It also lowered its 2026 full-year revenue estimate from $131 million to $136 million to $121 million to $126 million, citing a possible deferral of up to $10 million in the fourth quarter as new iLet users may wait for Mint. The filing also discloses a securities class action filed September 4, 2026, which the company says it intends to defend vigorously.
2026 total revenue estimate cut to $121 million to $126 million, from $131 million to $136 million; the company cites a deferral of up to $10 million in Q4 2026
Mint full U.S. commercial launch expected in Q1 2027, ahead of the previous target; manufacturing capacity of at least 1.5 million disposable units in 2027
Expected initial pharmacy coverage of about 40% of insured U.S. lives, rising to at least 50% within the first year of full commercialization
Holtzman v. Beta Bionics, Inc. securities class action filed September 4, 2026 in the Central District of California; potential loss not currently probable or estimable
CDW LLC and CDW Finance Corporation agreed on September 14, 2026 to issue and sell $1.5 billion of senior notes in a registered public offering, with CDW Corporation as guarantor. The offering is expected to close on September 21, 2026, subject to customary closing conditions. The filing is a debt financing; it does not report new earnings, guidance, or changes in operations.
$600 million of 5.700% Senior Notes due 2029
$500 million of 6.100% Senior Notes due 2032 and $400 million of 6.350% Senior Notes due 2033
Underwriters include BofA Securities, J.P. Morgan, Mizuho and Wells Fargo Securities; closing expected September 21, 2026
Evolution Petroleum reported fiscal fourth-quarter 2026 revenue of $24.2 million, up 15% from a year earlier, and net income of $4.6 million, compared with $3.4 million a year earlier. Adjusted EBITDA fell to $6.5 million from $8.6 million, and excluding selected items the company posted an adjusted net loss of $0.6 million versus adjusted net income of $1.1 million a year earlier. The company also declared a $0.12 per share dividend payable September 30, 2026.
Q4 revenue was $24.2 million, up 15% year over year, driven by a 20% increase in average realized prices, partly offset by a 4% drop in production to 6,901 BOEPD.
Q4 net income was $4.6 million, or $0.13 per diluted share, compared with a net loss of $8.9 million in fiscal Q3 2026.
Fiscal 2026 net loss was $2.4 million versus net income of $1.5 million in fiscal 2025; full-year revenue was $86.3 million.
Dividend of $0.12 per share is payable September 30, 2026, to holders of record on September 21, 2026.
ONEOK, L.L.C. (OpCo) said holders validly tendered enough notes by the September 14, 2026 early deadline to reach its $2 billion maximum, and it expects to accept and pay for $2 billion of principal on September 17, 2026. Notes in series 15 through 20 will not be purchased, and OpCo does not expect to accept tenders made after the early deadline. The filing also amends a $1 billion equity distribution agreement to reflect the company's post-reorganization structure, which is an administrative update to the existing share sale program.
OpCo expects to accept $2 billion aggregate principal amount of notes, with settlement expected September 17, 2026
Early Tender Consideration per $1,000 principal ranged from $707.44 (3.950% notes due 2050) to $955.41 (3.400% notes due 2029); late tenders receive $50 less
Amendment No. 1 dated September 15, 2026 updates the $1 billion equity distribution agreement with BofA Securities and ONEOK assumed Legacy ONEOK's obligations
First Financial Bancorp appointed James M. Anderson as president of the Company and First Financial Bank effective September 14, 2026, as part of its succession planning. Anderson keeps his role as chief financial officer and gives up the chief operating officer post, which Malcolm A. Myers took on the same day. The filing also sets new pay terms for several executives and updates severance terms for CEO Archie M. Brown.
James M. Anderson appointed president effective September 14, 2026, while retaining the CFO role; he no longer serves as COO
Amanda N. Neeley named chief banking officer and Malcolm A. Myers named chief operating officer, both effective September 14, 2026
Anderson's base salary rises 4.9% to $640,000; Brown receives a one-time restricted stock grant valued at $3 million
Brown's amended employment agreement provides three years of base salary in cash severance if terminated without cause or for good reason
Flag Ship Acquisition Corp, a blank-check company, signed a merger agreement on September 15, 2026 with Bluechip & Co. Holdings, a Cayman Islands holding company with insurance-related, advisory, advertising and data-center businesses. Bluechip shareholders would receive an aggregate of 40,000,000 Purchaser ordinary shares, reflecting a Company Net Value of $400,000,000, and the deal remains subject to shareholder approvals, a registration statement and Nasdaq listing approval.
Bluechip shareholders would receive an aggregate of 40,000,000 Purchaser ordinary shares, based on a Company Net Value of $400,000,000 at $10.00 per share.
Closing is subject to Flag Ship and Bluechip shareholder approvals, effectiveness of a Form F-4 registration statement, and Nasdaq Capital Market listing approval.
Expense loans from Bluechip to Flag Ship are non-interest-bearing and not due before June 20, 2027.
Post-closing board is expected to have five directors, including Bluechip CEO Ming Zhang.
Quanta Services increased its board from ten to eleven directors on September 9, 2026, and elected Ellen Rubin to fill the new seat. She joins the Audit Committee and the Safety, Operations and Risk Committee, and receives standard non-employee director pay. The change is a board composition update with no reported financial results or guidance.
Ellen Rubin elected to the board on September 9, 2026; board size increased from ten to eleven
Appointed to the Audit Committee and the Safety, Operations and Risk Committee
Pro-rata compensation of approximately $105,000 in cash retainers and restricted stock units valued at approximately $131,000
Rubin is an Operating Partner at Glasswing Ventures LLC and a director of Allegion plc (NYSE: ALLE)
RTX said Shane Eddy will step down as president of Pratt & Whitney effective January 1, 2027, and retire from the company at the end of the first quarter of 2027. Jill Albertelli, currently president of Pratt & Whitney's Military Engines business, has been named to succeed him. The change is a senior leadership transition for a major RTX business unit, with no financial results disclosed in the filing.
Shane Eddy steps down as Pratt & Whitney president effective January 1, 2027, and retires at the end of Q1 2027
Jill Albertelli, currently president of Pratt & Whitney Military Engines, succeeds him effective January 1, 2027
Eddy will remain with the company through March 2027 as a special advisor to support the transition
Albertelli reports to RTX chairman and CEO Chris Calio
Capital Southwest Corporation sold $350.0 million of 6.750% Notes due 2031 under an underwriting agreement dated September 10, 2026, and the offering closed September 15, 2026. The company expects net proceeds of about $342.1 million and plans to use them to repay part of its senior secured revolving credit facility, adding longer-term unsecured debt to its capital structure.
Principal amount: $350.0 million of 6.750% Notes due September 15, 2031
Net proceeds to the company: approximately $342.1 million at 98.985% of par, after a $3.5 million underwriting discount and about $0.9 million in estimated offering expenses
Proceeds intended to repay a portion of borrowings under the Corporate Credit Facility
Interest payable semi-annually on March 15 and September 15, beginning March 15, 2027
Dell subsidiaries Dell International L.L.C. and EMC Corporation completed a public offering of $5.0 billion in senior notes in four tranches, maturing from 2029 to 2037. The notes are unsecured and guaranteed by Dell Technologies Inc. and two of its wholly-owned subsidiaries, so the parent company's guarantee adds new direct obligations for shareholders to track.
Four tranches: $1.25 billion at 5.100% due 2029, $1.25 billion at 5.400% due 2031, $1.5 billion at 5.600% due 2033, and $1.0 billion at 5.900% due 2037.
Interest accrues from September 15, 2026, paid semi-annually, with the first payments due March 15, 2027 (2029, 2031, 2033 notes) and April 1, 2027 (2037 notes).
Notes are sold under a shelf registration statement on Form S-3ASR and governed by a base indenture dated January 24, 2023, with The Bank of New York Mellon Trust Company, N.A. as trustee.
Holders may require repurchase at 101% of principal upon a change of control triggering event.
BigBear.ai Holdings said director Kirk Konert informed the board on September 15, 2026 that he will resign effective the same day. The filing states he did not resign due to any disagreement with the company on its operations, policies or practices.
Kirk Konert informed the board on September 15, 2026 of his resignation from the Board of Directors.
Resignation is effective September 15, 2026.
The company states there was no disagreement with Mr. Konert on operations, policies or practices.
On September 10, 2026, GCT Semiconductor's Compensation Committee approved a second-half 2026 incentive bonus plan for its executive officers, with bonuses tied to 2026 revenue targets and individual performance goals. The committee also approved raising CFO Edmond Cheng's annual base salary from $304,500 to $330,383, effective October 1, 2026. The filing describes routine compensation terms and does not report financial results.
Target bonus is 25% of base salary for the second half of 2026 at 100% performance for CEO John Schlaefer, CFO Edmond Cheng, SVP Alex Sum and VP of Engineering and CTO Jeongmin Kim
Bonus amounts depend on 2026 revenue targets and individual KPI goals, weighted according to the plan
CFO base salary rises from $304,500 to $330,383, effective October 1, 2026
Full plan will be filed as an exhibit to the Form 10-Q for the quarter ending September 30, 2026
Invesco Mortgage Capital Inc. declared a $0.12 per share cash dividend for September 2026, payable October 15, 2026. The company also released preliminary, unaudited month-end figures as of August 31, 2026, including estimated book value of $7.74 per common share and a debt-to-equity ratio of 6.8x. The filing gives no prior-period comparisons, and the figures may be revised at quarter-end.
Monthly dividend of $0.12 per common share; ex-dividend and record date September 28, 2026; payment date October 15, 2026
Estimated book value per common share of $7.74 as of August 31, 2026
Total investment portfolio including TBAs of $8.3 billion; unrestricted cash and unencumbered investments of $534.7 million
Debt-to-equity ratio of 6.8x (U.S. GAAP) and economic debt-to-equity ratio of 7.5x (non-GAAP)
Gap Inc. appointed Kirsten Green, founder and managing partner of venture firm Forerunner, as a director effective September 15, 2026. The filing discloses her director compensation but no financial results, and the change adds one board member to the company's directors.
Kirsten Green was appointed to the board effective September 15, 2026.
Green received stock units with an initial aggregate value of $185,000 upon appointment.
She will receive a pro rata portion of the $95,000 annual cash retainer for fiscal 2026 paid to non-employee directors.
Chair Mayo A. Shattuck III and CEO Richard Dickson were quoted welcoming the appointment in the press release.
Parabilis Medicines said it plans an oral presentation of updated clinical data from the ongoing Phase 1/2 study of zolucatetide in desmoid tumor patients at the ESMO Congress 2026 in Madrid, Spain. The filing describes the update as a change to its guidance, but it gives no financial figures, so the disclosure mainly signals upcoming clinical data for shareholders to watch.
Presentation is scheduled for Saturday, October 24, 2026, in a sarcoma-focused Proffered Paper session.
Session begins at 2:45pm CEST (8:45am ET).
Data come from the ongoing Phase 1/2 study of zolucatetide in desmoid tumor patients.
The filing was furnished under Item 7.01 (Regulation FD Disclosure) and was signed by CFO Thomas Kotarakos.
On September 11, 2026, a subsidiary of Blue Owl Technology Finance Corp. (OTF) executed an amendment to its loan financing agreement, raising the maximum principal amount from $150 million to $250 million and modifying the borrowing base test conditions. The filing describes a financing arrangement at a subsidiary level, and the company has not stated how the change affects its overall results or shareholders.
Maximum principal amount increased from $150 million to $250 million.
Amendment executed September 11, 2026, by subsidiary Athena Funding III LLC as borrower.
Deutsche Bank AG, New York Branch, serves as facility agent; State Street Bank and Trust Company is collateral agent and custodian.
Amendment also modifies the conditions of the borrowing base test.
Bar Harbor Bankshares said Executive Vice President and Chief Lending Officer John M. Mercier has notified the board of his intent to retire effective December 31, 2026. He will remain in his role until that date, so the change is planned and does not take effect immediately.
John M. Mercier, EVP and Chief Lending Officer of Bar Harbor Bankshares and Bar Harbor Bank & Trust, gave notice of retirement on September 15, 2026.
Retirement is effective December 31, 2026.
Mercier will continue as EVP and Chief Lending Officer until the retirement date.
Ventas, Inc. approved the appointment of Laurida Sayed as Senior Vice President, Chief Accounting Officer and Controller, effective on or around October 5, 2026. CFO Robert F. Probst, who has been serving as interim Chief Accounting Officer, will stop in that role and remain Chief Financial Officer. The filing describes a routine finance leadership change with compensation terms disclosed but no change to reported results.
Laurida Sayed, age 44, was approved on September 10, 2026 as Chief Accounting Officer and Controller, effective on or around October 5, 2026.
Sayed's offer letter provides a $500,000 annual base salary and a target annual bonus of 60% of base salary.
Sayed receives a $150,000 one-time cash sign-on bonus and restricted stock units with a $350,000 grant date fair value that vest ratably over three years.
Robert F. Probst will remain Chief Financial Officer and stops serving as interim Chief Accounting Officer on the effective date.
Sanmina Corporation appointed Shanker Trivedi, 69, to its board of directors effective September 14, 2026. Mr. Trivedi was Senior Vice President, Enterprise Business at NVIDIA from April 2016 to April 2026, and he also sits on the board of Enphase Energy. The filing states he will receive cash and equity compensation under the existing non-employee board arrangements, and it does not describe any change to company operations or financial results.
Appointment effective September 14, 2026, announced in a press release filed as Exhibit 99.1
Mr. Trivedi was at NVIDIA from 2009 to 2026, most recently as Senior Vice President, Enterprise Business from April 2016 to April 2026
He currently serves on the board of Enphase Energy
Compensation follows non-employee Board member arrangements previously approved by the Board
On September 10, 2026, Global Technology, a wholly owned subsidiary of Applied Optoelectronics, signed a 10-year lease for a factory building of about 38,311.8 square meters in Ningbo, China, starting September 16, 2026. The filing gives annual rent of RMB 6,896,124, with a 3% increase every three years from the third lease year, and grants the subsidiary alteration rights and rights of first refusal to buy or renew. The lease adds a multi-year fixed obligation and facility capacity for production, but the filing does not describe its financial size relative to the company's results.
Lease term: September 16, 2026 to September 15, 2036, ten years
Annual rent of RMB 6,896,124, rising 3% every three years beginning in the third lease year
Three-month rent-free renovation period after delivery of the property; subsidiary may alter the building at its own expense
Lessor may not terminate before expiration except for force majeure or material breach by the subsidiary
Uranium Royalty Corp. reported results for the quarter ended July 31, 2026, with net income of $16.3 million, up from $1.0 million a year earlier, and diluted earnings per share of $0.10 versus $0.01. The company sold 593,255 pounds of U3O8 for $51.0 million revenue, and it used part of those proceeds to help finance its Sweetwater acquisition, completed in July 2026. Earnings rose sharply, but the filing gives no prior-year revenue or cost comparison and no guidance.
Revenue of $51.0 million from sales of 593,255 pounds of U3O8 at an average realized price of about $86.00 per pound
Net income of $16.3 million versus $1.0 million for the same period in 2025
Diluted EPS of $0.10 versus $0.01 a year earlier
Sweetwater acquisition completed in July 2026, partly funded by uranium sales
Ares Capital Corporation closed a $750 million offering of 6.250% unsecured notes due September 15, 2033, on September 15, 2026. The company said it expects to use the net proceeds to repay certain outstanding indebtedness under its credit facilities, and it may reborrow under those facilities for general corporate purposes, including investments in portfolio companies.
Notes: $750,000,000 principal, 6.250% annual interest paid semiannually, first payment March 15, 2027
Maturity September 15, 2033; redeemable in whole or part at the company's option
Concurrent interest rate swap with JPMorgan Chase Bank, N.A. converts the fixed rate to three-month SOFR plus 1.85250%, maturing September 15, 2033
Harte Hanks disclosed that the go-shop period under its August 14, 2026 merger agreement with Star Equity Holdings has expired, and that it received Acquisition Proposals during that period and gave Star an Exempted Party designation notice on September 11, 2026. The Board has not determined that any proposal is a Superior Proposal and has reaffirmed its recommendation of the Star merger, so the Star deal remains in effect.
Go-shop period expired; the company solicited interest from 93 third parties and received Acquisition Proposals before expiration.
Exempted Party designation notice delivered to Star on September 11, 2026; Board has not determined any proposal is a Superior Proposal.
Star deal terms: $5.00 in cash or 0.50 shares of Star 10% Series A Cumulative Perpetual Preferred Stock per eligible share, with cash capped at $19.2 million.
Termination fee of $1,152,000 payable to Star if the company terminates to enter a Superior Proposal after the go-shop period.
Repligen director Karen A. Dawes notified the company on September 10, 2026 that she will retire from its Board of Directors after more than twenty years of service, effective September 30, 2026. The filing states her decision was not the result of any disagreement with the company over operations, policies or procedures.
Karen A. Dawes notified Repligen on September 10, 2026 of her retirement from the Board.
Retirement is effective September 30, 2026, after over twenty years of service.
Dawes said the successful CEO transition is complete and the company is well-positioned for its next phase of growth.
The filing states the retirement is not related to any disagreement with the company.
Walker & Dunlop and its subsidiary Walker & Dunlop, LLC signed Amendment No. 9 to a Master Repurchase Agreement with JPMorgan Chase Bank, N.A., extending the termination date to September 9, 2027. The company remains guarantor of the subsidiary's obligations, and a new side letter sets out fees, commitments and pricing for the facility.
Amendment No. 9 dated September 9, 2026 extends the Termination Date to September 9, 2027.
Walker & Dunlop, Inc. continues to guarantee the Seller's obligations under the agreement.
A Third Amended and Restated Side Letter dated September 9, 2026 replaces the Second Amended and Restated Side Letter dated September 11, 2025.
The filing does not state the facility size or pricing figures, which are in the redacted exhibits.
Spectral AI posted an investor presentation on its website on September 14, 2026, furnished as Exhibit 99.1 to a Form 8-K. The deck highlights FDA De Novo classification granted May 21, 2026, and a $150 million BARDA contract, but its financial slide shows revenue falling from $29.6 million in 2024 to $19.7 million in 2025 and $7.5 million in the first half of 2026, with a stockholders' deficit of $12.1 million at June 30, 2026.
Presentation posted to the company website September 14, 2026; furnished as Exhibit 99.1.
Revenue: $29.6 million (FY2024), $19.7 million (FY2025), $7.5 million (H1 2026).
Operating loss: $(6.6) million (FY2024), $(8.6) million (FY2025), $(6.3) million (H1 2026).
At June 30, 2026: cash $14.0 million, notes payable $14.9 million, stockholders' deficit $(12.1) million.
Aligos Therapeutics amended the lease for its South San Francisco headquarters, extending the term from March 31, 2027 to March 31, 2034. The amendment sets rising monthly base rent per square foot, grants a ten-month rent abatement, and gives the company an option to terminate in 2031 for a $2,476,429.22 fee.
Lease term extended from March 31, 2027 to March 31, 2034, with base rent of $4.650 to $5.716 per rentable square foot per month
Ten-month rent abatement from April 1, 2027 to January 31, 2028, if there is no material default
One-time option to terminate as of March 31, 2031, with notice by March 31, 2030 and $2,476,429.22 termination consideration
Carlyle Credit Income Fund disclosed in a Form 8-K that management's unaudited net asset value per common share was $3.23 as of August 31, 2026. The filing gives no prior-period comparison, so it does not show whether the figure rose or fell, and the number has not been audited.
Unaudited net asset value per common share: $3.23 as of August 31, 2026
Disclosed under Item 8.01 (Other Events) in a Form 8-K dated September 15, 2026
Filing gives no prior-period NAV for comparison and no change figure
Signed by Nelson Joseph, Principal Financial Officer
At the September 10, 2026 annual meeting, stockholders approved the 2026 Omnibus Equity Incentive Plan, which succeeds the 2015 plan that expired in 2025, and approved an amendment allowing a reverse stock split of 1-for-2 to 1-for-10 if the board chooses to effect one before June 30, 2027. Stockholders also elected Gregory D. Waller as a Class II director and approved share issuance on exercise of Series A-1 Preferred Investment Options. The filing does not say whether the board will use the reverse split authority.
Equity plan approved with 326,188 votes for, 149,113 against and 7,889 abstentions
Reverse split authority approved with 1,120,937 votes for and 138,084 against, usable until June 30, 2027
Gregory D. Waller elected Class II director with 377,954 votes for and 105,236 withheld, serving until 2029
Shares present at the meeting totaled 1,259,315, about 52.3% of shares outstanding on the record date
Greene County Bancorp, Inc. redeemed $10.0 million of its 3.00% Fixed-to-Floating Rate Subordinated Notes due September 15, 2031, at 100% of principal plus accrued interest, funded with cash on hand. $20.0 million of the notes remains outstanding, so the redemption is a partial reduction of this debt and does not change the company's reported results.
Redeemed $10.0 million aggregate principal amount of the Notes on September 15, 2026
Redemption price equal to 100% of principal plus accrued and unpaid interest to, but excluding, September 15, 2026
$20.0 million of the Notes remains outstanding after the redemption
Orion Energy Systems said a longtime US retailer customer made a follow-on commitment for a new LED lighting project estimated at $10 million to $15 million, and raised its fiscal 2027 revenue outlook to $100 million to $102 million from $95 million to $97 million. The company said the timing of individual purchase orders is uncertain, and that Q2 revenue is expected to fall from the previously announced Q1 revenue of $25.7 million.
FY 2027 revenue outlook raised to $100 million to $102 million, up from $95 million to $97 million
New retailer project estimated at $10 million to $15 million; most revenue expected in the second half of fiscal 2027, which ends March 31, 2027
Fiscal Q2 revenue expected to decrease compared with Q1 revenue of $25.7 million
Company continues to expect positive Adjusted EBITDA for the fiscal year as a whole
Innodata's board elected Admiral Michael S. Rogers, former Director of the National Security Agency and Commander of U.S. Cyber Command, as an independent director effective September 10, 2026. The filing says he will receive $75,000 per year in board pay plus a prorated equity grant, and that no committee assignments have been set.
Effective date: September 10, 2026; board determined he is independent under SEC and Nasdaq rules
Annual director pay of $75,000, paid in equal monthly installments, plus a prorated equity grant under the Amended and Restated Innodata Inc. Equity Compensation Plan
No committee assignments determined as of the filing date
Company also entered into a customary indemnification agreement with him
LifeMD announced an exclusive collaboration with AT&T under which eligible AT&T wireless and fiber customers receive a complimentary LifeMD membership, with the $19 monthly fee waived. The filing does not quantify expected revenue or costs, but it states that LifeMD will initially pay AT&T a fixed fee per lead, and that the agreement runs for an initial one-year term with automatic renewals.
Eligible AT&T customers receive a LifeMD membership with a $228 annual value; the $19 monthly fee is fully waived.
The initial launch covers 29 million AT&T customers in 11 states, with additional markets joining in January 2027 as the program expands nationwide.
LifeMD will pay AT&T a fixed fee per lead, with later compensation to be negotiated; the agreement has a one-year initial term with automatic one-year renewals unless either party gives 90 days' written notice.
HealthStream issued 1,355,932 new shares to WJRJJ Ventures, LLC for about $40 million, and CEO Robert A. Frist, Jr. sold the investor 144,068 existing shares for about $4.25 million, both at $29.50 per share; the transaction closed September 14, 2026. The issuance increases the number of shares outstanding, and the company intends to use the net proceeds for general corporate purposes, including investment in its solutions, working capital and potential acquisitions. Because WJRJJ's owner has ties to Empath Nursing, a company in which HealthStream holds about 5%, the deal was approved by the audit committee and disinterested directors.
Company issued 1,355,932 new common shares at $29.50 each for about $40 million in cash, closing September 14, 2026.
CEO Robert A. Frist, Jr. sold 144,068 existing shares to WJRJJ Ventures for about $4.25 million at $29.50 per share.
Related-party link: WJRJJ owns about 42% of Empath Nursing, and HealthStream holds about 5% of Empath; the audit committee approved the deal and Mr. Frist abstained.
The investor is subject to standstill obligations for 12 months, and a registration rights agreement covers resale of the shares, with filing due within 45 days of an investor request.
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