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).
On September 21, 2026, abrdn Global Infrastructure Income Fund commenced a rights offering to holders of record on that date, under a dealer manager agreement with UBS Securities LLC. The offer covers up to 10,545,755 new common shares, and the rights expire on October 15, 2026 unless extended, so existing shareholders must decide whether to subscribe before then.
Each common share held at the close of business on September 21, 2026 receives one right; three rights are needed to buy one new common share.
The offer covers up to 10,545,755 common shares of beneficial interest, par value $0.001 per share.
Rights expire at 5:00 p.m. Eastern time on October 15, 2026 unless extended; Equiniti Trust Company, LLC is the subscription agent and EQ Fund Solutions, LLC the information agent.
Central Garden & Pet said John D. Walker will retire as President, Garden Consumer Products, effective September 26, 2026. The filing does not name a successor or describe the reasons for the retirement.
John D. Walker is retiring as President, Garden Consumer Products.
The retirement is effective September 26, 2026.
The company announced the change on September 21, 2026.
The filing does not name a successor or give financial figures.
Blue Acquisition Corp. (BACC) and Blockfusion entered a Sixth Amendment to their business combination agreement on September 21, 2026. The amendment raises the maximum earnout shares for certain Blockfusion stockholders to 15,000,000 and replaces the CoreWeave warrant with a Pubco warrant, which changes how Pubco shares are counted at closing.
Maximum earnout shares increased to 15,000,000, delivered in thirds at common stock VWAPs of $13.00, $15.00 and $17.00 per share.
CoreWeave warrant for 2,786,624 Blockfusion shares is cancelled and replaced by a Pubco warrant for 2,870,813 Class A shares at $7.4643 per share.
Other terms of the business combination agreement remain in effect; closing still depends on shareholder approval and other conditions.
Metagenomi Therapeutics filed a Form 8-K furnishing its September 2026 corporate presentation as Exhibit 99.1 under Regulation FD. The presentation restates the company's cash position of $120.7 million at the end of Q2 2026, its runway through Q4 2027, and its timeline for MGX-001, its lead hemophilia A program.
Cash, cash equivalents and available-for-sale marketable securities were $120.7 million at end of Q2 2026, with runway anticipated through Q4 2027.
MGX-001 IND submission is planned for Q4 2026, with first patient dosing planned for 2027.
Preclinical data cited include 623 potential off-target sites tested, with no off-target edits identified in primary human hepatocytes at any dose.
Brunswick Corporation said Chairman and CEO David Foulkes will retire at the end of 2026. Executive Aine Denari becomes CEO and David Everitt becomes Non-Executive Chairman, both effective January 1, 2027, which sets a defined leadership handover for shareholders. The filing also discloses retention equity awards to three senior executives, including the CFO.
David Foulkes notified the Board on September 17, 2026 of his retirement as Chairman and CEO, effective December 31, 2026
Aine Denari, 54, currently EVP and President of Navico Group and CTO, becomes CEO with a base salary of $1,150,000
David Everitt, current Lead Independent Director, becomes Non-Executive Chairman effective January 1, 2027
Retention RSU grants with grant-date values of $3,000,000 to CFO Ryan Gwillim and $1,700,000 each to John Buelow and Brenna Preisser
Generation Income Properties completed sales of its Dollar General portfolio, a Fresenius medical property and a Vacaville property in July and August 2026. It also paid $600,000 to reacquire the 7-Eleven property in Washington, D.C., ending a March 2026 transfer of that entity. Unaudited pro forma figures show lower six-month revenue but a smaller per-share loss, as the filing presents them.
Dollar General portfolio of six properties sold for $6,246,221 with net proceeds of $2,685,000, completed August 21, 2026
Fresenius property in Chicago sold for $2,800,000 with net proceeds of approximately $1,365,000, completed August 21, 2026
Vacaville property sold for $2,475,000 on July 15, 2026; Washington, D.C. entity reacquired June 16, 2026 for $600,000 in cash
Pro forma six-month 2026 loss per share of $(2.98) compared with $(3.26) historical; pro forma revenue of $3,676,321 compared with $4,294,858 historical
Vista Gold entered into an Arrangement Agreement on September 20, 2026, under which Artemis Gold would acquire all of Vista's common shares through a court-approved plan of arrangement. Vista shareholders would receive 0.0966 Artemis Gold shares for each Vista share, which the companies say implies US$2.83 per share and a 29% premium to Vista's 20-day volume-weighted average price. The deal requires Vista shareholder approval and other regulatory and court approvals, and the companies expect completion in January 2027.
Exchange ratio of 0.0966 Artemis Gold common shares per Vista Gold share, implying US$2.83 per share and a total transaction value of about US$427 million on a 100% basis
Premium of 29% to the 20-day VWAP as of September 18, 2026, and 25% to the last closing price, according to the companies
Vista must pay a termination fee of US$18,148,536 in certain circumstances, and either party may terminate if the Effective Time has not occurred by April 15, 2027
Directors and officers have signed voting support agreements, and Vista expects its proxy statement to be mailed in November 2026 with a shareholder meeting in December 2026
On September 15, 2026, Algorhythm Holdings closed its purchase of substantially all assets of Azure Energy, LLC, paying entirely in company securities valued at $23,000,000. The same day, CEO Gary Atkinson and CFO Alex Andre were terminated, Andrew Thompson became CEO, and the company issued a $4,025,000 secured note in an exchange for its Series A Preferred Stock. The common shares issued equal 19.99% of outstanding common stock, and the filing states the company is now seeking to shift its operating focus to renewable power.
Closed September 15, 2026; price of $23,000,000 paid in 4,076,312 common shares (19.99% of outstanding as of September 14, 2026) and 22,038 Series B Preferred shares
Option to buy 79.0286% of Azure S.R.L. equity for $30,000,000 within 36 months; up to 50% of exercise price payable in cash
Andrew Thompson appointed CEO effective September 15, 2026; Gary Atkinson and Alex Andre employment terminated not for cause; Atkinson also resigned from the board
Streeterville exchanged 3,500 Series A Preferred shares for a $4,025,000 Secured Pre-Paid Purchase #5 bearing 9% interest, maturing three years from September 15, 2026
Woodward plans to cease operations at its Santa Clarita, California, facility no later than December 2027 and move military flight control actuation production to its Spartanburg, South Carolina campus. The company also agreed to sell certain legacy product lines and the Santa Clarita campus, with that sale expected to close in fiscal 2027. Woodward expects cumulative pre-tax charges of $34 million to $47.5 million, mostly cash costs, which shareholders will bear as the actions are completed.
Estimated cumulative pre-tax charges of $34 million to $47.5 million, including $23 million to $29 million of employee-related costs
About 400 roles at the Santa Clarita facility are expected to be affected
Santa Clarita operations to cease no later than December 2027; Spartanburg facility expected to go online in summer 2027
Divestiture of certain product lines and the Santa Clarita campus expected to close in fiscal year 2027
Hycroft Mining announced a technical update on efforts to advance the Hycroft Mine toward production, along with a refreshed brand identity, redesigned website and updated corporate presentation. The filing contains no financial results, guidance or capital figures, and the company says it is still evaluating multiple pathways to unlock shareholder value in the second half of 2026.
Company is finalizing an internal assessment of underground development options for the Brimstone and Vortex systems, with RESPEC, Hatch and Hazen Research engaged on related work.
Roasting metallurgical test program is complete; trade-off analysis comparing roasting and pressure oxidation is being finalized.
Company expects two additional core rigs in the fourth quarter to accelerate drilling on Vortex and Brimstone.
Corporate presentation and press release were furnished on September 21, 2026 under Regulation FD.
Magnite appointed Brian Gephart as Chief Financial Officer effective October 1, 2026, succeeding David Day, who announced his retirement. Gephart has been the company's Chief Accounting Officer since June 2021, and the company also named Haas Sullivan as Chief Accounting Officer effective the same date. The filing describes leadership succession and compensation terms, not financial results.
Brian Gephart, age 47, becomes CFO effective October 1, 2026, succeeding retiring CFO David Day
Gephart's equity award totals $2.25 million: $1,575,000 in RSUs granted October 1, 2026 and $675,000 in PSUs expected in 2027
Haas Sullivan, age 43, becomes Chief Accounting Officer effective October 1, 2026, with an RSU grant of approximately $600,000
IB Acquisition Corp. entered into an equity purchase facility of up to $50 million and a securities purchase agreement for senior secured convertible notes, both tied to its pending business combination with GNQ Insilico. The initial PIPE closing of $16,470,588 is set to occur just before the business combination closes, with potential additional closings up to $90 million. The notes carry a 12% interest rate and a 12-month maturity, and their conversion could dilute existing shareholders.
Equity purchase facility allows the company to sell up to $50.0 million of Class A common stock to an institutional investor over up to 36 months.
Initial PIPE closing of $16,470,588 in senior secured convertible notes, with potential additional closings up to $90,000,000.
PIPE notes bear 12% annual interest, rise to an 18% default rate, mature in 12 months and convert at an initial $10.00 per share.
Company issued a $675,000 convertible commitment note to the equity facility investor.
EverCommerce said President Matthew Feierstein resigned on September 18, 2026, as president of the company and CEO of its EverPro unit, to pursue other opportunities. The filing says the resignation does not stem from any disagreement over company operations, policies or practices. The departure takes effect October 9, 2026, unless the company and Mr. Feierstein agree on a later date, and he will serve as a paid consultant afterward.
Resignation dated September 18, 2026; effective October 9, 2026, or a later mutually agreed date
Eligible for a 2026 annual target bonus, prorated for days employed in 2026, subject to continued employment and a release of claims
Vested stock option exercise period extended to 35 months after termination, or the original expiration date if earlier
Consultant on an as-needed basis through December 31, 2026, at $500 per hour
On September 21, 2026, Insulet entered into a Ninth Amendment to its Credit Agreement with Morgan Stanley Senior Funding as administrative agent. The $475 million of existing term loans were replaced with new term loans at a margin 0.25% lower, and revolving commitments rose by $250 million to $750 million, which were undrawn at closing. For shareholders, the filing points to lower borrowing costs and more available credit, though it does not state a dollar effect on earnings.
New term loans of $475 million replaced existing term loans of equal amount, issued at par.
Term SOFR loan margin on new term loans is 1.75%, 0.25% lower than the existing margin, with a 0.00% SOFR floor.
Revolving credit commitments increased by $250 million to $750 million, undrawn at closing; term SOFR margin range cut to 1.25% to 1.75%.
Axos Bank, a subsidiary of Axos Financial, completed on September 21, 2026 its previously announced purchase of individual retirement account deposits from Capital One, National Association. The bank acquired about $1.9 billion of IRA deposits and received cash for the aggregate balance, less a negotiated premium. The filing does not disclose the premium amount or the effect on earnings.
Acquired approximately $1.9 billion of IRA deposits from Capital One, National Association
Deal completed September 21, 2026 under a Purchase and Assumption Agreement dated April 22, 2026
Bank received cash for the deposit balance, less a negotiated premium; premium amount not stated in the filing
Weave Communications disclosed that early termination of the U.S. antitrust waiting period under the HSR Act was granted on September 21, 2026, for its pending acquisition by Francisco Partners-affiliated Willow Parent, LLC. This satisfies one closing condition, and the merger is expected to close in the fourth quarter of 2026, subject to stockholder approval and other customary conditions.
Early termination of HSR Act waiting period granted September 21, 2026
Merger agreement signed August 18, 2026 with Willow Parent, LLC and Willow Merger Sub, Inc., affiliates of Francisco Partners
Closing expected in the fourth quarter of 2026, subject to stockholder approval
Preliminary proxy statement was filed with the SEC on September 15, 2026; a special stockholder meeting will be announced
TOMI Environmental Solutions and Carbonium Core, Inc. agreed to terminate their June 28, 2026 merger agreement, effective September 15, 2026. The companies cited TOMI's current financial condition and strategic direction, along with new due diligence findings on Carbonium's business operations and expected financial performance. No termination fee is payable, and each party bears its own fees and expenses, so shareholders do not face a payment tied to the deal's end.
Merger agreement dated June 28, 2026 was terminated effective September 15, 2026
TOMI's Board of Directors approved the termination on September 20, 2026
No termination fee is payable by TOMI; each party bears its own fees and expenses
CEO Halden Shane said TOMI will focus on its operating results and pursue strategic partnerships
Optimum Communications said its previously issued financial statements for fiscal 2025 and the first half of 2026 should no longer be relied upon, because it failed to recognize non-cash deferred tax benefits tied to two earlier impairment charges on its cable franchise rights. The restatements are expected to reduce previously reported net losses, but the company also expects to report a material weakness in internal control over financial reporting related to income taxes.
The restatement covers the 10-K for fiscal 2025, the 10-Qs for the periods ended September 30, 2025, March 31, 2026 and June 30, 2026, and the financial statements of subsidiary CSC Holdings, LLC.
Reported net losses would decline by approximately $430 million for the three and nine months ended September 30, 2025 and the year ended December 31, 2025, and by approximately $720 million for the quarter ended March 31, 2026 and the six
Cash balances, revenues, capital expenditures, cash flows, EBITDA and loss before income taxes are not affected, according to the filing.
The Audit Committee concluded on September 16, 2026 that the affected statements should not be relied upon; the figures remain preliminary and may change.
SmartKem's board approved on September 16, 2026 a transaction retention bonus plan for its CEO, CFO and independent directors, with up to $750,000 in total payments. The bonuses are meant to keep these people in place through the closing of the previously announced Ferrox Critical Mineterals transaction and the filing of a Form S-4 registration statement.
Total retention bonuses are up to $750,000; half is payable on board approval and the balance on filing of the Form S-4.
CEO Ian Jenks is set to receive $200,000 and CFO Barbra Keck $150,000.
Four independent directors (Steven DenBaars, Melisa Denis, Klaas de Boer and Sri Peruvemba) are each set to receive $100,000.
Recipients who resign before the earlier of the Ferrox closing or June 30, 2027 must repay 100% of the amount.
WaterBridge Infrastructure LLC disclosed that Jason Williams, its Executive Vice President and Chief Administrative Officer and principal accounting officer, notified the company on September 18, 2026 of his intent to retire in July 2027. He will remain in his roles until a successor is identified and then move to an advisory role, and the company said the retirement is not due to any disagreement with its operations, policies or practices.
Jason Williams intends to retire from WaterBridge in July 2027, per notice given September 18, 2026
Williams will continue as Executive Vice President and Chief Accounting Officer until a successor is identified
He plans to move to an advisory role after retiring to help ensure a smooth succession
The filing states the retirement is not the result of any disagreement with company operations, policies or practices
Bar Harbor Bankshares furnished an investor presentation for use at investor meetings on September 22 and 23, 2026, and filed it as Exhibit 99.1. The presentation reviews second-quarter 2026 results, including a 1.31% return on average assets and a 3.61% net interest margin, and does not announce a new transaction or change in guidance.
Presentation made available September 21, 2026, for investor meetings on September 22 and 23, 2026
Q2 2026 return on average assets 1.31%, net interest margin 3.61%, efficiency ratio 55.8%
Non-performing assets 0.44% of total assets; CET1 ratio 11.45% as of June 30, 2026
Presentation also posted on the company website; filing is furnished under Item 7.01, not filed
Millrose Properties entered a Commitment and Acceptance on September 21, 2026, adding Flagstar Bank, N.A. as a new lender under its Revolving Credit Facility and increasing the facility's commitments by $50 million to $1.385 billion through the accordion feature. The filing is a financing amendment to an existing credit agreement, and it does not state changes to pricing or other terms.
Revolving Credit Facility commitments increased by $50 million to $1.385 billion
Flagstar Bank, N.A. added as a new lender under the Revolving Credit Facility
Commitment and Acceptance dated September 21, 2026, under Amended and Restated Credit Agreement dated March 25, 2026, as amended August 5, 2026
JPMorgan Chase Bank, N.A. serves as administrative agent
First Internet Bancorp's Board declared a quarterly cash dividend of $0.06 per common share, announced September 21, 2026. Shareholders of record at the close of business on October 1, 2026 will receive the payment on October 15, 2026. The filing contains no earnings or financial results; the dividend is subject to future Board discretion.
Quarterly cash dividend of $0.06 per common share declared September 21, 2026
Record date: October 1, 2026; payment date: October 15, 2026
Company reported assets of $5.6 billion as of June 30, 2026
On September 21, 2026, Orion180 Insurance Group Inc. completed its initial public offering of 20,000,000 Class A common shares at $12.00 per share, raising gross proceeds of $240.0 million before underwriting discounts and commissions. The company's amended and restated certificate of formation and bylaws took effect the same day, and five new directors were elected to the board effective September 17, 2026.
Offering: 20,000,000 shares of common stock at $12.00 per share, with gross proceeds of $240.0 million before underwriting discounts and commissions
Charter: authorized capital of 400,000,000 Class A shares, 100,000,000 Class B shares and 50,000,000 undesignated preferred shares, all with $0.001 par value
Board: Kevin Bollinger, Samir Deshpande, Robert V. Deutsch, Lawrence E. McAlee and Kernan "Kip" Oberting elected effective September 17, 2026
Agreements: Registration Rights Agreement and Exchange Agreement with Kenneth Gregg, plus indemnification agreements with directors and executive officers
On September 17, 2026, Soligenix stockholders approved raising authorized common shares from 75,000,000 to 125,000,000 and gave the board up to one year to carry out a reverse stock split at a ratio between 1-for-2 and 1-for-20. Stockholders also elected five directors and chose annual advisory votes on executive compensation. Separately, the company increased its at-the-market share sale program with Rodman & Renshaw LLC by $2,500,000, which could add dilution for shareholders.
Authorized common shares rose from 75,000,000 to 125,000,000, effective September 17, 2026 on filing with Delaware.
Board may effect a reverse split of 1-for-2 to 1-for-20 within up to one year, with the ratio set at its discretion.
Five directors elected, including Christopher J. Schaber, PhD, with 2,819,961 votes for; stockholders chose annual advisory votes on executive pay.
At-the-market sales program increased by $2,500,000; about $6,234,000 had been sold under prior supplements covering up to $6,406,000.
Calisa Acquisition Corp entered a Prepaid Forward Purchase Agreement on September 15, 2026, with investment funds managed by Harraden Circle Investments, LLC, linked to its pending business combination with Goodvision AI Inc. The Purchaser may buy up to 3,000,000 Ordinary Shares from public holders at no more than the redemption price, which was about $10.31 per share based on trust assets as of August 31, 2026, and the Purchaser will not vote those shares at the shareholder meeting.
Purchaser may buy up to 3,000,000 Ordinary Shares at no more than the redemption price, about $10.31 per share based on trust cash as of August 31, 2026.
Prepayment equal to shares purchased times the redemption price is due from trust funds no later than one business day after the business combination closes.
Unsold forward purchase shares return to the company 12 months after closing; the Seller may terminate earlier by paying the applicable Reset Price.
Effective September 21, 2026, Wolverine World Wide eliminated the position of President, Active Group, and Susie Kuhn, who held that role, left the company the same day. The company said her duties have been distributed throughout the organization. The filing does not disclose any financial impact or replacement.
Position of President, Active Group eliminated effective September 21, 2026
Susie Kuhn left the company on September 21, 2026
Company states her duties have been distributed across the organization
Filing does not name a successor or give any financial figures
The European Commission granted marketing authorization for Ubeslo and Evlarco, obicetrapib-based treatments for primary hypercholesterolaemia or mixed dyslipidaemia, marking the first regulatory approval of obicetrapib worldwide. The company's partner Menarini holds European commercialization rights, and the approvals trigger milestone payments in the mid-teens of millions of euros, with up to an additional €833 million available on future milestones.
Approvals cover all EU Member States, Iceland, Liechtenstein and Norway
Ubeslo is obicetrapib 10 mg monotherapy; Evlarco is 10 mg obicetrapib plus 10 mg ezetimibe
EC requires a post-authorization efficacy study and final results from the PREVAIL cardiovascular outcomes trial
Menarini milestone payments in the mid-teens of millions of euros triggered by the authorizations
Quartzsea Acquisition Corporation deposited $175,000 into its trust account on September 19, 2026 to extend its deadline for completing an initial business combination from September 19, 2026 to October 19, 2026. The extension uses a month-to-month option approved by shareholders on June 23, 2026, which allows extensions through October 19, 2026. The filing shows the company still has no announced business combination, and the deadline now depends on further deposits.
Deposit of $175,000 into the trust account on September 19, 2026 extended the deadline to October 19, 2026.
Shareholders approved the month-to-month extension amendments on June 23, 2026, with extensions available through October 19, 2026.
For each one-month extension, the company must deposit the lesser of $175,000 or $0.033 per outstanding public share.
Nasdaq notified Linkhome Holdings on September 18, 2026 that the company has regained compliance with the $1.00 minimum bid price requirement, closing the matter. The company had received a deficiency notice on June 29, 2026 after its stock closed below $1.00 for 30 consecutive business days. Shareholders face no listing action from this matter, since the stock met the bid price test for 10 consecutive business days.
Nasdaq deficiency notice received June 29, 2026 after 30 consecutive business days below $1.00
Closing bid price was at least $1.00 for 10 consecutive business days, September 3 through September 17, 2026
Nasdaq notified the company on September 18, 2026 that compliance was regained and the matter is closed
Industrial Logistics Properties Trust appointed Anthony Paula as Chief Financial Officer and Treasurer, effective October 1, 2026, replacing Tiffany R. Sy, who resigned effective September 30, 2026. A CFO change is a notable leadership transition, and the filing does not describe any change to financial results or guidance.
Anthony Paula, age 39, appointed CFO and Treasurer by the Board on September 16, 2026, effective October 1, 2026
Tiffany R. Sy resigned as CFO and Treasurer, effective September 30, 2026
Paula is a vice president at The RMR Group LLC, the company's manager, and is a certified public accountant
Paula will resign his vice president role at Diversified Healthcare Trust in connection with the appointment
Orion Group Holdings amended the employment agreements of CEO Travis J. Boone and General Counsel E. Chipman Earle on September 18, 2026, extending their initial terms that were set to expire September 19, 2026. The filing says no other terms changed, and the agreements now provide for automatic annual extensions starting January 1, 2027. For shareholders, this is an administrative continuity step that keeps the top two executives in place without changes to their pay or other terms as described in the filing.
Both Travis J. Boone (President and CEO) and E. Chipman Earle (EVP, General Counsel, Chief Administrative Officer) signed amendments dated September 18, 2026.
Initial terms, previously set to expire September 19, 2026, are extended to December 31, 2026.
Automatic annual extensions begin January 1, 2027.
The filing states no other terms of the employment agreements were affected by the amendments.
Ethan Allen's Board said it has begun a formal, independent CEO succession process and has committed to naming the next CEO no later than June 30, 2027, the date Chairman, President and CEO M. Farooq Kathwari's employment agreement is scheduled to end. Kathwari will remain a non-executive Board member until the 2027 annual meeting, when he will step down. The filing reports no financial results, and the Board said the process will consider internal and external candidates.
Board committed to announcing the next CEO no later than June 30, 2027
Kathwari continues to lead management and will remain a non-executive director until the 2027 annual meeting
A nationally recognized executive search firm has been engaged to evaluate internal and external candidates
U.S. Physical Therapy's Board approved the appointment of Myra Davis, executive vice president and chief information innovation officer at Texas Children's Hospital, as a director effective October 1, 2026. The filing reports no committee assignment yet and no related-party transactions, and it does not disclose financial results.
Board approved the appointment on September 15, 2026, effective October 1, 2026
Davis, 61, has been at Texas Children's Hospital since 2003 and has held her current role since 2023
Davis will receive an annual cash retainer and annual equity grant under the proxy statement's Director Compensation terms
Chairman and CEO Chris Reading said her technology and innovation background will add perspective to the Board
PACS Group, Inc. said Chief Legal Officer and Secretary John Mitchell retired effective September 18, 2026, and will serve as a non-employee consultant for up to 12 months. Patrick J. Murphy succeeds him as Chief Legal Officer and Secretary effective September 21, 2026. The filing describes the change as an orderly leadership transition.
Mitchell's service as Chief Legal Officer and Secretary ended September 18, 2026, under a transition agreement with the company.
Mitchell's transition terms include 12 months of base salary continuation and COBRA premium subsidies, subject to a release of claims and continued compliance with restrictive covenants.
Murphy, previously a Partner at King & Spalding, takes over as Chief Legal Officer and Secretary on September 21, 2026, after more than two decades of senior legal roles, including about 20 years at General Electric.
Myseum.AI entered a Second Amendment to its Sales Agreement on September 21, 2026, assigning The Benchmark Company's obligations as sales agent to its affiliate StoneX Financial Inc. The company also filed an amended prospectus supplement to reflect the change, and the filing describes no change to financial results or guidance.
Second Amendment dated September 21, 2026 amends the Sales Agreement dated February 10, 2025, as amended February 6, 2026.
Benchmark's obligations under the Sales Agreement are assigned to StoneX Financial Inc., an SEC-registered broker-dealer and FINRA and SIPC member.
Amendment No. 2 to the February 6, 2026 prospectus supplement was filed on September 21, 2026 to reflect the assignment.
The filing is attached as Exhibit 1.1 and is signed by CEO Darin Myman.
On September 15, 2026, Alset Inc. bought a convertible promissory note and warrants from DSS, Inc. for $500,000 under a securities purchase agreement. DSS is a related party: Alset holds about a 39.4% equity interest in it, and Chairman and CEO Chan Heng Fai chairs DSS, so the deal is subject to DSS stockholder approval before the note can be converted or the warrants exercised.
Purchase price: $500,000 for a note payable on demand, bearing 3% simple interest per annum
Note convertible into DSS common stock at $0.50 per share; warrants cover 8,000,000 DSS shares at $0.55 per share and expire on their fifth anniversary
Conversion and exercise require DSS stockholder approval
Approved by Alset's Board and Audit Committee; Chan Heng Fai and Chan Tung Moe recused from voting
Brown-Forman completed the sale of $500 million aggregate principal amount of 5.375% notes due October 15, 2031, on September 21, 2026. The company says it may use the proceeds for general corporate purposes, including dividends, stock repurchases, and repaying or repurchasing existing debt such as commercial paper. The filing adds new long-term debt to the company's obligations, with semi-annual interest payments beginning April 15, 2027.
Principal amount: $500 million of 5.375% notes due October 15, 2031
Interest payable semi-annually on April 15 and October 15, beginning April 15, 2027
Offered under a shelf registration on Form S-3 filed March 9, 2026, with U.S. Bank Trust Company as trustee
Underwriters include Barclays Capital, BofA Securities, Citigroup, J.P. Morgan and U.S. Bancorp Investments
Viking Acquisition Corp. II, a special purpose acquisition company, amended and restated its convertible working capital note to its sponsor, raising the principal to $544,080 after a $30,000 advance on September 18, 2026. The note carries no interest, is payable at the earlier of an initial business combination or winding up, and may convert into up to 54,408 private placement-style units at $10.00 each if the sponsor elects.
Principal increased from $514,080 to $544,080 after a $30,000 sponsor advance on September 18, 2026
Note bears no interest and is payable at the earlier of an initial business combination or effective winding up
Sponsor may convert at $10.00 per unit into up to 54,408 New Units, each with one Class A ordinary share and one-third of a warrant exercisable at $11.50
NBT Bancorp's board increased its size to thirteen directors and appointed Kimberly A. Boynton, former President and CEO of Crouse Health, to fill the new seat effective October 1, 2026. The filing describes this as a board addition with no financial measures, and it does not change reported results.
Board expanded to thirteen directors; Boynton fills the newly created vacancy effective October 1, 2026.
Boynton, age 57, was President and CEO of Crouse Health from January 2014 until March 2023.
She is expected to serve on the Audit, Compensation and Benefits, and Risk Management Committees.
She will receive a prorated annual restricted stock unit grant and prorated annual retainers.
CVRx appointed John Landry, currently CFO of Nyxoah SA, as its Chief Financial Officer, succeeding Jared Oasheim, whose resignation was previously disclosed on June 8, 2026. Landry joins on October 12, 2026, and takes the CFO role the day after the company files its Form 10-Q for the quarter ending September 30, 2026. The filing lists a $500,000 initial base salary and initial equity awards equal to 0.80% of total common shares outstanding, which matters to shareholders as a senior finance transition.
John Landry appointed CFO; joins company October 12, 2026 and assumes the role the day after the Q3 2026 Form 10-Q is filed
Initial base salary of $500,000 with a 50% target cash incentive, pro-rated for fiscal 2026
Initial equity awards of 0.80% of total common shares outstanding, split 75% stock options and 25% RSUs
Jared Oasheim, who gave notice June 8, 2026, will remain for a transition period
Blend Labs appointed Lina Rivas as its Head of Accounting and principal accounting officer, effective September 21, 2026. Jason Ream will remain principal financial officer. The filing describes a routine accounting leadership change with a standard offer package, and it does not report any change in financial results.
Lina Rivas, 41, previously served as VP, Global Corporate Controller at Veritone, Inc. from March 2025 until September 2026
Base salary of $300,000 per year with a target annual cash bonus of $75,000
RSU award covering 530,000 Class A shares; 25% vests after 12 months and 75% in equal quarterly installments over the next 36 months
Jason Ream continues as principal financial officer
The Toro Company increased its board from ten to eleven members and elected David W. Huml, president and chief executive officer of Tennant Company, as a director effective immediately. Huml also joins the Audit Committee and Finance Committee, and will serve in the class of directors with a term expiring at the 2027 annual meeting. The appointment is a board change rather than a change in operations or financial results.
Board size increased from ten to eleven directors on September 21, 2026
David W. Huml, president and CEO of Tennant Company, elected to the Board and to the Audit and Finance Committees
Huml will receive customary non-employee director compensation, as described in the proxy statement for the March 17, 2026 annual meeting
Filing states no arrangements or reportable related-person transactions involving Huml
Travere Therapeutics said CEO Eric Dube will step down as President, CEO and board member effective December 1, 2026, and Bradley L. Campbell, former CEO of Amicus Therapeutics, will succeed him in both roles on the same date. Dube will stay on as Executive Advisor through February 15, 2027, and his employment ends February 16, 2027, unless the two sides agree to an earlier date. The change is a planned leadership transition under agreements both parties signed on September 21, 2026.
Eric Dube's CEO and board roles end December 1, 2026; Bradley L. Campbell takes both roles that day.
Dube's employment is scheduled to end February 16, 2027, and he will serve as a consultant for up to 18 months after the resignation date.
Campbell's employment agreement sets a $1,000,000 base salary, a target bonus of 85% of base salary, and approximate equity grants of $8,250,000 in stock options and $8,250,000 in restricted stock units.
Dube will not be eligible for the 2027 cash bonus program and will receive no further stock awards, though existing awards keep vesting.
Jack in the Box appointed Rachel Ruggeri, former Starbucks CFO, as an independent director effective September 17, 2026, and director Michael Murphy will retire at the 2027 annual meeting. The company also amended its cooperation agreement with GreenWood Investors, extending its term through the nomination window for the 2028 annual meeting and limiting board size to nine directors without GreenWood's consent.
Rachel Ruggeri appointed independent director effective September 17, 2026; she previously served as EVP and CFO of Starbucks Corporation
Michael Murphy will not stand for re-election and will retire from the board at the 2027 Annual Meeting of Stockholders
GreenWood amendment extends the cooperation agreement through the 2028 annual meeting nomination window and commits the company to an investor event no later than June 30, 2027
The filing does not report financial results or guidance
On September 18, 2026, GT Biopharma amended its September 14 securities purchase agreement to add a new purchaser and raise the preferred stock offering to 8,611.111 shares with an aggregate purchase price of $7,750,000. The amendment also gives purchasers rights to buy additional preferred stock for an aggregate purchase price of $31,208,054, and the company increased its designated Series M preferred shares from 41,778 to 43,287, with the shares and warrants sold under Rule 506(b) and a resale registration statement to be filed.
Preferred stock offering increased to 8,611.111 shares of Series M 10% Convertible Preferred Stock, with an aggregate stated value of $8,611,111.11 and an aggregate purchase price of $7,750,000.
Purchasers may elect additional preferred stock purchases (Greenshoe Rights) with an aggregate stated value of up to $34,675,615 for an aggregate purchase price of $31,208,054.
Certificate of Increase filed September 18, 2026 raises designated Series M preferred shares from 41,778 to 43,287.
Company agreed to file a resale registration statement within 30 days after the initial closing and after each Greenshoe closing.
OppFi Inc. disclosed that a subsidiary borrowed $75.0 million under a senior secured multi-draw term loan dated August 10, 2026, with a fixed rate of 12.50% per annum before its pending BNCCORP acquisition closes. The company said the proceeds will support growth in finance receivables and for working capital and general corporate purposes. Shareholders should note the loan carries a 1.25% original issue discount, semi-annual amortization and covenants, and that a further $25.0 million remains available through February 10, 2027.
Initial borrowing of $75.0 million on September 15, 2026; maximum commitment $100.0 million
Fixed rate of 12.50% per annum before the BNCCORP acquisition closes, rising to 13.50% after
Maturity is four years from September 15, 2026; loans require semi-annual amortization of 10% of principal
BNCCORP stockholders adopted the merger agreement at a special meeting on September 17, 2026; regulatory approvals remain pending
American Superconductor Corporation (AMSC) disclosed that director Barbara G. Littlefield resigned from its Board of Directors, with the resignation effective at 12 p.m. Eastern time on Friday, September 18, 2026. She informed the Board of her decision on September 17, 2026. The filing does not give a reason for the resignation or name a replacement.
Barbara G. Littlefield resigned from the Board of Directors of American Superconductor Corporation.
She informed the Board of her resignation on September 17, 2026.
Resignation effective at 12 p.m. Eastern time on Friday, September 18, 2026.
The filing does not state a reason for the resignation or name a successor.
Turning Point Brands CEO Graham Purdy resigned for personal reasons and will also leave the board effective September 30, 2026. The board named Executive Chairman David E. Glazek as CEO effective October 1, 2026. The company reaffirmed its 2026 Modern Oral sales guidance but lowered the top of its EBITDA guidance range, which matters to shareholders because it signals a leadership transition alongside a narrower profit outlook.
Graham Purdy steps down as President and CEO and as a director effective September 30, 2026; the company says the departure is not related to any disagreement.
David E. Glazek, Executive Chairman since 2023 and a director since 2012, becomes CEO effective October 1, 2026.
2026 Modern Oral gross sales guidance of $330 million to $350 million and net sales guidance of $260 million to $270 million were reaffirmed.
Full-year 2026 EBITDA guidance was tightened to $70 million to $80 million from $70 million to $90 million.
Bridger Aerospace Group Holdings' board appointed Rebecca Gerleman as Senior Vice President, Chief Accounting Officer, effective September 18, 2026. Ms. Gerleman had been the company's Senior Director of Technical Accounting & Financial Reporting since February 1, 2026, and previously spent about twelve years at Deloitte & Touche LLP. The filing sets her base salary at $330,000 and a one-time restricted stock unit award of $108,733.
Board appointment made September 17, 2026; effective date September 18, 2026.
Base salary of $330,000 and a one-time restricted stock unit award of $108,733 under the 2023 Omnibus Incentive Plan.
Joined the company in December 2024 as Director of Technical Accounting & Financial Reporting; promoted to Senior Director February 1, 2026; about twelve years at Deloitte & Touche LLP before that.
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