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).
DBV Technologies said it has submitted a Biologics License Application to the U.S. Food and Drug Administration for its VIASKIN Peanut Patch in children with peanut allergy aged 4 through 7 years, and has requested Priority Review. The application is supported by results from the Phase 3 VITESSE trial, which enrolled 654 children, and the FDA previously granted the patch Breakthrough Therapy Designation. The filing reports a regulatory milestone, not revenue or approval, and the company states the product has not been authorized for sale in any country.
BLA submitted to the FDA for VIASKIN Peanut Patch in children aged 4 through 7 years, announced September 29, 2026
DBV has requested Priority Review; the FDA previously granted Breakthrough Therapy Designation
VITESSE Phase 3 trial enrolled 654 children, randomized 2:1 to active patch or placebo
The company states the product has not been authorized for sale in any country
ONE Nuclear Energy completed its business combination with Hennessy Capital Investment Corp. VII (HVII) on September 23, 2026, and is no longer a shell company. The unaudited June 30, 2026 financials show a six-month net loss of $1,802,923, a working capital deficit of $2,736,205, and management's conclusion that substantial doubt exists about the company's ability to continue as a going concern, which matters to shareholders given the company's limited cash and reliance on financing.
Business combination with HVII consummated September 23, 2026; aggregate consideration of $1.0 billion payable to ONE Nuclear's equityholders in newly issued common stock
Net loss of $1,802,923 for the six months ended June 30, 2026; cash of $2,588 at June 30, 2026
Management determined substantial doubt exists about the company's ability to continue as a going concern
B. Riley fee of $12.0 million ($4.0 million in stock, $8.0 million in cash after closing); B. Riley note maturity extended to December 31, 2026
TruGolf Holdings filed a Certificate of Change in Nevada to effect a 1-for-10 reverse split of its common stock, effective 12:01 a.m. Eastern Time on September 29, 2026. Each ten pre-split shares became one new share, and the authorized share count fell from 101,000,000 to 10,100,000, so the split does not change any holder's percentage interest except where fractional shares arise.
Reverse split ratio of 1-for-10, effective 12:01 a.m. ET on September 29, 2026
Authorized common shares reduced from 101,000,000 to 10,100,000
Outstanding shares were reduced from approximately 12.44 million to approximately 1.24 million, per the press release
New CUSIP number 243733607; holders receive cash in lieu of any fractional share
PRA Group priced a $400.0 million offering of 8.500% senior notes due 2033 in a private transaction exempt from Securities Act registration. The company plans to use the net proceeds and available cash to repay approximately $400.0 million of borrowings under its North American revolving credit facility, and the offering is expected to close on or about October 2, 2026.
Priced $400.0 million aggregate principal of 8.500% senior notes due 2033 on September 29, 2026
Expected closing on or about October 2, 2026, subject to customary conditions
Net proceeds and available cash to repay approximately $400.0 million of North American revolving credit facility borrowings
Notes offered to qualified institutional buyers under Rule 144A and certain non-U.S. persons under Regulation S; guaranteed on a senior unsecured basis by domestic subsidiaries
Silicon Valley Acquisition Corp. (SVAQ) and quantum technology company EigenQ announced that a Form S-4 registration statement for their proposed business combination has been filed with the SEC. The registration statement has not yet been declared effective, and completion depends on SEC effectiveness, shareholder approvals and Nasdaq listing requirements, with closing currently expected in the fourth quarter of 2026.
Registration statement on Form S-4 publicly filed with the SEC, announced September 28, 2026; the Business Combination was first announced June 17, 2026.
Post-closing, SVAQ is expected to domesticate as a Delaware corporation and be renamed EigenQ Holdings, Inc.; proposed Nasdaq tickers are EIGQ and EIGQW.
EigenQ recently secured approximately $45 million in a convertible financing, with about half already funded.
Closing is currently expected in the fourth quarter of 2026, subject to SEC effectiveness and shareholder approval.
Stockholders of Apollo Commercial Real Estate Finance, Inc. approved the company's dissolution, the liquidation of its assets and the winding up of its business at a special meeting held September 29, 2026. The same day, the company and its manager signed a Termination Agreement to end the management agreement, which takes effect when Maryland accepts the articles of dissolution.
Dissolution proposal approved: 72,217,727 votes for, 799,088 against, 439,400 abstain
Advisory vote on executive compensation tied to the liquidation approved: 68,240,751 for, 4,229,423 against, 986,035 abstain
Manager waived any termination fee; the company agreed to pay accrued, unpaid management compensation and reimbursable expenses
Shares represented at the meeting were approximately 57.1% of issued and outstanding common stock entitled to vote
Celularity Inc. appointed Naveen Jain, founder and CEO of Viome Life Sciences, to its Board of Directors, with his term to start after a Rule 14f-1 information statement waiting period. Diane Parks has notified the company she will resign from the Board as of that same effective time, and the filing says her decision was not due to any disagreement with the company.
Naveen Jain was designated under board designation rights tied to the September 2026 financing disclosed in an 8-K filed September 28, 2026.
Diane Parks will resign from the Board effective at the same time Jain's term begins.
Jain has not been appointed to any Board committee initially and will receive the standard non-employee director compensation.
The company expects to announce a fifth director shortly.
Cboe Exchange signed a Master License Agreement with S&P Opco, LLC, effective September 28, 2026 and running until December 31, 2051, extending its rights to the S&P 500 index for standardized options. Updated per-contract license fees start January 1, 2027, and Cboe estimates they will have a de minimis impact on its 2027 net revenue growth.
Agreement effective September 28, 2026, through December 31, 2051
No impact on 2026 royalty fee terms; updated fees begin January 1, 2027
Cboe estimates a de minimis impact on 2027 net revenue growth and will give 2027 organic net revenue guidance with fourth quarter earnings in February
SPX options set a record 970.6 million contracts in 2025, with average daily volume of 3.9 million contracts, up 25%
Aterian disclosed that David E. Lazar sold his Series AA and Series AAA preferred stake to several purchasers on September 25, 2026, for an aggregate $12,000,000. After the sale Lazar holds about 3.1% of common stock, and the company says no single person or group has acquired control. The filing also reports that director Avraham Ben-Tzvi resigned and William H. Crampton joined the board, and that a $0.9936-per-CVR cash payment is due on or about October 2, 2026.
On September 25, 2026, Lazar sold all rights in 706,100 Series AA and 1,750,000 Series AAA preferred shares for $12,000,000 in aggregate, after the preferred converted into 241,861,970 common shares.
No purchaser holds more than 9.99% of fully diluted common stock, and the company says the purchasers acted independently.
William H. Crampton was appointed to the board on September 25, 2026, and to the Audit and Compensation Committees; Avraham Ben-Tzvi resigned effective September 25, 2026.
Lazar received a $150,000 retention bonus as CEO and Interim CFO, paid in two $75,000 installments; CVR holders are due approximately $0.9936 per CVR on or about October 2, 2026.
Delek US Holdings completed a private offering of $460 million of 0.00% convertible senior notes due November 1, 2031, including the initial purchasers' option exercised in full. The company received net proceeds of $449.1 million, and it will use part of them to fund capped call transactions and the rest for general corporate purposes, including partial repayment of its term loan. The notes are convertible at about $85.31 per share, and the capped calls are intended to reduce potential dilution to shareholders.
Aggregate principal of $460 million, including the $60 million additional option exercised on September 25, 2026
Net proceeds of $449.1 million after initial purchasers' discounts and commissions
Initial conversion price of about $85.31 per share, a 27.5% premium over the $66.91 closing price on September 24, 2026
Capped call transactions cost about $34.3 million, with a cap price of about $117.09 per share
At its September 29, 2026 annual meeting, TechPrecision stockholders approved an amended and restated 2016 Equity Incentive Plan that adds 750,000 shares and extends the plan's expiration to September 29, 2036. All five director nominees were elected to one-year terms, and stockholders ratified CBIZ CPAs P.C. as the independent auditor for the fiscal year ending March 31, 2027. The plan change increases the number of shares available for equity awards to employees and others under the plan.
Plan amendment adds 750,000 shares and extends expiration to September 29, 2036; approved with 3,388,818 for and 401,137 against
All five director nominees, including Andrew A. Levy and Robert D. Straus, were elected to one-year terms expiring at the 2027 annual meeting
CBIZ CPAs P.C. ratified as independent registered public accounting firm with 6,505,347 votes for
Advisory say-on-pay proposal approved with 3,502,890 votes for and 311,496 against
GEN Restaurant Group entered into a Common Stock Purchase Agreement and Registration Rights Agreement with Roth Principal Investments, LLC, dated September 29, 2026. The company may sell up to $25,000,000 of newly issued Class A common stock to Roth over up to 36 months, at its sole option, once a resale registration statement is declared effective. Issuance of new shares would dilute existing shareholders, and the company is under no obligation to sell any shares.
Facility size: up to $25,000,000 of newly issued Class A common stock, at the company's sole discretion.
Term: up to 36 months beginning on the SEC effective date of the resale registration statement.
Pricing: purchases are priced at a VWAP-based discount of 3.0% for market open and intraday purchases and 5.0% for pre-market and post-market purchases.
Nasdaq rules cap issuance under the agreement at 6,776,399 shares, which the filing says equals 19.99% of Class A common stock.
Tectonic Therapeutic reported topline Phase 1a results for TX2100, an investigational antibody for hereditary hemorrhagic telangiectasia (HHT), stating the drug was generally safe and well-tolerated in healthy adult volunteers. The FDA also granted TX2100 Fast Track designation for HHT and cleared the IND for a planned Phase 1b trial, which advances the clinical program toward patients. The filing discloses no revenue or financial results, and anti-drug antibody results remain pending.
Phase 1a enrolled 48 healthy adult volunteers across six dose cohorts; no deaths, serious adverse events or severe treatment-emergent adverse events were reported at any dose
FDA cleared the IND in August 2026 and granted Fast Track designation in September 2026
Phase 1b trial in HHT patients planned to begin by year-end 2026; Phase 2 planned to begin in early 2027
Detailed Phase 1a results to be presented at the CureHHT 16th HHT International Scientific Conference, October 12-16, 2026
MongoDB's Board of Directors authorized an additional $1.0 billion in share repurchases on September 25, 2026, bringing the aggregate authorized amount under its existing program to $2.0 billion. The company also held an Investor Day on September 29, 2026, where leadership discussed growth strategy while an interim CEO leads a pending leadership transition.
Board authorized an additional $1.0 billion in repurchases on September 25, 2026, for an aggregate $2.0 billion under the existing program.
$1,353,700,000 remains available for future repurchases as of the filing date.
Repurchases may be made in open market or privately negotiated transactions, and the company is not obligated to buy any particular amount.
Investor Day on September 29, 2026 covered strategy, and the presentation references a recently announced leadership transition led by interim CEO Dev Ittycheria.
Aspire-Lakewood Holdings dismissed Turner Stone & Company, LLP as its independent auditor on September 24, 2026, and the Audit Committee engaged CBIZ CPAs P.C. as its new auditor for the fiscal year ending December 31, 2026. Turner's prior report on the 2025 financial statements included a going concern explanatory paragraph, and the company disclosed material weaknesses in internal control over financial reporting.
Turner Stone & Company, LLP dismissed effective September 24, 2026
CBIZ CPAs P.C. engaged as new auditor for fiscal year ending December 31, 2026
Turner's report on 2025 financials included a going concern paragraph on substantial doubt
Company reports no disagreements with Turner and no other reportable events
In a September 28, 2026 press release, Sable Offshore said it plans to accelerate 4 additional Perforation Addition operations on Platform Hondo, bringing completed operations to 9 of 15 production wells before the expected Q4 2026 restart, up from 5 previously expected. The company estimated July and August oil sales at approximately 32 thousand gross barrels per day and expects September at approximately 34 thousand, while noting third-party sales constraints in late August and September.
Platform Hondo reconstruction and internal commissioning are complete; the MMA's final review of the instrumentation, control, and safety submission is expected in October 2026.
Completed Perf Adds before restart are now expected on 9 of 15 wells, versus 5 previously; each is estimated to add about 600 barrels of oil per day at about $800,000 per operation.
July and August oil sales were approximately 32 thousand gross barrels per day; September is expected at approximately 34 thousand.
October nominations to the crude purchaser are expected to average 38 thousand gross barrels per day, with an estimated exit rate of about 45 thousand before Hondo volumes are added.
Northern Trust Chief Financial Officer David W. Fox, Jr. told the company on September 28, 2026 that he plans to retire on or around March 31, 2027. The company said it will conduct a comprehensive internal and external search for his successor, and Fox is expected to keep leading Finance during the transition.
Fox informed the company on September 28, 2026 of his plan to retire, effective on or around March 31, 2027.
Fox intends to remain in his role through the end of the first quarter of 2027 to support an orderly transition.
The company plans a comprehensive internal and external search for its next Chief Financial Officer.
Fox joined Northern Trust in 2012 and previously spent more than 25 years at JPMorgan.
Talen's board named President Terry Nutt as chief executive effective January 1, 2027, succeeding Mac McFarland, who retires March 1, 2027. The same day, Talen entered $1.5 billion of accelerated share repurchase agreements, funded by selling about $1.5 billion of future PJM capacity revenues, and raised its remaining buyback authorization to $3.0 billion. For shareholders, the buyback reduces the share count, but the company says its adjusted free cash flow forecast for 2H 2026 through 2028 falls from about $4 billion to about $2.8 billion after the capacity sale.
Terry Nutt becomes CEO and joins the board on January 1, 2027; his base salary is set at $1,200,000, with a target bonus of 135% of base and a long-term incentive target of 700% of base.
Mac McFarland serves as Senior Advisor from January 1, 2027 until his retirement on March 1, 2027, and will receive $100,000 for those services.
The ASRs with Goldman Sachs & Co. LLC and Banco Santander cost $1.5 billion, with about 4.0 million shares initially received; the company expects them to be completed by the end of the first quarter of 2027 and says they would repurchase m
The capacity monetization covers PJM 2027/2028 and 2028/2029 delivery years, with Citi, at SOFR plus 200 basis points; the company targets net leverage of 3.5x by the second half of 2027.
Kevin Shannon notified Morgan Stanley Direct Lending Fund of his intention to resign as a Director, effective September 26, 2026. The filing states the resignation is not the result of any disagreement with the Company.
Kevin Shannon resigned as a Director, effective September 26, 2026.
The filing says the resignation was not due to any disagreement with the Company.
The 8-K was signed by Co-President and Chief Operating Officer Orit Mizrachi on September 29, 2026.
Heron Therapeutics entered a multi-product Development and License Agreement with Long Grove Pharmaceuticals and Capstone Development Services on September 23, 2026. The deal gives Heron an exclusive, sublicensable license to import, distribute, sell and market certain products in the United States and its territories, plus a non-exclusive manufacturing license worldwide for sales in that territory. The filing does not disclose any upfront payment, milestone amounts or royalty rates, so its financial size for shareholders cannot be determined from this document.
Agreement dated September 23, 2026 with Long Grove Pharmaceuticals, LLC; Capstone Development Services Company, LLC is a party solely for exclusivity covenants and backstop obligations
Heron must pay Long Grove regulatory milestones, sales-based milestones and royalties, and be reimbursed for certain expenses; amounts are not stated
Initial term of 10 years from first commercial sale, with automatic 2-year renewals; either party may terminate on certain customary conditions
Full agreement to be filed as an exhibit to the Form 10-Q for the quarter ending September 30, 2026
Crane Company's Board accepted the resignation of Lead Independent Director James L. L. Tullis under the company's director retirement policy, effective at the conclusion of the 2027 Annual Meeting of Stockholders. The filing says the departure was not due to any disagreement with the company on operations, policies, or practices, and the Board will begin searching for a successor to the Lead Independent Director role.
Board accepted Tullis's resignation at a regularly scheduled meeting on September 27, 2026
Resignation is effective at the conclusion of the 2027 Annual Meeting of Stockholders
Filing states the retirement was not the result of any disagreement with the company
Board will begin a process to identify a successor Lead Independent Director
Vulcan Infrastructure and Power agreed on September 23, 2026 to exchange $2,793,150 in principal of its 8.50% notes due 2026, plus about $40,230 in accrued interest, for new 10.00% senior notes due 2030 and three-year warrants on 1,000,000 Class A shares at $1.87. The company expects the exchange to close on or about October 1, 2026, and the filing does not give any results or cash figures, so the effect on shareholders is limited to the dilution potential of the warrants and the terms of the new debt.
Exchange covers $2,793,150 in 2026 notes plus about $40,230 in accrued interest
Holders receive $2,833,358 in 10.00% senior notes due 2030
Warrants cover 1,000,000 Class A shares at $1.87 per share, exercisable for three years and only for cash
Closing expected on or about October 1, 2026, subject to conditions
On September 25, 2026, Angel Oak Mortgage REIT and two subsidiaries extended a loan financing facility with lender Global Investment Bank 3 through September 25, 2027. The filing says the interest rate pricing spread was reduced, with the low end falling from 1.75% to 1.35% while the stated top of the range stayed at 4.75%, which could lower borrowing costs for shareholders.
Facility extended through September 25, 2027
Pricing spread range changed from 1.75% to 4.75% to 1.35% to 4.75%
Sixth Amendment to Second Amended and Restated Master Repurchase Agreement filed as Exhibit 10.1, dated September 25, 2026, with portions redacted
The trust's sponsor amended its custody agreement with BitGo Bank & Trust, which acts as a second BNB custodian for the trust. The amendment names Figment as the validator for the trust's BNB staking activities and sets a 4% staking assets validator fee.
Amendment dated September 25, 2026, to the Custodial Services Agreement dated August 5, 2026
BitGo serves as the Second BNB Custodian for the trust
Figment named as validator for BNB staking, with a 4% staking assets validator fee
BuzzFeed agreed on September 23, 2026 to issue 4,300,000 new Class A shares to Allen Family Digital, LLC, an affiliate of Chairman Byron Allen Folks' family office, at $1.09 per share. The deal raised about $4.7 million and is a related-party transaction approved by the four disinterested directors, with Mr. Folks abstaining.
Shares issued: 4,300,000 newly issued Class A common shares at $1.09 each, priced at the September 22, 2026 Nasdaq closing price
Proceeds: approximately $4.7 million, per the filing
Related party: Purchaser is linked to Chairman Byron Allen Folks, who is also the company's controlling shareholder through the Purchaser; the audit committee approved the deal
Issuance was made under Section 4(a)(2) of the Securities Act, exempt from registration; agreement filed as Exhibit 10.1
FingerMotion agreed on September 23, 2026 to buy 100% of Newbit Technology Inc. for $2.3 million in cash, on a cash-free, debt-free basis, to acquire the Brooks Campus #1 site in Alberta. The company says closing is targeted on or before October 29, 2026, and the filing states the deal does not by itself create operating generation or contracted compute revenue.
Purchase price of $2.3 million in cash: $230,000 deposit already paid and held in trust, a further $230,000 due on signing, and about $1.84 million at closing
Closing targeted on or before October 29, 2026, conditional on a new gas supply agreement with Pivotal Energy Partners and written consent of the Eastern Irrigation District
Vendors' general representation claims subject to a $125,000 deductible and a $460,000 cap (20% of the purchase price); no indemnity holdback or escrow
Acquired assets include a surface lease, County of Newell Development Permit 2022055 and pipeline infrastructure; generating equipment is excluded and must be removed before closing
On September 29, 2026, Naoda Investments Limited transferred all ordinary shares of the sponsor, BEST SPAC I (Holdings) Corp., to A SPAC (Holdings) Group Corp., which now holds 100% of the sponsor and, through it, a stake representing approximately 80.0% of the company's outstanding ordinary shares. The filing states no changes were made to the company's directors or officers, though the sponsor's sole director changed.
Buyer A SPAC (Holdings) Group Corp. holds 100% of the sponsor, which directly holds 1,375,000 Class B ordinary shares and 277,000 Class A ordinary shares underlying private placement units.
The sponsor's stake represents approximately 80.0% of the company's issued and outstanding ordinary shares.
Yun Chen resigned as sole director of the sponsor; Claudius Tsang was appointed sole director and shares voting and investment discretion with Kam Chi Kin.
No changes were made to the directors or officers of the company itself.
On September 29, 2026, Tesla entered into three credit agreements totaling $30.0 billion: a $20.0 billion delayed draw term loan, an $8.0 billion five-year revolver and a $2.0 billion 364-day revolver. The company said no loans were outstanding under the facilities as of that date and that it does not currently plan to draw on them in 2026. The new agreements replaced an existing $5.0 billion revolving credit agreement that was terminated without early termination penalties.
Facilities total $30.0 billion: $20.0 billion term loan, $8.0 billion five-year revolver, $2.0 billion 364-day revolver
No loans were outstanding as of September 29, 2026; Tesla does not currently plan to draw on the facilities in 2026
Credit agreements require at least $5.0 billion of consolidated liquidity
Existing $5.0 billion revolving credit agreement with Citi, due January 20, 2028, was terminated with no borrowings and no early termination penalties
On September 25, 2026, Angel Oak Mortgage REIT and two subsidiaries extended their loan financing facility with lender Multinational Bank 1 through December 28, 2026, the facility had been set to expire on September 25. The interest rate pricing spread was reduced to a range of 1.20% to 2.10%, from 1.30% to 2.10%, which lowers the bottom of the borrowing cost range.
Facility extended to December 28, 2026, from an original expiry of September 25, 2026
Interest rate pricing spread reduced to 1.20% to 2.10%, from 1.30% to 2.10%
Extension was made under an agreement that contemplates rolling three-month renewals with Multinational Bank 1
Plains announced that Dean Liollio will become Executive Vice President and Chief Operating Officer of the general partners of PAA and PAGP effective October 2, 2026, succeeding Chris Chandler, who is resigning to pursue other interests. The filing says Chandler's departure is not due to any disagreement over company operations, policies or practices. The filing discloses Liollio's pay package, including a $625,000 base salary and a promotional phantom unit grant.
Dean Liollio, age 67, was Senior Vice President, Special Projects, from June 2024 before his appointment as EVP and COO effective October 2, 2026.
Liollio's annual base salary is $625,000, with a bonus target of 150% of base salary.
Liollio will receive a time-based promotional LTIP grant for 150,000 phantom units vesting in August 2029.
Chris Chandler gave notice on September 25, 2026 that he will resign effective October 2, 2026.
Harvard Ave Acquisition Corporation, a blank check company (SPAC) listed on Nasdaq as HAVA, signed a business combination agreement on September 25, 2026 with OAG International Ltd, a provider of pipeline construction and integrity services. Under the deal, HAVA and OAG would each become wholly-owned subsidiaries of a newly formed holding company, PubCo, and HAVA shareholders would receive PubCo ordinary shares. The deal is subject to shareholder and regulatory approvals, and the filing states there is no assurance it will be completed.
Total merger consideration is $300 million, based on OAG's valuation after an OAG restructuring
HAVA and OAG must use reasonable best efforts to identify $30 million of equity financing within nine months after the second closing
Closing requires HAVA and OAG shareholder approval, a minimum $10 million of trust account cash net of redemptions and transaction expenses, and Nasdaq listing approval for PubCo
PubCo ordinary shares are expected to be listed on Nasdaq after closing
NanoViricides, Inc. extended the employment agreements of its President, Dr. Anil Diwan, and its Chief Financial Officer, Meeta Vyas, both effective July 1, 2026. The filing sets Dr. Diwan's base salary at $400,000 through June 30, 2027, and grants him 10,204 shares of Series A Preferred Stock vesting quarterly through June 30, 2027. The extensions keep the company's two senior executives in place, with the terms disclosed in the filing.
Dr. Anil Diwan extended as President through June 30, 2027, at a base salary of $400,000
Diwan granted 10,204 Series A Preferred Shares, vesting quarterly from September 30, 2026 and fully by June 30, 2027
Diwan severance if terminated without cause: six months' salary; a $2 million term life policy is maintained for him
Meeta Vyas extended as CFO for one year through June 30, 2027; company reimburses up to 50% of health insurance costs, capped at $2,500 per month
Unitil Corporation entered a Note Purchase Agreement on September 24, 2026, selling $27 million of 5.42% notes due 2031 and $33 million of 5.79% notes due 2036, totaling $60 million. The company plans to use the proceeds to make capital contributions to its utility subsidiaries, refinance existing debt and for general corporate purposes, which adds long-term debt to its balance sheet.
Series 2026A: $27 million of 5.42% senior unsecured notes due September 24, 2031
Series 2026B: $33 million of 5.79% senior unsecured notes due September 24, 2036
Proceeds planned for capital contributions to utility subsidiaries, debt refinancing and general corporate purposes
Notes sold privately to institutional investors under Section 4(a)(2) and are not registered under the Securities Act
Plains All American Pipeline and Plains GP Holdings appointed Dean Liollio, a Plains senior vice president, as executive vice president and chief operating officer effective October 2, 2026. He replaces Chris Chandler, who is resigning from the company to pursue other interests, not because of any disagreement over operations, policies or practices.
Chris Chandler gave notice of his resignation on September 25, 2026, effective October 2, 2026.
Dean Liollio, age 67, was Senior Vice President, Special Projects, from June 2024 and previously led Plains Midstream Canada.
Liollio will receive a $625,000 annual base salary, a 150% bonus target and a promotional grant of 150,000 phantom units vesting in August 2029.
Canadian Pacific Kansas City's subsidiary Canadian Pacific Railway Company is issuing C$1.8 billion of notes in Canada across four maturities from 2030 to 2056, guaranteed by the parent. The company said net proceeds will be used primarily to refinance CPRC's outstanding indebtedness and for general corporate purposes, with closing expected October 6, 2026. The filing is a financing event that adds debt but states its purpose as refinancing existing borrowings.
Four notes totaling C$1.8 billion: C$500 million due 2030, C$550 million due 2033, C$300 million due 2037, C$450 million due 2056
Expected closing date is October 6, 2026, subject to customary closing conditions
Net proceeds to be used primarily to refinance CPRC's outstanding indebtedness and for general corporate purposes
Lexeo Therapeutics completed its merger with Mantle Therapeutics, under a merger agreement dated September 16, 2026. Mantle shareholders received $5.3 million in cash, subject to adjustments, and $3 million in Lexeo common stock, and the stock was issued without SEC registration. Additional contingent payments of $1 million in cash and up to $12 million in milestone payments may never become payable.
Upfront consideration: $5.3 million in cash, subject to certain adjustments, plus $3 million in Lexeo common stock
Lexeo common stock issued in the merger was not registered and relied on Section 4(a)(2) and/or Regulation D exemptions
Contingent payments: a one-time $1 million cash payment and up to $12 million in development and regulatory milestone payments over a 12-year term
Merger agreement dated September 16, 2026, among Lexeo, Mantle Therapeutics Inc., Magma Merger Sub Inc. and Shareholder Representative Services LLC
Apyx Medical announced on September 29, 2026 that a prospective clinical study of its Renuvion technology was published in Plastic and Reconstructive Surgery — Global Open. The filing contains no financial results, guidance, or changes to the company's business, and the study covered seven patients, with six completing the Day 180 visit.
Day 180 results (n=6) showed a 30% increase in elastin fiber density and a 34% reduction in inflammation versus untreated control tissue.
Seven patients undergoing lower rhytidectomy (facelift) were enrolled at two U.S. investigational sites; six completed the Day 180 visit.
The study was published in Plastic and Reconstructive Surgery — Global Open, and the press release is filed as Exhibit 99.1.
Stablecoin Development Corporation said on September 29, 2026 that it became aware of unusual trading activity in its common stock on the NYSE American. The company said it has made inquiries, is not aware of any material non-public information or pending transaction that could explain the trading, and has no material undisclosed business development to account for it.
Unusual trading in common stock (par value $0.01) on the NYSE American became known to the company on September 29, 2026.
The statement was made under Section 401(d) of the NYSE American Company Guide.
The company says it does not believe corrective actions are appropriate and is not aware of any pending transaction or material non-public information.
The filing includes no financial results, guidance, or dollar figures.
Avalanche Treasury Corporation completed a sale of 2,082,371.607744 AVAX tokens to Avalanche (BVI), Inc., a related foundation, on September 23, 2026, for aggregate gross proceeds of $15,000,000. The company said the tokens sold were its longest-dated locked AVAX holdings, which reduced its weighted average duration of locked AVAX to approximately 16.5 months, and that it expects to use the proceeds to reduce debt and for general corporate purposes.
Sold 2,082,371.607744 AVAX tokens to Avalanche (BVI), Inc. on September 23, 2026, in three tranches
Aggregate gross proceeds received were $15,000,000
Sold the longest-dated locked AVAX tokens, reducing weighted average duration of locked AVAX to about 16.5 months
Company expects to use proceeds to reduce debt and for general corporate purposes
Verizon's Board of Directors elected Charles Phillips, Co-Founder & Managing Partner of Recognize Partners LP, as a director effective September 25, 2026. He will receive the standard non-employee director compensation described in the company's April 6, 2026 proxy statement, and he has not yet been named to a Board committee.
Charles Phillips elected as director effective September 25, 2026
Phillips is Co-Founder & Managing Partner of Recognize Partners LP
Compensation follows the Non-Employee Director Compensation program in the April 6, 2026 proxy statement
Meridian Holdings disclosed a September 25, 2026 provisional measure signed by Brazil's President that bans operating, intermediating and advertising online betting and online casino services in Brazil and requires funds to be returned to bettors. The company says Brazil is an immaterial share of Group revenue and that its exposure is limited because it did not commit large marketing spending before licensing, but the filing gives no dollar figures for the affected business.
Brazil's President signed the Provisional Measure on September 25, 2026, prohibiting online betting and online casino operation, intermediation and advertising in Brazil.
The measure requires that funds be returned to bettors.
The company says Brazil is an immaterial share of Group revenue and does not quantify the exposure.
Subsidiary Meridian Gaming Brasil SPE Ltda's authorization runs until December 31, 2029, and the measure must be approved by the Brazilian Congress within 120 days of adoption to remain in effect.
Apimeds Pharmaceuticals' subsidiary MindWave Innovations disclosed two 12-month technology agreements: one with AQUAE Holdings for the AQUAEChain platform (announced September 24, 2026) and one with Flash Sports & Media Holdings (FLZH) for the FlashChain network (announced September 29, 2026). Both agreements pay MindWave partly in tokens or shares, and the parties have not disclosed the aggregate dollar value, so the filing gives no figure for the effect on Apimeds' finances.
AQUAEChain agreement with AQUAE Holdings Pte. Ltd. was effective September 14, 2026; MindWave to receive a 20% allocation of ALCI Credits issued and outstanding, calculated quarterly.
FlashChain agreement with Flash Sports & Media Holdings, Inc. (FLZH) runs 12 months; MindWave to receive FLZH common shares and a 20% allocation of FLASH TOKEN total supply.
Parties have not publicly disclosed the aggregate dollar value of the consideration for the FlashChain agreement.
FlashChain agreement provides for an annual maintenance fee equal to 50% of the applicable contract consideration, as specified in the agreement.
Advanced Flower Capital entered into Amendment Number Ten to its Loan and Security Agreement on September 25, 2026. The amendment sets conditions on the advance rate for credit facilities in the borrowing base, revises the loan fee structure, and temporarily raises aggregate revolver commitments to $130 million, with quarterly increases of up to $50 million during set periods. Outside those periods, commitments revert to $80 million, so shareholders should note the facility's capacity is time-limited.
Amendment dated September 25, 2026, to the Loan and Security Agreement originally dated April 29, 2022
Base aggregate revolver commitments of $80 million; temporary increase brings total to up to $130 million during Quarterly Temporary Increase Periods
Quarterly Temporary Increase Amount of up to $50 million; commitments automatically revert to $80 million when the period ends
Full text filed as Exhibit 10.9J; filing signed by CFO and Treasurer Brandon Hetzel on September 29, 2026
Dynex Capital closed its underwritten public offering of 4,800,000 shares of 9.375% Series D Fixed-Rate Cumulative Redeemable Preferred Stock on September 29, 2026, with underwriters holding an option for 720,000 more shares. The Articles of Amendment creating the series took effect the same day, adding a senior class of preferred stock that pays $2.34375 per share annually on a $25.00 liquidation preference.
4,800,000 Series D preferred shares sold in the underwritten offering, plus a 30-day option for up to 720,000 additional shares
Dividends of 9.375% of the $25.00 liquidation preference, or $2.34375 per share per year, payable quarterly starting January 15, 2027
Series D shares cannot be redeemed before October 15, 2031, except in certain tax-related cases or upon a Change of Control
Series C preferred stock (4,460,000 shares outstanding) ranks on parity with the new Series D shares; the Series D shares rank junior to all of the company's debt
InPoint Commercial Real Estate Income, Inc. said its board authorized a cash distribution on each class of common stock, with a gross amount of $0.0260 per share. Net amounts after stockholder servicing fees range from $0.0163 to $0.0260 per share depending on class, and are payable on or about October 19, 2026 to holders of record as of September 30, 2026.
Gross distribution of $0.0260 per share for Classes A, D, I, P and T common stock
Net distribution of $0.0232 for Class D and $0.0163 for Class T after servicing fees; Classes A, I and P have no servicing fee listed
Record date September 30, 2026; payment on or about October 19, 2026, in cash
Concentrix reported fiscal third-quarter 2026 revenue of $2,453.7 million, down 1.2% from a year earlier, and a GAAP net loss of $988.1 million, or $(16.24) per diluted share, driven by a non-cash $1,050.0 million goodwill impairment. Excluding non-GAAP items, diluted EPS rose 5.0% to $2.92, and the company raised its quarterly dividend to $0.37 per share. The company guided fourth-quarter non-GAAP diluted EPS to $2.86 to $2.98 and full-year 2026 non-GAAP diluted EPS to $10.97 to $11.09.
Revenue was $2,453.7 million, down 1.2% as reported and down 0.5% in constant currency
GAAP operating loss of $(910.3) million and net loss of $(988.1) million include a $1,050.0 million goodwill impairment
Non-GAAP operating income rose 1.3% to $309.0 million and non-GAAP net income rose 1.8% to $186.5 million
Quarterly dividend raised to $0.37 from $0.36, payable November 3, 2026; no shares repurchased in the quarter, with $396.6 million authorization remaining
Graf Global Corp. said its board elected on September 27, 2026 to extend the deadline to complete a business combination by one month, from September 27 to October 27, 2026. The company's governing documents allow up to three one-month extensions, which would push the deadline as far as December 27, 2026.
Original deadline: September 27, 2026; new deadline: October 27, 2026
Board can extend up to three times in one-month increments, to as late as December 27, 2026
Filing does not state a target company or deal terms
Modular Medical said directors Jeffrey Goldberg and Carmen Volkart will not stand for re-election when their current terms expire at the fiscal 2027 annual meeting of shareholders. Both said the decisions were not due to any disagreement with the company on operations, policies or practices.
Jeffrey Goldberg gave notice on September 25, 2026 that he will not seek re-election.
Carmen Volkart notified the nominating and governance committee chair on September 24, 2026 of her decision.
Both terms expire at the fiscal 2027 annual meeting of shareholders.
The filing states neither departure resulted from a disagreement with the company.
Dyne Therapeutics reported additional one-year clinical data from the Phase 1/2 ACHIEVE trial of z-basivarsen in myotonic dystrophy type 1 (DM1), based on a pooled group of 25 to 26 participants from several dose cohorts. The company also disclosed a mean baseline hand-opening time of 8.3 seconds for the 71 participants in the registrational expansion cohort, whose topline data are still expected in the first quarter of 2027. The results are not from a single registrational-dose group, and the filing says only 8 of 26 pooled participants received the registrational dose for the full 12 months.
Pooled group's hand myotonia (vHOT) improved 3.2 seconds from baseline at 6 months, versus a 0.4-second increase in the placebo group (N=14).
At 12 months, the pooled group improved 1.2 seconds on the 5xSTS test and 4.8% on the QMT total score relative to baseline.
Only 8 of 26 pooled participants received the 6.8 mg/kg registrational dose for the full 12 months analyzed.
Topline data from the 71-participant registrational expansion cohort are planned for the first quarter of 2027.
Century Casinos agreed on September 24, 2026 to sell the racing and gaming operations of Century Mile in Edmonton and Century Downs in Calgary to Highfield Investment Group for about $16.4 million, subject to a working capital adjustment at closing. The removal of these properties from the company's VICI master lease will reduce its annual rent by about $7.5 million, and the company intends to use the proceeds to reduce indebtedness.
Purchase price is about $16.4 million (CAD 23.2 million), subject to working capital adjustment at closing.
Annual rent under the VICI master lease will fall by about $7.5 million once the properties are removed.
Closing is subject to gaming regulatory approvals and is expected in the fourth quarter of 2026 or the first quarter of 2027.
Either party may terminate if closing has not occurred within 365 days of the agreement date.
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