3,560 material Form 8-K filings that 2,489 companies we cover made with the SEC in October 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). 2,508 of them were written later, when past filings were added: a selection, not every 8-K of the month (see the note below).
Clean Energy Technologies, Inc. (CETY) issued a $500,000 convertible promissory note to Falcon Venture Limited on October 18, 2026, for a purchase price of $500,000 that the company had already received. The note matures October 18, 2027, carries 8% annual interest, and can convert into common stock at 85% of the lowest traded price over the prior ten trading days, which could dilute existing shareholders.
Note principal and purchase price: $500,000, issued October 18, 2026 to Falcon Venture Limited
Maturity October 18, 2027; interest 8% per annum; convertible six months after issuance
Conversion price equals 85% of the lowest traded price in the ten trading days before conversion
Conversion capped at 9.99% beneficial ownership and at 2,432,004 shares absent Nasdaq Rule 5635(d) shareholder approval
On October 14, 2026, LanzaTech, LanzaJet and other LanzaJet stockholders and lenders completed recapitalization and deleveraging transactions for LanzaJet and its subsidiary LanzaJet Freedom Pines Fuels, which operates a facility in Soperton, Georgia. LanzaJet issued $10 million of senior secured notes to Future Solution Investments LLC, an affiliate of a large existing LanzaTech stockholder, and LanzaTech received a warrant that would give it 66.67% of LanzaJet's fully diluted shares upon exercise, assuming $20 million of notes is funded. The filing says the warrant issuance has no immediate effect on LanzaTech's current LanzaJet ownership, and LanzaTech also issued warrants on its own common stock to an affiliate of that noteholder.
LanzaJet issued $10 million of senior secured notes on October 14, 2026, with up to $25 million permitted in total and an additional $10 million committed by December 1, 2026
Notes bear interest at the prime rate (7.00% floor) plus 2.25%, with 7.00% paid in cash for the first eleven payments, and mature October 14, 2029
LanzaTech's Class Y warrant would give it 66.67% of LanzaJet's fully diluted shares upon exercise, assuming $20 million of notes is funded
LanzaTech issued warrants to purchase its common stock to LanzaTech Global SPV, LLC, the designee of Future Solution Investments LLC
Surrozen completed the second and final tranche of its March 2025 private placement on October 20, 2026, raising approximately $95.1 million in gross proceeds before placement agent fees and other expenses. The company says the proceeds extend its expected cash runway into 2029, but the issuance adds shares, pre-funded warrants and warrants that dilute existing shareholders.
Issued 5,741,605 common shares at $11.60 per share, plus pre-funded warrants for 2,456,500 shares and Series E warrants for 4,099,052 shares with an exercise price of $11.54
Closing was triggered by FDA clearance of the Investigational New Drug application for SZN-8141 announced October 2, 2026
Company expects cash runway into 2029, including funding for the DUET Phase 1b/2a study of SZN-8141 and initial Phase 1b development of SZN-8143
Company agreed to file a resale registration statement within 30 calendar days of the closing
On October 15, 2026, Treasure Global entered into subscription agreements with three related persons, including Acting CEO Teo Chong Chan and CFO Pusparajan a/l Vadiveloo, to buy $1.2 million of common stock in two $200,000 tranches each. The price per share is the greater of $0.45 and the prior trading day's closing price before each tranche completes, so the share count will depend on the final pricing and would increase the number of outstanding shares.
Agreements dated October 15, 2026 with Chan Meng Chun, Pusparajan a/l Vadiveloo and Teo Chong Chan, each buying $400,000 in two $200,000 tranches
Price per share is the greater of $0.45 and the closing price on the trading day before each completion date
If all tranches are priced at $0.45, the company may issue about 2,666,666 shares, or about 888,888 per investor
Shares are restricted securities sold under Regulation S, subject to a six-month distribution compliance period
Netcapital Inc. closed the first tranche of a securities purchase agreement with Hinterland Partners LLC on October 14, 2026, paying $402,743.00 for a note with an outstanding principal of $447,492.22. The note is convertible into common stock at a discount to recent trading prices and is secured by Netcapital's pledge of 3,209,685 KingsCrowd, Inc. Class A shares, so shareholders may face dilution and the company's assets are pledged if it defaults.
First tranche funded October 14, 2026 at a purchase price of $402,743.00; outstanding principal became $447,492.22
Conversion price is 85% of the lowest trading price in the seven trading days before conversion; 64,387 Commitment Shares issued for the first tranche
Second tranche of $175,000.00 due within five business days after conditions are met, including filing the delinquent 10-K for fiscal year ended April 30, 2026 and 10-Q for quarter ended July 31, 2026, within 90 days
Issuance cap of 1,603,685 shares unless shareholder approval is obtained; special meeting required within 180 calendar days
Indaptus Therapeutics said it completed a private placement on October 16, 2026, after receiving the full purchase price from each purchaser under the purchase agreement, as amended. The company will issue an aggregate of 20,338,974 shares to the purchasers, which adds to the number of shares outstanding. The filing does not state the total proceeds or price per share.
Private placement closed on October 16, 2026, with full purchase price received from each purchaser.
Company will issue an aggregate of 20,338,974 shares to the purchasers.
The filing does not disclose the total proceeds or the price per share.
On October 20, 2026, Southern Indiana Gas and Electric Company (SIGECO), a wholly owned CenterPoint Energy subsidiary, entered a Bond Purchase Agreement with institutional investors to sell first mortgage bonds in three tranches. The first $130 million of 5.99% bonds was scheduled for issuance on October 20, 2026, with $80 million of 6.15% bonds due in December 2026 and $50 million of 6.33% bonds due in February 2027. For shareholders, this adds $260 million of secured long-term debt at SIGECO, with proceeds earmarked for general corporate purposes, and the filing includes no earnings or guidance figures.
$130 million of 5.99% First Mortgage Bonds, Series 2026A, due October 15, 2031, issued October 20, 2026
$80 million of 6.15% First Mortgage Bonds, Series 2026B, due December 15, 2033, scheduled for December 15, 2026
$50 million of 6.33% First Mortgage Bonds, Series 2027A, due February 15, 2037, scheduled for February 25, 2027
Proceeds fund general corporate purposes, including repaying short-term debt, refinancing long-term debt and capital expenditures; bonds are secured ratably with SIGECO's existing first mortgage bonds
JPMorgan Chase & Co. closed public offerings on October 20, 2026 of three series of notes with total principal of about $7 billion. The notes were registered under an existing Form S-3 shelf, and the filing attaches a legal opinion on the notes' legality, which is routine for debt issuance.
Floating Rate Notes due 2030: $350 million aggregate principal
2030 Fixed-to-Floating Rate Notes: $2.9 billion aggregate principal
2037 Fixed-to-Floating Rate Notes: $3.75 billion aggregate principal
Weatherford issued a notice to redeem all of its 8.625% Senior Notes due 2030, totaling $236 million in principal, at 100% of principal plus accrued interest. The redemption date is October 30, 2026, and the company expects to fund it with cash on hand. The filing is a debt repayment and does not report any change in earnings or guidance.
Notes to be redeemed: 8.625% Senior Notes due 2030, aggregate principal $236 million
Redemption price: 100% of principal plus accrued and unpaid interest
Redemption date: October 30, 2026; funding expected from cash on hand
State Street Corporation issued $750 million of Fixed-to-Floating Rate Senior Notes due 2037 in a public offering on October 20, 2026, and expects net proceeds of about $745.6 million. Its subsidiary, State Street Bank and Trust Company, also issued $500 million of Floating Rate Senior Notes due 2028 and $750 million of 5.147% Senior Notes due 2028, with expected net proceeds of about $1.246 billion. The filing describes debt financing and does not report earnings or guidance.
State Street Corporation: $750 million Fixed-to-Floating Rate Senior Notes due 2037, expected net proceeds of about $745.6 million
State Street Bank and Trust Company: $500 million Floating Rate Senior Notes due 2028 and $750 million 5.147% Senior Notes due 2028
Combined expected net proceeds from the bank notes of about $1.246 billion
Underwriting agreement and purchase agreement both dated October 15, 2026
Upstart Network, a wholly owned subsidiary of Upstart Holdings, entered into a $200 million senior secured revolving credit facility with MUFG Bank on October 16, 2026. The revolver will help fund the establishment and initial capitalization of Upstart Bank, N.A., and must be repaid from certain affiliate loan sales to that bank, which remain subject to regulatory approvals.
Revolver of up to $200 million, agreed October 16, 2026, with MUFG Bank as administrative and collateral agent
Borrowings priced at Term SOFR plus an initial 3.00% margin, with a leverage-based grid of 2.75% to 3.25%
Covenants require minimum liquidity of at least $100.0 million and a maximum secured gross leverage ratio of 2.50 to 1.00
Revolver matures at the earliest of 364 days after closing, 45 days after Upstart Bank's initial capitalization, or full repayment
First Tracks Biotherapeutics closed a private placement of 6,106,870 shares of its common stock on October 19, 2026, and entered into a registration rights agreement with the investors. The agreement requires the company to file or submit a resale registration statement with the SEC no later than 30 days after the closing date, which would allow those investors to resell the shares. The filing does not disclose the sale price or proceeds, so the financial effect on shareholders cannot be assessed from this document.
Closing date of the private placement: October 19, 2026
Aggregate of 6,106,870 common shares issued, par value $0.001 per share
Registration statement for investor resale due no later than 30 days after the closing date
Registration Rights Agreement filed as Exhibit 10.1, with some portions redacted and schedules omitted
Pluri agreed on October 19, 2026 to sell 833,334 common shares at $1.50 each to Chutzpah Holdings LP, a partnership beneficially owned by chairman Alexandre Weinstein, the company's largest existing shareholder. The buyer also receives a warrant to purchase up to 833,334 shares at $1.65, and the $1,250,000 it paid in June 2026 as an advance is applied in full to the price, so no further payment is due at closing. The securities are unregistered, so they cannot be offered or sold in the United States without registration or an exemption.
Shares priced at $1.50 each; warrant covers up to 833,334 shares at a $1.65 exercise price
$1,250,000 advance paid June 16, 2026 is applied in full; no additional payment due at closing
Warrant becomes exercisable on the six-month anniversary of issue and expires on the fifth anniversary of the initial exercise date
Sold without SEC registration under Section 4(a)(2) and Regulation S; agreement signed October 19, 2026
ArrowMark Financial Corp. entered into a Second Amendment to its credit agreement with Texas Capital Bank as administrative agent on October 7, 2026. The amendment raises the maximum revolving credit amount, extends the facility's maturity to the third anniversary of the amendment date, and expands the borrowing base to include additional eligible collateral. The company says it intends to use borrowings to invest in banking-related investments and other securities and to support working capital needs.
Maximum revolving credit increased to $102,000,000 from $70,000,000
Facility maturity extended to the third anniversary of the Second Amendment date
Borrowing base expanded to include additional eligible collateral
Proceeds intended for banking-related investments, other securities and working capital
Subsidiary GSD Cortlandt, LLC and Gyrodyne, as guarantor, entered into a letter agreement with SIG CRE 2023 Venture LLC to extend the maturity of a $4.95 million loan secured by GSD Cortlandt's property at 1985 Crompond Road, Cortlandt Manor, New York. The loan now matures October 10, 2031, with the interest rate reset to 7.28% per annum, and GSD Cortlandt made a $431,411.38 principal paydown as a condition of the extension. After the paydown and the scheduled payment, the outstanding principal balance is $4,041,482.21, and Gyrodyne reaffirmed its limited guaranty.
Maturity extended five years to October 10, 2031; agreement dated October 19, 2026, effective October 10, 2026
Interest rate reset to 7.28% per annum under the existing note terms
GSD Cortlandt paid a principal paydown of $431,411.38 as a condition of the extension
Outstanding principal balance after the paydown and scheduled payment: $4,041,482.21
Onfolio Holdings subsidiary Eastern Standard, LLC and the company, as guarantor, entered into a forbearance agreement on October 12, 2026 over missed payments on an $850,000 promissory note tied to the Eastern Standard acquisition. The Payee agreed to hold off on remedies only if a $450,000 payment is made by October 31, 2026 and later monthly payments are made on time, and failure to do so lets the Payee enforce its rights against the Maker's assets and the company's guaranty.
Initial payment of $450,000 due on or before October 31, 2026
Monthly payments of $60,000 start December 1, 2026; final payment of $45,754.29 due July 1, 2027
Total scheduled payments of $915,754.29, including a $20,000 late charge; default interest continues to accrue and maturity is not extended
AlTi Global entered into an $85.0 million senior secured credit agreement on October 19, 2026, with Diameter Finance Administration LLC as administrative agent and collateral agent. The facility includes $60.0 million of term loan commitments, of which $32.0 million is delayed draw, and a $25.0 million revolving credit facility, and it matures on October 19, 2032. The filing signals new borrowing capacity and secured debt that shareholders will carry, but it does not state how much has been drawn.
Facility totals $85.0 million: $60.0 million in term loans (including $32.0 million delayed draw) and a $25.0 million revolver
Borrowings bear interest at Adjusted Term SOFR plus 5.25% or Base Rate plus 4.25%, at the borrower's election
Obligations are guaranteed by AlTi Global and certain subsidiaries and secured by substantially all assets of the credit parties
Matures October 19, 2032; delayed draw term loans available for up to 24 months after closing
Kimberly-Clark priced a $4.9 billion private offering of senior unsecured notes in five tranches, with closing expected on October 29, 2026. The proceeds, along with cash on hand and commercial paper borrowings, are intended to fund the cash consideration for its proposed acquisition of Kenvue, which is expected to close in the fourth quarter of 2026. If the acquisition does not close by the outside date, the notes must be redeemed at 101% of principal plus accrued interest.
Five tranches total $4.9 billion, with coupons from 5.100% (2028 notes) to 5.800% (2036 notes)
Largest tranche is $1.25 billion of 5.450% notes due 2031; smallest are $750 million each of 2028 and 2034 notes
Offering is not conditioned on the Kenvue acquisition, but a special mandatory redemption at 101% applies if the deal is not completed by five business days after the later of May 31, 2027 or an agreed later outside date
Closing of the offering is expected on or about October 29, 2026, subject to customary conditions
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.
Briefs marked “Written later” were written in November 2026 for filings that were by then more than three weeks old, so months before mid-October 2026 hold a selection: every material 8-K of the past year for the 100 largest companies we cover and the last 15 important 8-Ks of every other one. Briefs the number check holds back are not shown or counted. Also: the last 45 days, briefs by company, A–Z and the live SEC filings wire.