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).
Digital Brands Group received a notice of default on October 29, 2026 from the holder of its unsecured convertible note, which asserts the full note is immediately due at 120% of outstanding amounts. The holder says it will start legal proceedings unless it receives an acceptable extension proposal by the end of October 29, 2026, and the company disputes some of the assertions while evaluating its options.
Note principal is $3,529,412, issued July 23, 2026 under a Securities Purchase Agreement with Shakawe Capital LLC.
Holder cites a missed $1,000,000 partial payment due October 23, 2026 and a registration statement not filed by August 7, 2026.
Holder asserts the Mandatory Default Amount is 120% of outstanding principal, accrued interest and other amounts, with default interest of 20% per annum.
Company disputes certain assertions and says a material adverse effect on liquidity is possible if the note is accelerated or legal proceedings begin.
Oxford Industries amended its $325 million asset-based revolving credit agreement on October 29, 2026, extending the maturity from March 6, 2028 to October 29, 2031. The filing says effective interest rates are unchanged and the amendment adds flexibility for acquisitions, investments and restricted payments, which gives the company a longer runway for its borrowing base.
Maturity extended from March 6, 2028 to October 29, 2031
Facility size is $325 million; effective interest rates remain unchanged
SOFR credit spread adjustment removed from the interest rate calculation
Amendment adds flexibility for acquisition, investment and restricted payment conditions
On October 30, 2026, Essential Properties, L.P., a subsidiary of Essential Properties Realty Trust, issued $517.5 million of senior unsecured exchangeable notes, including $67.5 million from the full exercise of the initial purchasers' option. The notes mature on January 15, 2032, and are exchangeable into the company's common stock at an initial price of about $30.88 per share, with the issuer able to settle in cash, shares, or a combination. For shareholders, this adds significant debt and could lead to future share issuance if the notes are exchanged.
Aggregate principal of $517.5 million, including $67.5 million from the full exercise of the initial purchasers' option
4.375% annual interest, paid semi-annually on January 15 and July 15, beginning July 15, 2027; maturity January 15, 2032
Initial exchange rate of 32.3860 shares per $1,000 principal, or about $30.88 per share
Registration rights agreement requires a resale registration statement to become effective within 180 days
Porch Group and its affiliate Porch Reciprocal Exchange entered an agreement with StoneX Financial to sell shares of Porch common stock from time to time through an at-the-market program. The Reciprocal can sell up to 10 million shares it holds, and the company can issue up to 5 million new shares, which could add to the outstanding share count. Porch receives no proceeds from the Reciprocal's sales, and neither party is required to sell any shares.
Reciprocal may sell up to 10 million shares it currently holds, about 16.2 million shares total
Company may issue and sell up to 5 million new shares; proceeds go to Porch for general corporate purposes
Sales agent is paid a 1.5% cash commission on gross proceeds, plus certain expenses
Shares are offered under Form S-3 Registration No. 333-299730, with the agreement dated October 30, 2026
Rapport Therapeutics closed an underwritten offering of common stock and pre-funded warrants and a $172.5 million offering of 2.25% convertible senior notes due 2032 on October 30, 2026. The company estimates net proceeds of about $215.7 million from the stock offering and $166.8 million from the notes, which it plans to use mainly to fund clinical trials of RAP-219, and it expects these funds plus existing cash to support operations through the end of 2029. Shareholders face dilution from the new shares and the potential conversion of the notes, and the company now carries a new debt obligation.
Stock offering: 8,333,334 firm shares at $21.00 each, plus 1,428,571 option shares exercised in full on October 28, 2026, and pre-funded warrants for up to 1,190,476 shares
Estimated net proceeds of $215.7 million from the stock offering and $166.8 million from the notes
$172.5 million of 2.25% convertible senior notes due December 1, 2032, with an initial conversion price of about $26.7750 per share
Notes offering closed October 30, 2026; the company says proceeds will fund operations through the end of 2029
Xcel Energy entered into a new equity distribution agreement on October 30, 2026, allowing it to sell up to $6.0 billion of common stock through sales agents, including forward sale arrangements. The filing also terminated its prior at-the-market program dated May 1, 2026, while forward sale agreements from earlier programs remain outstanding, so shareholders should note the potential for additional shares to be issued.
Up to $6.0 billion aggregate gross sales price of common stock (par value $2.50 per share) under the new Equity Distribution Agreement dated October 30, 2026
Prior at-the-market program dated May 1, 2026 was terminated; about $448.6 million of shares remained unsold at termination
About $3.8 billion of shares remain subject to outstanding forward sale agreements from the prior program, and about $2.2 billion from an August 1, 2025 agreement
Xcel Energy will not initially receive proceeds from borrowed shares sold under forward agreements; proceeds are expected on future physical settlement
On October 29, 2026, Public Storage and its subsidiary PSOC agreed to sell $500 million of senior notes due November 15, 2036, through underwriters led by BofA Securities, BNP Paribas and Morgan Stanley. The company expects to use the net proceeds to repay commercial paper and to partly repay $650 million of PSOC's 1.500% notes due 2026 at maturity. The notes add new debt, and the offering is expected to close on November 6, 2026, subject to customary conditions.
$500 million senior notes due November 15, 2036, bearing interest at 5.600% a year, issued by PSOC and guaranteed by Public Storage
Notes issued at 98.293% of par value; interest paid semi-annually on May 15 and November 15, starting May 15, 2027
Proceeds to repay amounts under PSOC's $1.0 billion commercial paper program and partly repay $650 million of 1.500% notes due 2026
Procter & Gamble closed an underwritten public offering of four series of notes totaling $4.0 billion on October 30, 2026, issued under its existing Form S-3 shelf registration. The filing discloses only the offering terms and attached legal opinions, and does not state the use of proceeds.
$750 million of 5.125% notes due October 30, 2031, and $750 million of 5.300% notes due October 30, 2033
$1.25 billion of 5.450% notes due October 30, 2036, and $1.25 billion of 5.900% notes due October 30, 2056
Issued under Registration Statement on Form S-3 (Registration No. 333-299472)
Legal opinions from Travonte Warren and Fried, Frank, Harris, Shriver & Jacobson LLP are filed as exhibits
Enova International and certain subsidiaries amended their secured asset-backed revolving credit facility with Bank of Montreal as administrative agent through a Fourth Amendment dated October 30, 2026. The amendment increases the total commitment from $825 million to $900 million, giving the company $75 million more in committed borrowing capacity under the facility.
Total commitment under the revolving credit facility increases from $825 million to $900 million
Amendment dated October 30, 2026, is the Fourth Amendment to the Amended and Restated Credit Agreement
Bank of Montreal serves as administrative agent and collateral agent
Full agreement will be filed as an exhibit to the Form 10-K for the year ending December 31, 2026
Norwegian Cruise Line Holdings' subsidiary NCL Corporation signed two credit facility agreements on October 27, 2026, providing up to approximately $2.5 billion for each of two new cruise vessels, for total borrowing capacity of about $5 billion. The loans are backed by Italian state export credit agency SACE, which insures 100% of the loans subject to conditions, and the filing does not report any effect on the company's earnings or results.
Two facilities signed October 27, 2026, each up to approximately $2.5 billion, for Vessel 1 (delivery 2034) and Vessel 2 (delivery 2036)
Floating rate of six-month Term SOFR plus a 0.90% margin, with customary agency, structuring and commitment fees
Loans repaid in twenty-four equal semi-annual installments beginning six months after each ship's delivery; guaranteed by NCL Corporation
Facilities fund 80% of delivery payments under the shipbuilding contracts and are insured by SACE, subject to conditions
Albemarle entered a $1.5 billion unsecured revolving credit facility on October 29, 2026, with JPMorgan Chase Bank, N.A. as administrative agent, and terminated its 2022 credit agreement, which was scheduled to mature in October 2028. The company also adopted amended bylaws effective immediately, under which shareholders owning at least 20% of outstanding shares can request a special meeting.
$1.5 billion unsecured revolving credit facility, maturing October 29, 2031, with variable interest rates tied to a benchmark rate plus a margin based on credit ratings
Financial covenant requires a Consolidated Leverage Ratio of no more than 3.50:1.00 at each fiscal quarter end, with an optional 0.50:1.00 increase for four quarters after certain debt-financed acquisitions over $500 million
Existing 2022 credit agreement with Bank of America, N.A. as agent terminated October 29, 2026; it was scheduled to mature October 28, 2028
Bylaws amended and restated October 26, 2026 to let shareholders owning at least 20% of outstanding shares request a special meeting
Remitly Global entered into Amendment No. 2 to its credit agreement on October 26, 2026, increasing its secured revolving credit facility from $550 million to $1 billion and its letter of credit sub-facility from $200 million to $400 million. The company expects to use the facility mainly to support prefunding of customer flows in its global remittance business and for general corporate purposes.
Secured revolving credit facility increased from $550 million to $1 billion
Letter of credit sub-facility increased from $200 million to $400 million
Amendment dated October 26, 2026; JPMorgan Chase Bank, N.A. serves as agent
Proceeds expected to support prefunding of customer flows and general corporate purposes
Walker & Dunlop entered into Amendment No. 1 to its existing credit agreement with JPMorgan Chase Bank, N.A. as administrative agent, dated October 26, 2026. The amendment increases revolving credit commitments from $50 million to $150 million and letter of credit commitments from $25 million to $75 million, giving the company more borrowing capacity under its credit facility.
Revolving credit commitments increased from $50 million to $150 million
Letter of credit commitments increased from $25 million to $75 million
Amendment dated October 26, 2026, amends the Amended and Restated Credit Agreement dated March 14, 2025
JPMorgan Chase Bank, N.A. serves as administrative agent; some lenders have other financial relationships with the company
Prologis entered into a new Equity Distribution Agreement on October 30, 2026, allowing it to sell up to $5 billion of common stock through an at-the-market offering. The agreement replaces its existing at-the-market program dated May 5, 2020, and the shares will be sold under an effective shelf registration statement. The filing does not state any shares sold so far, and it creates a mechanism that could dilute existing shareholders depending on how much stock is issued.
Maximum aggregate offering price of up to $5,000,000,000 of common stock, par value $0.01 per share
Agreement dated October 30, 2026, with Prologis, L.P. as co-party and a group of sales agents and forward purchasers
Replaces the equity distribution agreement dated May 5, 2020
Shares sold under shelf registration Form S-3 (No. 333-289636), effective August 15, 2025
Mammoth Energy Services subsidiaries Cobra Aviation Services and Leopard Aviation signed a $58.0 million senior secured term loan agreement with Bank7 on October 28, 2026, to finance or reimburse aircraft acquisitions. No amounts were advanced at closing, and Term Loan B depends on further conditions, so the facility's effect on shareholders will depend on future borrowings and covenant compliance.
Facility splits into a $25.0 million Term Loan A and a $33.0 million Term Loan B; no amounts were advanced at closing.
Term Loan B becomes available only after Bank7 sells at least $10.0 million of participation interests and Term Loan A is fully advanced.
Interest is the greater of 6.25% or the Wall Street Journal prime rate plus 0.50%; loans mature October 26, 2030.
Mammoth guarantees the obligations; it must hold at least $25.0 million of unencumbered liquid assets at each fiscal quarter end, and Cobra must meet a 1.25 to 1.00 debt service coverage ratio starting December 31, 2026.
Repligen plans to issue $1.0 billion of 0.25% convertible senior notes due 2031, with about $541.4 million issued in exchange for $456.8 million of its 1.00% notes due 2028 and about $458.6 million sold for cash. The company says it will use about $120.0 million of the cash proceeds to repurchase common stock at $188.64 per share, and closing is expected on or about November 6, 2026. For shareholders, the deal refinances part of the 2028 notes and could lead to up to 5,301,100 new shares on conversion, while the related share repurchases could affect the stock price.
Exchange: about $456.8 million of 2028 notes swapped for about $541.4 million of new notes; the company receives no cash from this part.
Cash sale: about $458.6 million of new notes sold for cash, with about $120.0 million used to repurchase shares at $188.64.
Initial conversion price is about $226.37, a 20.0% premium to the October 29, 2026 last sale price; up to 5,301,100 shares could be issued on conversion.
Closing is expected on or about November 6, 2026; about $143.2 million of 2028 notes will remain outstanding.
Olenox Industries agreed on October 27, 2026 to terminate a May 29, 2025 stock purchase agreement that would have let it sell up to $100 million of common stock to an investor. The company sold no shares and received none of the commitment amount. Instead, it agreed to issue the investor 298,604 shares, which carry a price protection feature that could require additional shares if the stock trades below $0.80.
The Mutual Termination and Release Agreement, dated October 26, 2026 per the exhibit index and signed October 27, 2026 per the filing text, ended the ELOC Purchase Agreement and Registration Rights Agreement.
No shares were sold under the terminated agreement, and the company did not receive any of the $100 million commitment amount.
The company will issue 298,604 Termination Shares to the investor within 14 business days after the agreement's effective date.
On April 27, 2027, the company may need to issue additional shares if the 10-day VWAP before that date is below $0.80, so the Termination Shares are worth at least $258,440.
Main Street Capital Corporation closed a $500.0 million offering of 6.55% unsecured notes due January 15, 2030, on October 29, 2026, with net proceeds of approximately $493.0 million. The company plans to use the proceeds initially to repay outstanding indebtedness, including amounts under its credit facilities.
Principal amount of $500.0 million; net proceeds approximately $493.0 million after underwriting discounts and estimated expenses
Notes bear 6.55% annual interest, payable semiannually on January 15 and July 15, starting July 15, 2027
Notes mature January 15, 2030; company may redeem before December 15, 2029 at a make-whole price, and at 100% of principal afterward
Underwriter is RBC Capital Markets, LLC; trustee is The Bank of New York Mellon Trust Company, N.A.
ProKidney entered into an Open Market Sale Agreement with Jefferies LLC on October 29, 2026, allowing it to sell up to $200 million of Class A common stock from time to time through the agent. Sales depend on the effectiveness of a Form S-3 shelf registration filed the same day, and the company has no obligation to sell any shares, so future share issuance could dilute existing shareholders if sales occur.
Agreement with Jefferies LLC dated October 29, 2026, covers up to $200,000,000 in Class A common stock
Jefferies compensation is up to 3.0% of gross offering proceeds, plus reimbursement of specified expenses
Sales require the Form S-3 shelf registration filed October 29, 2026 to become effective; the company has no obligation to sell shares
Kimberly-Clark completed a $4.9 billion private offering of five tranches of senior unsecured notes due 2028 through 2036. The company says it will use the proceeds, with cash on hand and commercial paper borrowings, to pay the cash consideration for its proposed acquisition of Kenvue and related fees. If the Kenvue acquisition is not completed by the outside date, or the company says it will not pursue it, the notes must be redeemed at 101% of principal plus accrued interest.
Five tranches total $4.9 billion: $750 million due 2028 at 5.100%, $1.0 billion due 2029 at 5.300%, $1.25 billion due 2031 at 5.450%, $750 million due 2034 at 5.650%, and $1.15 billion due 2036 at 5.800%.
The remaining $3.9 billion of JPMorgan Chase bridge loan commitments, of the original $7.7 billion, was terminated on October 29, 2026, after the note sale closed.
Special mandatory redemption at 101% applies if the Kenvue acquisition is not completed within five business days after the later of May 31, 2027 or any later agreed outside date.
Meta Platforms closed an offering of 250,000,000 Series A depositary shares on October 29, 2026, each representing a 1/20th interest in a 6.50% Series A Mandatory Convertible Preferred Stock. The company also entered forward sale agreements covering 40,000,000 Class A common shares, under which it will receive no initial proceeds and will issue shares later at an adjustable forward price. The preferred terms bar common dividends and buybacks while preferred shares remain outstanding, subject to exceptions, which may limit capital returns to common shareholders.
250,000,000 Series A depositary shares offered; underwriters have an option for up to 37,500,000 more, exercisable within 30 days
Offering closed October 29, 2026; certificates of designations filed with Delaware October 28, 2026
Forward sale agreements cover 40,000,000 Class A common shares, with initial forward sale price of $622.91875 per share and settlement by November 19, 2027
While preferred shares are outstanding, no common dividends or distributions may be paid, subject to certain exceptions
Data I/O and its subsidiaries V-Tek and A&J Programming, which Data I/O acquired on October 20, 2026, signed a Loan and Security Agreement with Western Alliance Bank on October 26, 2026. The revolving facility allows borrowing of up to the lesser of $7.5 million and a borrowing base tied to eligible accounts and inventory, and it is secured by most of the Borrowers' assets. The agreement adds debt and covenant obligations that shareholders should note, including a $3.0 million minimum cash requirement.
Revolving facility of up to the lesser of $7.5 million and a borrowing base, usable only for working capital and general business needs; advances due October 26, 2028 unless repaid earlier
Interest at 1.00% above the Prime Rate, defined as the greater of 5.75% and the Wall Street Journal prime rate, paid monthly; non-refundable facility fee of $18,750 at closing and each anniversary
Borrowers are jointly and severally liable and secured by accounts, inventory, equipment, intellectual property and pledged subsidiary equity; minimum $3.0 million unrestricted cash and fixed charge coverage ratio of at least 1.25 to 1.00 r
OFA Group reduced the floor price on its Series A Convertible Preferred Shares from $2.00 to $0.20 per Class A Ordinary Share, which increases the number of shares issuable on conversion. The company also sold additional preferred shares to TriCore, Greentree and L&H under its Purchase Agreement, and the floor price change takes effect only after Nasdaq notification, a 15-day waiting period, share reservation and Cayman Islands approvals. Shareholders face a larger potential share count from these conversions, and TriCore is an affiliate controlled by CEO Li Hsien "Larry" Wong.
Floor price reduced from $2.00 to $0.20 per Class A Ordinary Share, with a further automatic reduction scheduled for December 29, 2026
L&H agreed to buy 300 Series A Preferred Shares for $270,000, with the shares to be issued after the Effective Time, which must occur by November 30, 2026
Sales under the Purchase Agreement: 262 shares to TriCore for $235,800 on July 30, 2026, and 111 shares to Greentree for $99,900 on August 3, 2026
Preferred shares convert at the lesser of the fixed conversion price and 90% of the lowest ten-day VWAP, subject to the Floor Price
CubeSmart and its operating partnership entered into a $300 million unsecured term loan with PNC Bank as administrative agent, fully funded at closing. Proceeds were used to repay amounts drawn under the company's unsecured revolving credit facility, which adds term debt maturing in January 2031 in place of revolver borrowings.
Term loan of $300 million dated October 26, 2026, matures January 10, 2031, with a one-time option to extend one year for an extension fee of 0.125%
Priced at 0.800% over daily simple SOFR, with no SOFR floor, based on credit ratings and leverage as of June 30, 2026
Lenders may provide additional term loans bringing total borrowings under the facility to up to $1.0 billion, but no lender is obligated to do so
Loan includes leverage and fixed charge coverage covenants; the company and operating partnership are jointly and severally obligated
Donaldson Company, Inc. entered into a Note Purchase Agreement on October 27, 2026, allowing it to issue up to $1.5 billion of senior unsecured notes in private placements. An initial $250 million series of notes, with maturities from 2032 to 2037 and fixed rates from 5.93% to 6.23%, is expected to be issued on January 12, 2027, subject to closing conditions.
Agreement permits up to $1,500,000,000 aggregate principal of senior unsecured notes in one or more series
Initial Series 2026-A notes total $250 million: $125 million at 5.93% due 2032, $75 million at 6.10% due 2034, $50 million at 6.23% due 2037
Notes expected to be issued January 12, 2027, subject to closing conditions
Agreement includes debt to EBITDA and priority debt covenants, and requires an offer to prepay notes upon a change in control
Cadiz Inc. agreed to sell 5,000,000 common shares at $4.20 per share to institutional investors in a registered direct offering, for an aggregate purchase price of about $21 million. The company expects net proceeds of about $20 million, which it plans to use for general corporate purposes and development of the Mojave Groundwater Bank Project, and its directors and officers agreed to a 90-day lock-up.
5,000,000 shares offered at $4.20 per share, for an aggregate purchase price of about $21 million
Expected net proceeds of about $20 million after placement agent fees and expenses
Offering expected to close on or about October 30, 2026, subject to customary closing conditions
Directors and officers agreed to a 90-day lock-up; Roth Capital Partners, LLC is the exclusive placement agent
United Rentals (North America) completed a $2.5 billion offering of senior notes due 2029, 2031 and 2036 on October 29, 2026, with net proceeds of approximately $2.476 billion. The company used the proceeds to repay in full the $975 million term loan facility and to reduce borrowings under its credit agreement, and the related liens and subsidiary guarantees were released. The filing describes a refinancing and debt structure change; it does not report earnings or guidance.
Notes total $2.5 billion: $700 million due 2029 at 5.550%, $800 million due 2031 at 5.750%, and $1.0 billion due 2036 at 6.200%
Net proceeds of approximately $2.476 billion after underwriting discounts, commissions and estimated fees
$975 million Term Loan Facility repaid in full on October 29, 2026; ABL Guarantor Release occurred the same day
Notes are senior unsecured obligations of United Rentals (North America), guaranteed by United Rentals, Inc.; Truist Bank is trustee
Lennar amended its unsecured revolving credit facility on October 26, 2026, raising aggregate lender commitments to $3.795 billion and extending most Class A commitments to November 2031. It also added $40 million to its term loan facility, which now totals $1.75 billion, giving the company more borrowing room for working capital, general corporate purposes and acquisitions.
Revolving credit facility potential borrowing capacity rose from $3.500 billion to $4.545 billion, including a $750 million accordion feature
Class A commitments of $3.545 billion extended from November 2029 to November 2031
Term loan facility outstanding increased from $1.71 billion to $1.75 billion, with terms maturing in May 2028 and an option to extend to May 2029
Alpine Income Property Trust (PINE) amended its credit agreement on October 28, 2026, raising its revolving credit facility from $250 million to $325 million and adding a new $100 million senior unsecured term loan maturing in 2030. The company says the added $175 million of capacity is intended to fund future acquisitions, and it moved $100 million of existing SOFR swaps to the new term loan, with an initial fixed rate of approximately 4.6%.
Revolving facility commitments increased from $250 million to $325 million under the Amendment dated October 28, 2026.
New $100 million senior unsecured term loan matures in 2030; the company reports an initial fixed rate of approximately 4.6%.
$50 million of swaps on the 2030 term loan mature in January 2027 and $50 million in March 2028.
Truist Bank, N.A. is administrative agent; Capital One and Associated Bank are new to the facility per the press release.
Rising Dragon Acquisition Corp. issued two unsecured promissory notes totaling $55,637.41 on October 15, 2026, one to SZG Limited and one to its sponsor, Aurora Beacon LLC. The proceeds were deposited in the trust account to extend the deadline to complete its initial business combination to November 15, 2026. The notes carry no interest and are payable at the business combination closing, and holders may convert them into private units at $10.00 per unit.
Notes issued October 15, 2026: $11,188.68 to SZG Limited and $44,448.73 to Aurora Beacon LLC, totaling $55,637.41
Proceeds deposited in the trust account to extend the business combination deadline to November 15, 2026
Notes bear no interest and are payable upon consummation of the initial business combination
Holders may convert notes into private units at $10.00 per unit on at least five business days' notice before closing
NextBoat's subsidiary Off The Hook Yacht Sales NC, LLC entered a $5.0 million revolving credit agreement with RLLT Capital, LLC, and the company guaranteed the obligations. Chairman Jason Ruegg and Ruegg Capital Group pledged 7,874,000 shares as security, and the filing says a default could lead to a sale of those shares and a change in control of the company.
Initial advance of $2.0 million funded October 22, 2026, at a fixed 12.99% per annum; advances are due October 22, 2027
Ruegg Capital Group and Jason Ruegg pledged 7,874,000 shares, about 31.3% of the 25,142,895 shares outstanding as of August 13, 2026; combined pledges total 41.3%
Lender may sell pledged shares after an event of default and a ten business day redemption period, which could result in a change in control
Lender to receive a warrant for 100,000 shares at $2.50 per share, pending NYSE American listing approval
Xerox Holdings and Xerox Corporation agreed with consenting holders to exchange about $174.0 million of 2028 notes, about 31.1% of that series, for new 10.250% first lien notes due 2030 and Holdings common stock. The companies expect the transaction to reduce overall debt principal by about $53 million and extend $121 million of debt maturing in 2028 to 2030, but it also adds new shares and a higher coupon than the 5.500% 2028 notes.
Exchange offer covers about $174.0 million of 2028 notes, or 31.1% of the outstanding series.
For each $1,000 of 2028 notes exchanged, holders receive $690 of new 10.250% first lien notes due 2030 and 3,872,062 shares of common stock in total, or an additional $60 principal of notes in limited circumstances.
Early exchange deadline is November 12, 2026; settlement is expected on or about November 13, 2026.
The companies expect the transaction to reduce overall debt principal by about $53 million and keep cash interest approximately neutral.
INmune Bio agreed to sell 3,000,000 shares at $1.50 each in a registered direct offering to a single investor, with gross proceeds expected to be about $4.5 million before placement agent fees and expenses. The company also issued unregistered warrants for up to 3,000,000 shares at $1.65 per share, so the deal adds potential dilution for existing shareholders. The company said it intends to use the net proceeds for working capital and general corporate purposes.
3,000,000 common shares sold at $1.50 per share, with gross proceeds of about $4.5 million expected before fees
Unregistered warrants for up to 3,000,000 shares at $1.65 per share, first exercisable April 27, 2027 and expiring April 27, 2032
Placement agent A.G.P./Alliance Global Partners receives a cash fee of 7.0% of gross proceeds
Closing expected on or about October 29, 2026, subject to customary conditions
New Era Energy & Digital agreed on October 28, 2026 to sell 23,272,727 common shares at $2.75 per share to accredited investors, for gross proceeds of about $64 million, with closing expected October 30, 2026. The company expects to use the net proceeds mainly to repay debt, including $36 million under its Macquarie term loan, and for working capital, and the new shares would raise shares outstanding from 117,291,542 to 140,564,269.
23,272,727 shares at $2.75 per share, for gross proceeds of about $64 million; closing expected October 30, 2026
Shares outstanding would rise from 117,291,542 to 140,564,269 after closing
Proceeds expected to repay debt, including $36 million under the Macquarie term loan, plus working capital and general corporate purposes
Northland Capital Markets is placement agent, receiving a 6% fee on gross proceeds; company must file a resale registration statement within 15 business days
Altimmune drew $10.0 million as Tranche Three of its $125.0 million Loan and Security Agreement with Hercules Capital after meeting certain clinical and financial milestones. The draw extends the amortization date and interest-only period to June 1, 2028, and adds a minimum cash requirement tied to the loan balance, which shareholders may want to weigh against the company's cash position.
Tranche Three draw of $10.0 million made October 27, 2026, under the loan agreement dated May 13, 2025, as amended November 5, 2025
Amortization date and interest-only period extended to June 1, 2028
Company must keep Qualified Cash at or above 60% of outstanding Term Loan Advances principal
A 1.0% Tranche Facility Charge was netted from funding; end-of-term charge is 6.25% of amounts funded
On October 23, 2026, Freedom Holding and its subsidiary FRHC-IF.SPC Ltd. agreed to issue up to $1.16 billion of five-year U.S. dollar bonds to Kokzhiyek Fund LP, paying 7.8% annual interest. The proceeds can be used only for seven specified projects and are released in stages, and the bonds are guaranteed by the company, a subsidiary and CEO Timur Turlov, so the deal adds a large, secured debt obligation for shareholders to weigh. The filing also says that if a coupon goes unpaid for 90 days, the fund may require the company to issue common stock.
Up to $1,160,000,000 in five-year U.S. dollar bonds at 7.8% per annum, payable semi-annually, to be listed on the Astana International Exchange
Proceeds are released project by project through an escrow account, with the availability period ending December 30, 2028
Bonds are guaranteed by Freedom Holding, Freedom Kazakhstan Ltd. and Mr. Timur Turlov, and secured by pledges including 100% of the equity of each Project Company
If a coupon is unpaid for 90 days, the fund may require share issuance priced at 85% of the 180-day volume-weighted average price; financial covenants begin with the fiscal year ending March 31, 2027
On October 28, 2026, JELD-WEN Holding announced that JELD-WEN, Inc. launched an exchange offer and consent solicitation for its $400,000,000 of 4.875% senior notes due 2027, offering new first lien senior secured notes due 2031 and up to $410.2 million of new money. The filing says the deal would remove substantially all restrictive covenants in the old notes and subordinate existing term loans to the new notes, and that the company's forward-looking statements cite risks including its ability to continue as a going concern if the transactions are not completed. For shareholders, the transaction reshapes the company's debt structure on terms that include a higher interest rate and reduced lender protections.
Early Exchange Time is 5:00 p.m. New York time on November 10, 2026; the offer expires November 27, 2026, unless extended.
Early exchange consideration is $1,000 of new notes per $1,000 of old notes for New Money Participants and $880 for all participants; non-participants in the new money offer receive $930.
New notes bear interest at 10.500% per year payable in cash, or 11.500% per year under an alternative structure with at least 9.000% payable in cash.
About 94.5% of old notes and about 72.2% of term loans are held by parties to the commitment letter that supports the transactions.
HIVE's subsidiary BUZZ Alpha Cloud entered into an approximately $129 million Loan and Security Agreement with an institutional lender to buy NVIDIA GB200 GPUs for a previously announced sovereign AI customer contract with Cohere. The loan is debt secured by the GPUs, carries a fixed 9.0% rate over three years, and issues no common shares, so existing shareholders are not diluted by it.
Facility of approximately $129 million at a fixed 9.0% annual rate over a three-year term, with principal and interest amortizing
Proceeds fund a GB200 NVL72 GPU cluster, described as a $165 million purchase, for the Cohere contract announced June 18, 2026
The company describes the loan as about 80% loan-to-cost; BUZZ HPC gives only a limited recourse guarantee and pledges its equity in the borrower
Delivery of the GB200 GPUs is expected toward the end of Q4 2026
Actuate Therapeutics closed an underwritten public offering on October 28, 2026, selling 30,985,900 shares of common stock and warrants for up to 15,492,950 shares, with Newbridge Securities Corporation as sole book-running manager. Net proceeds were approximately $9.96 million, which the company intends to use for working capital and general corporate purposes. The new shares and warrants increase the number of shares outstanding and could dilute existing shareholders.
Offering priced at $0.71 per set of two shares and one Common Warrant, before underwriting discounts and commissions
Common Warrants exercisable at $0.45 per share, immediately upon issuance, expiring five years after issuance
Net proceeds of approximately $9.96 million; the press release had projected gross proceeds of $11.0 million
Underwriter has a 45-day option to buy up to 4,647,885 additional shares and 2,323,942 additional warrant shares
SANUWAVE Health amended its September 25, 2025 credit agreement with JPMorgan Chase Bank, N.A. as administrative agent. Lenders waived any default from the company's fixed charge coverage ratio for the twelve months ending September 30, 2026, which was below the level the agreement requires. The amendment also requires lender written consent for certain acquisitions and equity repurchases and lowers two basket limits, so shareholders face tighter restrictions on the company's financial flexibility.
Lenders waived any default or event of default tied to the fixed charge coverage ratio for the twelve-month period ending September 30, 2026, which was below the required level
Written lender consent is now required for Permitted Acquisitions or Restricted Payments used to repurchase outstanding equity, subject to exceptions in the amendment
Permitted other secured indebtedness and permitted subsidiary investments were each lowered from $500,000 to $250,000
The company agreed to pay a $5,000 amendment fee; the amendment is dated October 28, 2026 and filed as Exhibit 10.1
CBRE Group and its subsidiary CBRE Services entered an underwriting agreement on October 27, 2026, for the sale of $1 billion in senior notes in two tranches: $500 million of 5.650% notes due 2032 and $500 million of 5.900% notes due 2037. The closing is expected November 5, 2026. The company plans to use the proceeds for general corporate purposes, including repaying commercial paper borrowings and funding its acquisition of Onnec Group Limited, which adds new debt to the balance sheet.
$500 million of 5.650% senior notes due 2032 and $500 million of 5.900% senior notes due 2037
Underwriting agreement dated October 27, 2026; closing expected November 5, 2026
Proceeds for general corporate purposes, including commercial paper repayment and funding the Onnec Group Limited acquisition
GridAI Technologies disclosed that on October 22, 2026, it advanced an additional $1.5 million to Pronghorn Resources, LLC, and Pronghorn issued a Third Amended and Restated Secured Convertible Note in the principal amount of $5 million. The note matures on the earlier of December 31, 2026 or a Change of Control Transaction, and the company may convert part of the balance into a 10% stake in Pronghorn's membership interests after a payment Event of Default.
October 22, 2026: fourth advance of $1.5 million to Pronghorn Resources, LLC
Third A&R Note principal of $5,000,000, maturing on the earlier of December 31, 2026 or a Change of Control Transaction
Interest of 7% per year, payable in cash, accrues after maturity; upon a payment Event of Default, the company may convert into 10% of Pronghorn's fully diluted capitalization
Note is secured by Pronghorn's assets under the Security Agreement, as amended by the Third Amendment dated October 22, 2026
Bank of New York Mellon filed documents establishing and issuing a new Series O Noncumulative Perpetual Preferred Stock, with a liquidation preference of $100,000 per share. The filing also covers an underwriting agreement dated October 19, 2026 for a public offering of 1,250,000 depositary shares, each representing a 1/100th interest in a Series O preferred share. The new terms restrict common dividends and buybacks if preferred dividends are not declared and paid for the last preceding dividend period.
Certificate of Designations filed in Delaware on October 27, 2026, effective upon filing
Underwriting agreement dated October 19, 2026 covers 1,250,000 depositary shares
Series O preferred liquidation preference is $100,000 per share, par value $0.01
Common dividends and repurchases are restricted if Series O preferred dividends are not declared and paid
On October 28, 2026, Liberty Capital's subsidiary GCI, LLC entered Amendment No. 3 to its credit agreement, adding a $270 million senior secured term A loan maturing October 28, 2031. GCI used the loan proceeds, together with revolver borrowings, to redeem all of the approximately $451 million of its 4.750% Senior Notes due 2028, which extended certain revolver and term loan maturities to 2030 and 2031. The new debt is secured by substantially all assets of GCI and its subsidiary guarantors.
$270 million Incremental Term A-3 Loans mature October 28, 2031, with a current SOFR margin of 2.50% (range 2.50% to 3.25%).
Proceeds and revolver borrowings funded the October 28, 2026 redemption of all approximately $451 million of 4.750% Senior Notes due 2028.
On October 16, 2026, the revolving facility rose $30 million to $480 million; revolver maturity extends to March 25, 2030 and Term A loan maturity to March 25, 2031.
Obligations are secured by substantially all assets of GCI and the subsidiary guarantors, and by equity interests in GCI Holdings, LLC.
New Jersey Resources entered into a third amendment to its credit agreement with PNC Bank, National Association, as administrative agent, on October 27, 2026. The amendment increases the senior unsecured revolving commitments from $575 million to $650 million and extends the maturity to October 27, 2031, and a separate NJNG amendment extends that subsidiary's $250 million facility to the same date.
NJR revolving credit commitments increase from $575,000,000 to $650,000,000.
NJR facility maturity extended to October 27, 2031.
NJNG facility maturity extended from August 7, 2029 to October 27, 2031; commitments remain at $250,000,000.
Amendments dated October 27, 2026, filed as Exhibits 10.1 and 10.2.
OGE Energy Corp. filed a prospectus supplement for an at-the-market equity offering program allowing it to sell common stock with an aggregate sales price of up to $750 million, at times it determines. The company is not obligated to sell any shares, and actual sales will depend on market conditions and its funding decisions, so the program may dilute existing shareholders if used.
Aggregate sales price of up to $750,000,000 of common stock may be offered and sold from time to time.
Shares will be offered under an automatic shelf registration on Form S-3 (No. 333-279061) and a prospectus supplement dated October 28, 2026.
Company may use forward sale agreements with Forward Purchasers; it expects to receive cash at settlement but may cash settle or net share settle instead.
Some affiliates of the agents are lenders under the company's credit facilities and may receive a share of any repayment funded by offering proceeds.
On October 22, 2026, GridAI Technologies agreed to sell pre-funded warrants and common warrants, each covering up to 462,365 shares of common stock, for gross proceeds of approximately $2.15 million, and issued them on October 26, 2026 in a private placement. The filing says the warrants could increase the number of shares outstanding if exercised, which matters to shareholders because it can dilute existing holdings, though the company will receive cash proceeds now.
Each pre-funded warrant plus one common warrant was priced at a combined US$4.65.
Pre-funded warrants have an exercise price of $0.0001 per share and no expiration date.
Common warrants have an exercise price of US$4.525 per share and expire five years after the earlier of the registration statement's effective date or the date the shares can be resold under Rule 144.
The company plans to use net proceeds for general corporate purposes, which may include acquisitions, debt repayment and working capital.
Wintergreen Acquisition Corp. issued a $184,635 non-interest-bearing promissory note to its sponsor, MACRO DREAM Holdings Limited, to fund a deposit into the trust account and extend its deadline to complete a business combination from October 31, 2026 to November 30, 2026. The note is forgiven if no business combination closes, and the sponsor may convert it into units at $10.00 per unit upon a business combination, which dilutes shareholders if exercised.
Sponsor note principal: $184,635, issued October 25, 2026, unsecured and non-interest-bearing
Business combination deadline extended from October 31, 2026 to November 30, 2026
Note convertible into units at $10.00 per unit upon consummation of a business combination; the sponsor waived trust account claims on the note
Company continues to pursue its business combination with KIKA Technology Inc. under a Merger Agreement dated November 17, 2025
One Stop Systems entered an equity distribution agreement with Piper Sandler & Co. under which it may sell up to $50 million of common stock from time to time through the sales agent. The company is not obligated to sell any shares, and sales would dilute existing shareholders if they occur.
Agreement dated October 28, 2026, with Piper Sandler & Co. as sales agent
Up to $50 million aggregate offering price of common stock; sales are not required
Sales agent commission of 3.0% of gross sales price, plus certain counsel expenses reimbursed by the company
Shares offered under a Form S-3 shelf registration declared effective September 2, 2026
Genasys said it repaid in full the unsecured term loan from Maran Partners Fund, LP, with the final payment of principal and accrued interest made on October 23, 2026. The company says it now has no remaining obligations under that loan and can focus loan servicing on its secured term loan, where it made its first monthly amortization payment on October 1, 2026.
Original borrowing of $4.3 million from Maran Partners on June 9, 2026
Loan amended September 14, 2026, with a partial repayment at that time
Final payment of remaining principal and accrued interest made October 23, 2026
CFO Cassandra Monteon said the company expects to repay the secured term loan on schedule
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