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).
Box, Inc. said Omer Yuhjtman will join as Vice President, Finance and Chief Accounting Officer on October 19, 2026, and take over as principal accounting officer from Eli Berkovitch, who is resigning effective October 23, 2026. Mr. Yuhjtman's offer letter sets a $330,000 base salary, a bonus of up to 35% of base salary, and restricted stock units covering 80,000 Class A shares.
Omer Yuhjtman starts October 19, 2026 as Vice President, Finance and Chief Accounting Officer
Eli Berkovitch resigns effective October 23, 2026, as previously disclosed in a September 25, 2026 8-K
Offer terms: $330,000 base salary, discretionary bonus of up to 35% of base salary, RSUs covering 80,000 shares vesting over four years
Werner Enterprises director Jack A. Holmes resigned from the board and from its Compensation and Governance Committees, effective October 5, 2026. The company said he is leaving to accept an executive role at another transportation company and that the resignation was amicable, with no disagreement over operations, policies, or practices.
Jack A. Holmes gave notice of resignation on October 5, 2026, effective the same day
He also leaves the Compensation and Governance Committees of the Board
Stated reason: an executive leadership position at another transportation company, to avoid potential operational or governance conflicts
The filing states the resignation was not the result of any disagreement with the company, board, or management
Blaize Holdings said preliminary third-quarter 2026 revenue is about $0.5 million, earned from one European hardware customer in August, and revised full-year 2026 revenue guidance to $32.0 million to $36.0 million. The filing also discloses a DOJ investigation and SEC inquiry, a class action filed September 17, 2026, and an agreed extension of a $13.3 million NeoTensr receivable, which shareholders should weigh alongside the revenue outlook.
Preliminary Q3 2026 revenue of approximately $0.5 million, subject to quarter-end closing procedures that are not complete.
Full-year 2026 revenue guidance revised to $32.0 million to $36.0 million; the filing does not state the prior guidance range.
NeoTensr paid $0.2 million on September 30, 2026 toward a $13.3 million receivable that was due September 24, 2026; payment terms were extended to the fourth quarter of 2026.
DOJ subpoenas and SEC inquiries received in July and August 2026; a class action was filed September 17, 2026 in the U.S. District Court for the Central District of California.
Tianci International, Inc. organized Roshing Future Pte. Ltd. in Singapore on September 30, 2026, as a wholly-owned subsidiary of its Seychelles unit, Tianci Group Holdings Limited. The company said it plans to use the new entity to expand its mineral trading business in Asia. The filing discloses no financial terms, capital amounts or revenue figures for the subsidiary.
Roshing Future Pte. Ltd. was organized on September 30, 2026, in Singapore.
It is held through Tianci Group Holdings Limited (Seychelles), a wholly-owned subsidiary of the Company.
The company intends to use the entity to expand its mineral trading business in Asia.
The filing gives no investment amount, revenue projection or financial impact.
Teads Holding Co. entered into a four-year, $125.0 million non-recourse accounts receivable financing facility on September 30, 2026, with Sound Point Agency LLC as administrative agent. Proceeds will fund part of the purchase price of receivables acquired from certain Teads subsidiaries and general corporate purposes. The facility carries interest at a 2.50% floor plus 5.15% per annum and requires a 25.0% minimum utilization, and Teads guarantees the performance of the originators and master servicer.
Facility size: $125.0 million, term of four years, scheduled to terminate September 30, 2030
Pricing: benchmark rate with a 2.50% floor, plus 5.15% per annum; 0.5% unused commitment fee
Teads Holding Co. provided a Performance Guaranty in favor of Sound Point Agency LLC
Credit agreement may terminate early if more than $35.0 million of existing 2030 senior secured notes remain outstanding 90 days before maturity and liquidity is insufficient
Corteva completed the separation of its seed operating segment into an independent public company, Vylor Inc., through a pro rata share distribution effective October 1, 2026. Vylor common stock began regular-way trading on the New York Stock Exchange under the symbol VYLR that day, and Corteva entered several agreements with Vylor governing the split, including tax, employee, transition services, and intellectual property terms.
Distribution record date was September 24, 2026; Vylor shares trade on the NYSE as VYLR from October 1, 2026
Separation and Distribution Agreement dated September 29, 2026; Tax Matters, Employee Matters, Reverse Transition Services, Intellectual Property Matters, and Global Master Seed Treatment Supply agreements dated October 1, 2026
Certain schedules omitted under Item 601(a)(5) of Regulation S-K; the filing does not give financial figures for the spin-off
Reliance Global Group said it completed the sale of substantially all assets of its Altruis Benefit Consulting subsidiary, a Michigan-based health insurance agency, for an $8 million cash purchase price plus an earnout of up to $1 million over three years. The company said the proceeds strengthen its balance sheet and will be redeployed into its AI platform, RELI Exchange, and other growth initiatives, and the filing does not quantify the effect of the sale on revenue or earnings.
Cash purchase price of $8 million; about $7.5 million received, including full payment of the buyer's $3.1 million seller note on September 30, 2026
$461,729 held by the buyer as indemnity and working capital holdbacks
Earnout of up to $1 million over three years, based on annual revenue growth of the acquired business
Sale closed September 23, 2026, following the September 11, 2026 sale of Southwestern Montana Insurance Center
Firy Inc. agreed to sell its entire stake in Exit Games GmbH, about 10.5% of Exit Games' outstanding share capital, back to Exit Games for $55.0 million in cash. The transaction was completed on October 2, 2026, and Firy ceased to be a shareholder. Firy bought the stake for $50 million in July 2021, so the filing describes the sale as a cash return of approximately 1.1x the original investment.
Sale price: $55.0 million in cash, paid to Firy in full at closing on October 2, 2026
Original purchase price: $50 million in July 2021, under the former name Skillz Inc.
Firy ceased to be a shareholder of Exit Games; the 8-K states no revenue or profit effect
UWM Holdings Corporation began its previously announced rights offering on October 5, 2026, seeking up to $400 million. Each holder of record as of October 2, 2026 receives one right to buy 0.57 Class A shares at the greater of $2.00 or 85% of the average trading price over ten days, and the offering expires November 12, 2026. The filing notes the stock closed at $1.26 on the record date, below the $2.00 minimum, and that the rights will not trade on the NYSE unless that changes.
Offering up to $400 million; each right buys 0.57 Class A shares at the greater of $2.00 or 85% of the 10-day VWAP
Record date October 2, 2026; rights expire 5:00 p.m. Eastern Time on November 12, 2026
Class A closing price was $1.26 on the record date, below the $2.00 minimum subscription price; rights are not eligible to trade on the NYSE while this continues
Backstop: Oaktree-affiliated funds may buy unsubscribed amounts, and SFS Group and CEO Mat Ishbia are obligated to fund the remainder so gross proceeds reach at least $400 million
On September 30, 2026, RenX Enterprises agreed to cancel $1,446,774.32 of debt owed to James D. Burnham, a current Director of Growth & M&A and former director, in exchange for 1,441 shares of Series D Convertible Preferred Stock and a warrant. The Series D Preferred carries a 150% liquidation preference and can convert into up to 960,666 common shares at the floor price, so the deal removes debt but adds potential dilution and a senior claim for shareholders.
Debt of $1,446,774.32 under a June 2, 2025 promissory note was cancelled in exchange for 1,441 preferred shares and a warrant.
Preferred converts at an initial $2.895 per share into 497,754 common shares; the warrant covers 124,438 common shares at $2.895 with a five-year term.
Full conversion at the $1.50 floor price could issue up to 960,666 common shares, subject to stockholder approval where Nasdaq rules require it.
Preferred dividends accrue at 8% per year, rising to 9% if not paid in cash; the Certificate of Designation was filed October 2, 2026.
Chief Financial Officer Brian LaRose resigned effective October 5, 2026, and the board appointed Paul Kosturos, a Managing Director at Alvarez & Marsal, as Interim CFO and principal financial officer. The company's press release says it has removed more than $50 million of SG&A year to date and has identified at least an additional $30 million of savings opportunities, while exiting several dozen locations with closures expected by year-end.
Brian LaRose resigned as CFO effective October 5, 2026; Paul Kosturos, age 61, was appointed Interim CFO the same day.
Kosturos has worked at Alvarez & Marsal since 2009 and was previously Vice President and Corporate Controller for JDS Uniphase.
The company has removed more than $50 million of SG&A year to date and has identified at least an additional $30 million of savings opportunities.
The company has begun exiting several dozen locations, with closures expected to be completed by year-end; it also retained ICR for investor relations.
Comtech Telecommunications appointed Christopher D. Maloney as an independent director effective October 1, 2026, bringing the Board to seven directors. The appointment satisfies an obligation under a June 14, 2026 director agreement with Magnetar Financial LLC, representing the Investors, and the company says it supports its focus on public safety ahead of the anticipated sale of most of its Satellite & Space Communications segment.
Christopher D. Maloney appointed independent director, effective October 1, 2026; Board to have seven directors
Appointment satisfies obligation under director agreement dated June 14, 2026 with Magnetar Financial LLC, as representative of the Investors
Maloney will serve on the Nominating and Governance Committee and the Strategic Review Committee
Maloney founded TriTech Software Systems in 1993 and led its sale to Bain Capital in 2018
On September 29, 2026, Boost Run's compensation committee approved time-based restricted stock unit (RSU) grants to CFO Erik Guckel, COO Harilaos Georgakopoulos and CTO Daniel Gormley-Rahn under its 2026 Omnibus Incentive Plan. The board also approved a one-time $1,000,000 cash recognition award to Georgakopoulos, who is also a director. The awards are material compensation arrangements that will dilute existing shareholders as the RSUs vest and settle, and they tie executive pay to continued service through 2029.
Guckel received 2,890,000 RSUs with a grant-date fair value of approximately $48,118,500; 40% vest May 15, 2027, and the rest in eight quarterly installments through June 15, 2029.
Gormley-Rahn received 1,400,000 RSUs valued at approximately $23,310,000, vesting in nine quarterly installments from May 15, 2027 through June 15, 2029.
Georgakopoulos received 300,000 RSUs valued at approximately $4,995,000, vesting in annual installments on September 29, 2027, 2028 and 2029.
The grant-date value is based on a closing share price of $16.65; Georgakopoulos's $1,000,000 cash award is payable in installments of $500,000 (October 15, 2026), $300,000 (January 15, 2027) and $200,000 (April 15, 2027).
Houlihan Lokey disclosed that director Todd J. Carter resigned from its board on October 2, 2026, effective immediately. The filing states the resignation was not due to any disagreement with the company on its operations, policies or practices.
Todd J. Carter resigned from the board of directors on October 2, 2026, effective immediately
The company states the resignation was not the result of any disagreement on operations, policies or practices
The 8-K was signed by Prabha S. Bhandari, Chief Legal Officer and Secretary, on October 5, 2026
Aviat Networks disclosed that its subsidiary, Aviat Networks (India) Ltd., signed an intellectual property license agreement with Dixon Electro Appliances Private Ltd. on September 30, 2026. Under the deal, Dixon will manufacture and sell approved WTM 4000 microwave radios to select Indian telecommunications operators, while Aviat keeps its intellectual property and continues to provide software and services. The filing gives no financial terms, so its effect on shareholders' results cannot be measured from the document.
Agreement dated September 30, 2026, between Aviat Networks (India) Ltd. and Dixon Electro Appliances Private Ltd. (DEAPL)
Dixon may manufacture and sell approved WTM 4000 family products to select Indian telecommunications operators
Aviat retains its intellectual property and continues to provide software and services
Aviat estimates Indian microwave market demand at approximately 250,000 links over the next four years; the filing states no revenue or profit figures for the agreement
Clean Harbors completed its acquisitions of EnviroServe and ES&H for a combined purchase price of $775 million, funded through available cash and a $600 million senior notes offering. The company said the two businesses are expected to generate combined annual revenues of about $340 million and post-synergy Adjusted EBITDA of about $87 million, a multiple of 8.9 times Adjusted EBITDA.
Clean Harbors issued $600.0 million of 6.250% senior notes due September 30, 2034, on October 1, 2026
$470 million of the note proceeds financed the EnviroServe purchase; the remainder is to repay revolver borrowings used for ES&H
ES&H acquisition closed September 18, 2026; EnviroServe acquisition closed October 2, 2026
Combined expected annual revenue of about $340 million and post-synergy Adjusted EBITDA of about $87 million
Equillium said it received ethics committee approval and clearance from Australia's Therapeutic Goods Administration under the Clinical Trial Notification scheme for a Phase 1 trial of EQ504. The company expects to begin dosing healthy participants by early November 2026, moving the drug candidate closer to clinical data.
Approvals: Human Research Ethics Committee approval and TGA clearance in Australia for the EQ504 Phase 1 trial
Timing: Company expects to begin dosing healthy participants by early November 2026
Design: Randomized, double-blinded, placebo-controlled, single-center study with three parts, including a 10-day multiple ascending dose portion and a food effect cohort
Fathom Holdings and Neighborhood Intelligence terminated their merger agreement, announced June 16, 2026, and neither company owes a termination fee. In the same filing, Fathom amended its senior secured convertible notes to cut the conversion price from $4.25 to $0.65 per share, raise the interest rate to 18% per annum, and extend the maturity date to November 1, 2026. The lower conversion price allows more shares to be issued on conversion, and the higher interest rate raises Fathom's borrowing costs.
Termination Agreement with NXH dated October 5, 2026 ends the June 16, 2026 Merger Agreement; neither party owes the Termination Fee.
Note conversion price changed from $4.25 to $0.65 per share; share issuance under the notes is capped at 19.99% of common stock outstanding as of October 1, 2026.
Maturity extended from October 1, 2026 to November 1, 2026; interest rate increased to 18% per annum from October 1, 2026.
Chairman Scott Flanders is a Holder of one note; the amendment was approved by a majority of independent, disinterested directors.
Kustom Entertainment's 1-for-10 reverse stock split and a proportional cut in authorized common shares took effect October 1, 2026, with the stock trading on a split-adjusted basis on Nasdaq. The company said the split is meant to lift its share price above the Nasdaq $1.00 minimum bid price for continued listing. At its October 5, 2026 annual meeting, stockholders approved all eleven proposals, including share issuances tied to a proposed acquisition from TFL, LLC.
Outstanding common shares fell from 6,506,860 to 650,686 after the split, subject to rounding of fractional shares; new CUSIP is 25382T705.
Authorized common shares were reduced from 13,333,333 to 1,333,334.
At the October 5, 2026 annual meeting, 3,419,508 shares were represented, about 52.55% of shares outstanding on the August 7, 2026 record date.
Stockholders approved raising authorized shares from 23,333,333 to 1,200,000,000 and issuing shares tied to the Unit Purchase Agreement dated August 31, 2026 with TFL, LLC.
On September 29, 2026, subsidiary NRx Defense Systems entered a prime contract with DARPA to conduct the SPARC-TMS clinical trial, which pairs robotic transcranial magnetic stimulation with the investigational drug NRX-101 for treatment-resistant depression. The contract is valued at approximately $11.2 million, with about $6.7 million initially obligated, and the remainder depends on appropriations and DARPA's exercise of funding options.
Aggregate contract value of approximately $11.2 million; approximately $6.7 million initially obligated by DARPA.
18-month performance period, with payment tied to achievement and acceptance of specified milestones.
Either party may terminate under certain circumstances, including if the program is determined unlikely to achieve its objectives.
Full contract terms to be filed as an exhibit to the Form 10-Q for the quarter ending September 30, 2026.
Barnwell Industries' board approved terminating its employee pension plan, effective on or about November 30, 2026, with benefits to be paid through annuity purchases. As of September 30, 2026, plan assets of about $12.8 million exceeded the estimated termination liability of $7.3 million and a related supplemental retirement obligation of about $1.8 million by about $3.7 million, before costs and taxes. The company expects any remaining surplus to revert to it in December 2026, but says the amount and timing are not assured, so shareholders may see a benefit only if the surplus is realized.
Board approved plan termination on September 30, 2026, effective on or about November 30, 2026.
As of September 30, 2026: plan assets about $12.8 million; estimated termination liability $7.3 million; supplemental retirement plan obligation about $1.8 million.
Estimated surplus of about $3.7 million before administrative and transaction costs, excise and other taxes, and any participant benefit increase.
Company anticipates reversion in December 2026; estimates are preliminary and may change materially.
Corteva, Inc. completed the separation of its seed operating segment into an independent public company, Vylor Inc., effective 12:00 a.m. New York time on October 1, 2026, through a pro rata distribution of Vylor common stock to Corteva shareholders of record on September 24, 2026. Vylor's common stock began regular-way trading on the New York Stock Exchange under the symbol VYLR on October 1, 2026, and Corteva has no remaining ownership interest in the company.
Distribution record date was September 24, 2026; Vylor common stock began trading on the NYSE as VYLR on October 1, 2026.
Separation and Distribution Agreement dated September 29, 2026, among Corteva, Vylor and EIDP, Inc.
Agreements dated October 1, 2026 include a Tax Matters Agreement, Employee Matters Agreement, Transition Services Agreement, Intellectual Property Matters Agreement and Global Master Seed Treatment Supply Agreement.
Amended and restated certificate of incorporation and bylaws took effect October 1, 2026; the filing does not report financial results.
Stagwell Inc. disclosed that director Bradley J. Gross notified the Board on October 2, 2026, that he is resigning effective October 16, 2026. The filing states the resignation is not the result of any disagreement with the Company on its operations, policies or practices.
Bradley J. Gross notified the Board on October 2, 2026 of his resignation
Resignation takes effect October 16, 2026
Company states there was no disagreement on operations, policies or practices
Home Bancorp, Inc. said it will release its earnings for the quarter ended September 30, 2026, after the close of business on October 19, 2026, and will hold a conference call on October 20, 2026 at 10:30 a.m. CDT. The filing is a scheduling notice and contains no financial results, so shareholders cannot yet assess the quarter's performance from it.
Third-quarter 2026 earnings release planned after the close on Monday, October 19, 2026
Conference call set for Tuesday, October 20, 2026 at 10:30 a.m. CDT with CEO John W. Bordelon, President Darren E. Guidry and CFO David T. Kirkley
Earnings release and investor presentation to be posted at home24bank.investorroom.com
Trinity Capital Inc. closed the sale of $350 million of 7.500% unsecured notes due January 15, 2032, with net proceeds of about $342.61 million. The company says it plans to use the proceeds to repay secured debt under its KeyBank credit agreement.
Notes: $350 million aggregate principal, 7.500% annual interest paid semi-annually from January 15, 2027
Maturity January 15, 2032; redeemable before December 15, 2031 at par plus a make-whole premium
Net proceeds to the company about $342.61 million; transaction closed October 5, 2026
Proceeds intended to repay secured indebtedness under the KeyBank, National Association credit agreement
The Sponsor of the Grayscale Avalanche Staking ETF (GAVA) signed an agreement on September 29, 2026 with Anchorage Digital Bank N.A. so that Anchorage can hold a portion of the Trust's AVAX alongside Coinbase, which remains the primary custodian. The filing does not state how much AVAX will move to Anchorage, and it notes that shareholders cannot be assured the custodian's insurance will cover losses.
Agreement dated September 29, 2026 under the Sixth Amendment to the Master Custody Service Agreement with Anchorage Digital Bank N.A.
Coinbase Custody Trust Company remains the Trust's primary custodian; the Sponsor has not determined the amount of AVAX to move to Anchorage.
Anchorage is required to carry commercial crime insurance or a fidelity bond of at least $100 million in the aggregate, though the Sponsor cannot assure coverage will be adequate.
The Sponsor, on behalf of the Grayscale Sui Staking ETF, entered into a Sixth Amendment on September 29, 2026 to the Master Custody Service Agreement with Anchorage Digital Bank N.A., making the Trust a party to the agreement. Coinbase Custody Trust Company remains the Trust's primary custodian, and the Sponsor has not yet decided how much SUI will move to Anchorage Digital.
Sixth Amendment dated September 29, 2026 to the Master Custody Service Agreement originally dated August 8, 2025
Coinbase Custody Trust Company, LLC remains the primary custodian; the Sponsor has not determined the amount of SUI to move to Anchorage Digital
Anchorage Digital must maintain insurance including commercial crime coverage or a fidelity bond with limits of not less than $100 million in the aggregate; the filing says shareholders cannot be assured coverage will be adequate
The Sponsor, on behalf of the Grayscale Chainlink Trust ETF, entered into a custody agreement with Anchorage Digital Bank N.A. on September 29, 2026, under which Anchorage Digital will hold a portion of the Trust's LINK alongside its existing primary custodian, Coinbase. The Sponsor has not yet determined how much LINK will move to Anchorage Digital, and the filing states that Coinbase remains the primary custodian.
Agreement dated September 29, 2026 is a Sixth Amendment to a Master Custody Service Agreement dated August 8, 2025
Coinbase Custody Trust Company remains the Trust's primary custodian; the total amount moving to Anchorage Digital has not been determined
Anchorage Digital must maintain insurance, including commercial crime coverage or a fidelity bond, with limits of not less than $100 million in the aggregate
Advantage Sales & Marketing, a subsidiary of Advantage Solutions, entered a transition agreement with Dean General, who moved from Chief Industry Development Officer to a non-executive strategic advisor role effective October 1, 2026. His employment ends on a transition date no later than December 1, 2027, and his salary is reduced to $110,000. The filing is a senior officer departure with defined severance and change-in-control payment terms, but it does not report any change to company financial results.
Effective date of the transition agreement is October 1, 2026; planned separation date is December 1, 2027.
Salary reduced to $110,000 while serving as strategic advisor.
Severance of $600,000 payable over 18 months, plus up to 18 months of company-paid COBRA coverage, if terminated before a change in control.
Lump sum change-in-control bonus of up to $765,810.47, less amounts paid during the transition period.
Seven Hills Realty Trust (SEVN) reported it closed two first mortgage loans totaling $98.0 million and received $68.0 million from two loan repayments, reducing office exposure to about 13% of its portfolio as of September 30, 2026. One repayment, a Dallas office loan, was settled at a $1.5 million discount to its $44.2 million balance, which the company said was well below its $6.3 million CECL reserve.
Two new first mortgage loans totaling $98.0 million: $68.0 million in Chattanooga, Tennessee and $30.0 million in Charlotte, North Carolina
Dallas office loan repaid at about 97% of its $44.2 million balance, a $1.5 million discount; the company said it was well below the $6.3 million CECL reserve as of June 30, 2026
Three loans in diligence totaling $121.7 million expected to close in the fourth quarter of 2026, subject to closing conditions
Third quarter 2026 earnings conference call scheduled for October 28, 2026 at 11:00 a.m. Eastern Time
Proficient Auto Logistics (NASDAQ: PAL) said it will host a conference call on November 12, 2026 to discuss results for the three months ended September 30, 2026, with a press release on those results expected at about 4:00 p.m. EST that day. The company also said its President and COO and its CFO will attend the Stephens Annual Investment Conference on November 18, 2026. The filing contains no financial results, so it gives shareholders a reporting date rather than performance data.
Earnings release expected at approximately 4:00 p.m. EST on November 12, 2026, covering the quarter ended September 30, 2026
Investor conference call set for 5:00 p.m. EST on November 12, 2026, with registration and listen-only webcast links provided
Amy Rice (President and COO) and Brad Wright (CFO) to attend the Stephens Annual Investment Conference on November 18, 2026
On September 29, 2026, the Fund's manager signed a Sixth Amendment with Anchorage Digital Bank N.A., making the Fund a party to a custody agreement under which Anchorage Digital will hold a portion of the Fund's Fund Components. Coinbase Custody Trust Company remains the primary custodian, and the manager has not yet decided how much will move to Anchorage Digital, so shareholders' exposure to custody arrangements changes but the filing does not state an effect on the Fund's value.
Agreement dated September 29, 2026; Anchorage Digital custody agreement dated as of August 8, 2025, as amended
Coinbase Custody Trust Company, LLC remains the Fund's primary custodian
Anchorage Digital is required to maintain commercial crime insurance or a fidelity bond with limits of not less than $100 million in the aggregate
The manager has not determined the total amount of Fund Components to be moved to Anchorage Digital
The Sponsor amended participant agreements with Macquarie Capital (USA) and Virtu Americas to allow in-kind creations and redemptions of Shares, and the Trust added Anchorage Digital Bank as an additional custodian for a portion of its DOGE holdings. The filing says Baskets will not yet be created or redeemed in-kind because regulatory approval has not been obtained, and that Coinbase remains the primary custodian.
Participant agreements with Macquarie Capital (USA) Inc. and Virtu Americas LLC were amended to permit in-kind creations and redemptions.
The Anchorage Digital custody amendment was signed September 29, 2026; the Sponsor has not determined how much DOGE will move to Anchorage Digital.
Anchorage Digital must maintain commercial crime insurance or a fidelity bond with limits of not less than $100 million in the aggregate, though the Sponsor cannot assure that coverage will be adequate.
A Basket is 10,000 Shares, and in-kind orders await In-Kind Regulatory Approval from NYSE Arca.
TEN Holdings, Inc. said its Chief Financial Officer, Virgilio D. Torres, stepped down effective immediately on September 30, 2026, so he could focus on his role as Chief Executive Officer. The Board appointed Ian Lawson, a Managing Director at Everest Advisors LLC, as interim CFO and principal financial and accounting officer, under a consulting agreement with Everest. The filing says the change was not due to any disagreement with the company.
Virgilio D. Torres stepped down as CFO, principal financial officer and principal accounting officer, effective immediately, on September 30, 2026
Ian Lawson, age 59, appointed Interim CFO effective September 30, 2026; he is a California-licensed CPA
Everest Advisors LLC consulting agreement pays Everest $4,000 per month; terminable by either party on 30 days written notice
On September 29, 2026, the Sponsor on behalf of Grayscale XRP Trust ETF entered into an amendment to a custody agreement with Anchorage Digital Bank N.A., which will hold a portion of the Trust's XRP while Coinbase Custody remains the primary custodian. The filing also discloses amended participant agreements with Macquarie Capital (USA) Inc. and Virtu Americas LLC that allow in-kind creations and redemptions, though the exhibit states in-kind orders are not yet available pending regulatory approval.
September 29, 2026: Sponsor entered the Sixth Amendment to the Master Custody Service Agreement dated August 8, 2025, with Anchorage Digital Bank N.A.
Anchorage Digital will custody a portion of the Trust's XRP; Coinbase Custody Trust Company remains primary custodian; the amount to be moved has not been determined.
Participant agreements amended with Macquarie Capital (USA) Inc. and Virtu Americas LLC to permit in-kind creations and redemptions; exhibit says in-kind orders await In-Kind Regulatory Approval.
Anchorage must maintain crime insurance or a fidelity bond of at least $100 million in the aggregate; the filing says shareholders cannot be assured coverage will be adequate.
OS Therapies appointed Frank Knuettel II as chief financial officer and Kerry Clem as chief commercial officer, both effective September 29, 2026. Christopher P. Acevedo ceased serving as CFO and will continue to provide services in a consulting capacity. The company's accompanying October 1, 2026 press release also said most outstanding accounts payable were delayed to the second quarter of 2027, which it said gives time to align cash flow needs with anticipated cash inflows.
Knuettel, 60, becomes CFO with a base salary of $300,000 per year, rising to $360,000 after a material transaction, and an initial grant of options on 750,000 shares and 250,000 RSUs.
Clem, 57, becomes CCO with a base salary of $300,000 per year and options on 700,000 shares plus 200,000 RSUs, subject to board approval.
Acevedo ceased serving as CFO in connection with Knuettel's appointment and will continue as a consultant.
The press release said the company received over $3 million in VAT refunds to date and that most outstanding accounts payable were delayed to the second quarter of 2027.
The Zcash ETF's sponsor, Grayscale Investments Sponsors, LLC, signed an agreement on September 29, 2026 under which Anchorage Digital Bank N.A. will hold part of the trust's ZEC alongside Coinbase Custody, which remains primary custodian. The filing says the sponsor has not yet decided how much ZEC will move to Anchorage, so the effect on shareholders depends on that undisclosed amount.
Agreement dated September 29, 2026 is the Sixth Amendment to a Master Custody Service Agreement dated August 8, 2025
Coinbase Custody Trust Company, LLC remains the primary custodian; the sponsor has not determined how much ZEC will move to Anchorage Digital
Anchorage Digital must carry insurance including commercial crime coverage or a fidelity bond of at least $100 million in aggregate; the filing says shareholders cannot be assured coverage will cover losses
Trust fees paid to Anchorage Digital are a Sponsor-paid Expense
USANA Health Sciences amended its $75 million revolving credit facility on September 30, 2026, with Bank of America as administrative agent, and the facility matures June 27, 2030. The amendment sets a minimum trailing four-quarter Consolidated EBITDA covenant of $100 million starting with the quarter ending October 3, 2026, which drops to $70 million when revolving exposure is $50 million or less, and raises the annual general asset sale basket from $500,000 to $2.5 million.
Revolving credit facility of $75 million, maturing June 27, 2030, with an option to increase by more than $200 million on request
Minimum Consolidated EBITDA covenant of $100 million, reduced to $70 million when lender revolving exposure is $50 million or less
Annual general asset sale basket raised from $500,000 to $2.5 million
New permission for USANA Australia Pty, Ltd to sell Sydney, Australia real property; sale and leaseback transactions remain generally prohibited
Vitesse Energy disclosed that director Gary D. Reaves resigned from its Board of Directors, effective September 30, 2026. The company said the resignation was not due to any disagreement over its operations, policies or practices.
Gary D. Reaves notified the Board of his resignation on September 30, 2026, effective the same day
Reaves joined the Board in connection with Vitesse's 2024 acquisition of Lucero Energy Corp
The filing states no disagreement with the company on operations, policies or practices
Carriage Services terminated its Equity Distribution Agreement dated May 6, 2026, which allowed it to sell up to $100 million of common stock through at-the-market offerings. The company says it has no termination penalties and had not sold any shares under the program before ending it.
Termination date: October 4, 2026, of the Equity Distribution Agreement with Oppenheimer & Co. Inc. and Raymond James & Associates, Inc.
Program size before termination: up to $100 million of common stock, par value $0.01 per share
No shares were sold under the at-the-market program before termination
No termination penalties apply, according to the filing
NN, Inc. closed a private placement on October 5, 2026, selling 11,275,605 common shares and pre-funded warrants for up to 4,824,395 shares at $3.30 per share, for about $50 million in net proceeds. The company said most proceeds will redeem its remaining Series D Preferred Stock, and the rest will fund business growth; shareholders face potential dilution from the new shares and resale registration.
Gross proceeds of about $53 million; net proceeds of about $50 million after a 6.0% placement agent fee and expenses
Closed October 5, 2026; 93,744,210 common shares outstanding immediately after issuance
Majority of net proceeds to redeem remaining Series D Preferred Stock; company must file resale registration statement within 45 days
The Trust's sponsor entered into an agreement on September 30, 2026 that adds BitGo Bank & Trust as a custodian for a portion of the Trust's HYPE holdings, alongside existing custodian Anchorage Digital Bank. The sponsor says the move reflects its ongoing risk management approach as the Trust grows, but has not yet decided how much HYPE will be moved to BitGo.
Agreement dated September 30, 2026 adds BitGo Bank & Trust, National Association, as an additional custodian for the Trust's HYPE.
Anchorage Digital Bank N.A. remains the Trust's primary custodian; the sponsor has not determined the amount to move to BitGo.
BitGo holds the Trust's HYPE in a segregated account with keys held by BitGo; fees paid to BitGo are a Sponsor-paid expense.
American Resources Corporation acquired real property, structures, fixtures and equipment in Wyoming County, West Virginia from Wyoming County Coal LLC under an asset purchase agreement dated September 29, 2026. The $40.0 million price is settled through the resolution of a federal lawsuit, and the company is not assuming WCC's mining permits or historical mining and reclamation liabilities. The filing says the company plans to evaluate the assets for critical-mineral feedstock and resource recovery, subject to future permitting.
Asset Purchase Agreement entered September 29, 2026; ownership transferred to the company upon execution
Purchase price of $40.0 million is an aggregate litigation settlement in UMB Bank, N.A. v. Wyoming County Coal LLC, Case No. 1:25-cv-02596 (S.D. Indiana)
Company is not acquiring WCC's mining permits or assuming asset retirement obligations or other historical mining liabilities
Deed to be executed within 60 days of the effective date and recorded in Wyoming County, West Virginia
Apollo Global Management and its subsidiary Athene Holding reported preliminary estimates of third-quarter 2026 alternative net investment income of approximately $375 million pre-tax, equal to an estimated 10% annualized return on alternative net investments. The figures are unaudited, have not completed financial closing procedures, and may change materially, and the full quarterly earnings release is scheduled for November 3, 2026.
Estimated alternative net investment income: approximately $375 million pre-tax for the quarter ended September 30, 2026
Estimated annualized return on alternative net investments: 10%; pooled vehicle return about 9%, other alternatives about 11%
Full third-quarter earnings release and financial supplement scheduled for November 3, 2026
Figures are unaudited and preliminary; the company warns actual results may differ, possibly materially
Fluent, Inc. and three subsidiaries amended their accounts receivable finance agreement with Bay View Funding on September 30, 2026, raising the maximum aggregate advance amount from $30 million to $35 million. The facility is secured by substantially all of the company's assets, which means a larger borrowing capacity backed by company assets for shareholders to consider.
Maximum aggregate advances increased from $30 million to $35 million under the amended Financing Agreement.
The original Financing Agreement was entered into on November 25, 2025, with CSNK Working Capital Finance Corp. d/b/a Bay View Funding.
Advances are secured by substantially all of the company's assets and must be repaid with fees and other obligations under the agreement's terms.
SolarEdge said Chief Revenue Officer Daniel Huber notified the board on October 1, 2026 that he will resign, with employment ending March 31, 2027. The filing says the resignation is not the result of any disagreement with the company on its operations, policies or practices, and it does not name a successor.
Daniel Huber notified the board on October 1, 2026 of his resignation as Chief Revenue Officer.
Employment terminates effective March 31, 2027, which satisfies his existing employment agreement's notice period.
Huber will receive his 2026 annual bonus, paid when other management bonuses are paid and based on average target achievement for the management team.
The filing states the resignation involves no disagreement with the company.
Generation Income Properties' operating partnership amended its secured promissory note with Brown Family Enterprises LLC, extending the maturity date from October 14, 2026 to October 14, 2027. The 9% fixed interest rate and other payment terms are unchanged, and the Amendment does not add to the debt or capitalize accrued interest.
Maturity date extended from October 14, 2026 to October 14, 2027
Outstanding principal was $5.2 million as of September 28, 2026, after a $300,000 payment on July 6, 2026
Note continues to bear 9% fixed simple interest, payable monthly, and remains secured by Operating Partnership assets
Holder confirmed no default or event of default exists under the Note
Morgan Stanley Direct Lending Fund announced it will release its third quarter 2026 financial results after the market closes on Thursday, November 5, 2026, and host an earnings call on Friday, November 6, 2026 at 10:00 a.m. Eastern Time. The filing is a scheduling announcement and does not include the quarter's financial results.
Third quarter 2026 results release: Thursday, November 5, 2026, after market close
Earnings call: Friday, November 6, 2026, at 10:00 a.m. Eastern Time
Announcement made in a press release dated October 5, 2026, furnished as Exhibit 99.1
Aterian dismissed UHY LLP as its independent auditor effective October 2, 2026, and engaged Haskell & White LLP for fiscal 2026. UHY's reports on the 2024 and 2025 financial statements included a going concern warning citing recurring losses, negative operating cash flow and risk of covenant non-compliance, and the company also engaged former CEO Arturo Rodriguez as a consultant.
UHY's reports for fiscal 2024 and 2025 contained a going concern paragraph citing recurring losses, negative operating cash flows and possible failure to meet credit facility covenants.
The filing reports no disagreements or reportable events with UHY during the two fiscal years and the interim period through October 2, 2026.
Rodriguez will be paid $250 per hour, capped at 12 hours per week and a total of $77,000, with services expected through November 20, 2026 and no later than March 31, 2027.
On September 30, 2026, Consensus Cloud Solutions entered an amended and restated credit agreement with U.S. Bank National Association as agent, providing a $225.0 million senior secured revolving facility and a $300.0 million senior secured delayed-draw term loan maturing September 30, 2031. The company expects to use the term loan proceeds to retire its 6.50% senior notes due 2028, of which about $348.2 million were outstanding as of September 30, 2026, and the filing says no amount had been drawn beyond transferring existing obligations. The agreement includes covenants that restrict dividends, certain restricted payments, liens, acquisitions and asset sales, which shareholders should weigh against the added debt.
Revolving facility of $225.0 million and delayed-draw term loan of $300.0 million, with final maturity on September 30, 2031
Term loan may be drawn until October 15, 2028, and prepaid or repaid amounts cannot be reborrowed
Company expects to use term loan proceeds to retire the 6.50% senior notes due 2028 on or about October 15, 2027, when they become redeemable at 100% of principal plus accrued interest
Interest at base rate or SOFR plus a margin tied to total net leverage, with SOFR loans at 1.75%-2.50%; covenants restrict dividends and certain other actions
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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.