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).
KOYN, a SPAC, entered a business combination agreement with First Digital Group, the developer of the FDUSD stablecoin and Finance District, valuing First Digital at $250 million on a pre-money equity basis. Closing is expected in the first half of 2027 and requires approval by shareholders of both companies and regulatory approvals, so KOYN shareholders face deal execution risk.
Business combination agreement signed October 6, 2026; First Digital valued at $250 million pre-money equity, with no minimum cash condition
First Digital reported approximately $87 million in revenue for the fiscal year ended June 30, 2025
Closing expected in the first half of 2027, subject to shareholder, regulatory and Form F-4 effectiveness conditions
Non-binding term sheet with Millennial Trading Limited for a $25 million convertible note at a $12.00 conversion price; no assurance it will be finalized
Figure Technology Solutions reported unaudited, preliminary operating data for September and the third quarter of 2026. Consumer Loan Marketplace Volume was $5.1 billion for the quarter, at the high end of its $4.8 billion to $5.2 billion guidance range. The figures exclude Kiavi volume after the merger closed on September 1, 2026, which will be included in third-quarter financial results due in November.
Q3 2026 Consumer Loan Marketplace Volume of $5,119 million, up 20% from Q2 2026 and up 107% from Q3 2025 ($2,469 million)
September 2026 Consumer Loan Marketplace Volume of $1,783 million, up 9% from August 2026
$YLDS in Circulation of $504 million at September 2026 end, down 9% from Q2 2026 but up from $21 million a year earlier
Kiavi loan volume for roughly one month after the September 1, 2026 merger closing will be included in Q3 2026 results, to be released in November
On September 30, 2026, four Greenlane subsidiaries assigned substantially all their assets to Philip J. von Kahle, who will liquidate them and distribute proceeds to creditors under Florida law. The company will deconsolidate these entities as of September 30, 2026, and says it received no consideration, while the assignments do not release the subsidiaries from their liabilities and claims may be asserted against the company. The entities conducted the company's legacy wholesale distribution business, which had been substantially wound down before the assignments.
Four subsidiaries, including Greenlane Holdings, LLC, executed assignments for the benefit of creditors on September 30, 2026, to assignee Philip J. von Kahle.
Preliminary gain on deconsolidation of approximately $3.2 million, based on June 30, 2026 balances; the final figure will appear in the 10-Q for the quarter ended September 30, 2026.
The company received no consideration; a $60,000 retainer was paid from Warehouse Goods LLC, and the company agreed in principle to lend the assignee $100,000, though no loan agreement has been signed.
Unaudited pro forma 2025 net loss of $48.1 million, compared with a historical net loss of $85.6 million, excluding the deconsolidated entities.
Ocean Power Technologies said Chief Financial Officer Robert Powers left the role on September 30, 2026, by mutual agreement with the Board. Victoria Hay, co-owner and President of consulting firm Flexible Consulting, is serving as interim CFO, Principal Financial Officer and Principal Accounting Officer under an engagement agreement, and the Board is searching for a permanent CFO. The change affects who leads the company's finance function until a permanent CFO is named.
Robert Powers departed as CFO effective September 30, 2026, upon mutual agreement with the Board, and remains employed through October 14, 2026 to assist with the transition.
Victoria Hay, 43, began serving as interim CFO effective September 30, 2026, through an engagement agreement with Flexible Consulting.
Flexible Consulting will receive $30,000 per month for Hay's services, plus monthly expense reimbursement.
Powers will receive six months of base salary, the balance of his fiscal 2026 bonus, and health benefits through October 31, 2026.
VanEck Solana ETF (VSOL) said its sponsor declared a first quarterly cash distribution totaling $964,960, funded from net staking income. The distribution is payable October 7, 2026, to holders of record on October 6, 2026, and the trust may sell staking rewards or some SOL to fund future payments, which could affect its SOL exposure and share price.
First distribution totals $964,960 and is funded from net staking income after service provider and custodian fees
Record date is October 6, 2026; payment date is October 7, 2026; shares expected to trade ex-dividend October 6, 2026
Distribution amount depends on staking rewards received, regulatory requirements and the trust's liquidity needs, with no assurance of future amounts
Boxlight agreed on September 30, 2026 to sell 106,250 shares of Series E convertible preferred stock to J.J. Astor & Co. for a $850,000 subscription amount, at $8.00 per share after a 20% original issue discount. J.J. Astor's CEO is Chairman Michael Pope, who recused himself, and the disinterested directors approved the deal, which is convertible into Class A common stock and comes with registration and covenant obligations that affect shareholders.
Series E: 106,250 shares at $8.00 per share, $850,000 subscription amount, dated September 30, 2026
Chairman Michael Pope is CEO of J.J. Astor and recused himself; the disinterested directors approved the transactions by unanimous written consent effective September 30, 2026
Company must file a resale registration statement within 30 calendar days after the Closing Date; liquidated damages of 5% of the subscription amount apply on missed deadlines
Series D holders consented on October 6, 2026 to the Series E issuance and waived related Series D SPA provisions, with no consideration paid
QuasarEdge Acquisition Corp (QRED) entered into a First Amendment to its June 9, 2026 Agreement and Plan of Merger with Robseek parties on October 6, 2026. The amendment changes the share structure of the purchaser to a single class of ordinary shares, sets 100,000,000 aggregate closing payment shares, and revises lock-up terms for shares issued to QRED shareholders. These changes alter the terms shareholders would receive if the merger closes.
Amendment dated October 6, 2026 amends the Merger Agreement signed June 9, 2026
Aggregate of 100,000,000 closing payment shares under the amended shareholder allocation schedule
Each QRED right entitles holder to one-fourth of one Purchaser ordinary share upon initial business combination
Lock-up lasts until the earlier of 180 days after closing or a $12.50 trading-price condition beginning at least 90 days after closing
ChronoScale Holdings disclosed that director and Ekso Bionics CEO Scott Davis resigned from the board effective October 3, 2026, following the September 30, 2026 sale of Ekso Bionics. The company granted Davis 51,626 fully vested restricted stock units and agreed to a $709,500 release payment in exchange for a general release of claims, in place of severance he could otherwise have received.
Scott Davis resigned from the board effective October 3, 2026, with no disagreements cited
Davis received 51,626 fully vested RSUs granted October 2, 2026
Release Payment of $709,500, less withholdings, payable within 30 days of signing, subject to compliance with restrictive covenants
Release Agreement replaces payments under a November 5, 2025 Change in Control and Severance Agreement
On October 6, 2026, Digital Realty's finance subsidiary Digital Constellation B.V. sold CHF510 million of senior unsecured guaranteed notes in three series maturing in 2029, 2032 and 2036, with net proceeds of CHF508.39 million. The company says it intends to use the proceeds to temporarily repay revolving credit facility borrowings, acquire properties or businesses, fund development, and for general corporate purposes, and the press release says an amount equal to the proceeds will be allocated to projects under its Green Bond Framework. The notes add debt for shareholders, and the terms include restrictive covenants limiting additional indebtedness.
CHF225 million at 1.6803% due October 8, 2029; CHF185 million at 2.0600% due October 6, 2032; CHF100 million at 2.4150% due October 6, 2036
Net proceeds were CHF508.39 million after managers' commissions and certain offering expenses; notes were sold at 100% of principal amount
Notes are guaranteed by Digital Realty Trust, Inc., the operating partnership and Digital Intrepid Holding B.V.; sold outside the United States under Regulation S
Terms include covenants limiting additional indebtedness and requiring a pool of unencumbered assets
WhiteHawk Minerals Corp. signed a dealer manager agreement with Preferred Capital Securities, LLC to sell up to 100,000 shares of new Series F Redeemable Preferred Stock on a best efforts basis, after its registration statement was declared effective on October 6, 2026. The preferred stock pays a fixed 7.5% annual cumulative dividend on a $1,000 stated value and ranks junior to its Series E Preferred Stock and all debt. The filing does not state the amount of proceeds the company expects to raise.
Up to 100,000 Series F preferred shares offered at up to $1,000.00 per share, with a 7.5% annual cumulative dividend.
Dealer manager fee of up to 2.5% and selling commission of up to 5.5% of stated value per share sold; commissions may be reduced or eliminated on certain sales.
Preferred stock ranks senior to Class A common stock and on parity with Series B Preferred Stock, but junior to Series E Preferred Stock and all debt.
Holders may redeem before listing; the company may redeem on or after the first anniversary of issuance on up to 90 calendar days' notice.
Chevron agreed to transfer its ownership interests and general partner position in Hess Midstream LP, plus its DJ Basin crude oil midstream assets, in exchange for extended Bakken midstream contracts, new DJ Basin contracts and $200 million in cash. Chevron expects a one-time after-tax loss of approximately $3 to $4 billion at closing, which it expects to treat as a special item, and expects the deal to close by year-end 2026.
At closing, Chevron expects a one-time after-tax loss of approximately $3 to $4 billion, treated as a special item.
Chevron expects to reduce its Bakken unit midstream costs by approximately 50% and to increase return on capital employed.
Chevron receives $200 million in cash and expects to fully deconsolidate Hess Midstream, including about $3.7 billion of its debt.
The deal is expected to close by year-end 2026, subject to customary closing conditions and regulatory approvals.
Rocket Pharmaceuticals entered a Loan and Security Agreement with Hercules Capital on September 30, 2026, providing up to $150.0 million in senior secured term loans, with $35.0 million funded at closing. The company also issued warrants to the lenders for 1,755,853 shares of common stock at $2.99 per share, which adds potential dilution, and the loans are secured by substantially all of the company's assets.
Tranche 1-A advance of $35.0 million funded September 30, 2026; further tranches total up to $115.0 million at the company's option or the lenders' approval
Loans mature October 1, 2030, with interest at the greater of prime or 6.75%, plus 2.40%
Warrants for 1,755,853 shares at $2.99 per share; 409,699 shares exercisable after the Tranche 1-A funding
Prepayment charges of 3.00%, 2.00% or 1.00% depending on timing; minimum cash covenant not tested while market capitalization exceeds $600.0 million
On October 5, 2026, Nasdaq notified IB Acquisition Corp. that it is not compliant with Listing Rule 5620(a) because it has not held an annual shareholder meeting within twelve months of its fiscal year end. The company plans to submit a compliance plan within 45 calendar days, and Nasdaq can grant an exception until March 29, 2027. The notice has no immediate effect on the listing or trading of the common stock, which continues to trade as IBAC.
Nasdaq letter dated October 5, 2026 cites Listing Rule 5620(a), the Annual Meeting Requirement.
The company has 45 calendar days to submit a plan to regain compliance.
If the plan is accepted, Nasdaq can grant an exception until March 29, 2027.
Common stock continues to trade as IBAC on the Nasdaq Capital Market during the compliance period.
Skydance Corporation appointed Robert A. Kotick, former CEO of Activision Blizzard, and Laurene Powell Jobs, founder and president of Emerson Collective, as directors, with both appointments effective at the closing of its previously disclosed merger with Warner Bros. Discovery. The filing describes board appointments and standard director pay terms, with no financial results or deal terms changed, so the direct effect on shareholders is limited to board composition once the merger closes.
Robert A. Kotick, age 63, appointed to the board October 4, 2026, and will serve on the Nominating and Governance Committee
Laurene Powell Jobs, age 62, appointed to the board October 5, 2026
Both appointments are effective at the closing of the merger under the February 27, 2026 agreement with Warner Bros. Discovery, Inc.
Both directors are eligible for the Non-Employee Director Compensation Program and have signed the standard indemnification agreement
Effective September 30, 2026, Nuburu entered into a side letter with Esousa Group Holdings and other purchasers under its July 15, 2026 Securities Purchase Agreement. The letter changes warrant valuation terms, requires certain Series B preferred holders to forfeit shares received at conversion prices below $0.10, and sets a monthly penalty if conversion shares are not registered on time. Separately, Brick Lane Capital Management returned 295,000 Heckler & Koch AG shares in exchange for cancellation of a $15 million convertible note.
Side letter effective September 30, 2026, with Esousa Group Holdings and other purchasers, revising the Black Scholes Value definition in the July 17, 2026 warrant.
Certain Series B preferred holders agree to forfeit common stock received from conversions at prices below $0.10 per share; a monthly penalty applies if conversion shares are not registered on time.
Brick Lane Capital Management receives back 295,000 Heckler & Koch AG shares, and the $15 million Subordinated Convertible Note issued February 6, 2026 is cancelled.
Lamb Weston entered a transition and separation agreement on October 5, 2026 with Marc Schroeder, its President, International, who is resigning. He will stay as President, International through December 31, 2026, then serve in an advisory role until February 15, 2027, and will receive no cash severance.
Agreement dated October 5, 2026; Schroeder remains President, International through December 31, 2026
Advisory role continues until February 15, 2027
Equity vesting is prorated, with non-compete and non-solicitation terms lasting one year after separation
No cash severance payments; full agreement filed as Exhibit 10.1
Omnicom's longtime Chief Accounting Officer, Andrew Castellaneta, retired effective immediately on October 1, 2026, after more than 25 years with the company, and will stay on as an employee for a period to ease the transition. The board appointed Jordan Farnam, who has been with Omnicom since January 2024, as Vice President, Global Financial Reporting and Chief Accounting Officer, effective immediately. The filing says the retirement was not due to any disagreement with the company on operations, policies or practices.
Andrew Castellaneta retired as Senior Vice President and Chief Accounting Officer effective October 1, 2026
Jordan Farnam, age 44, appointed Vice President, Global Financial Reporting and Chief Accounting Officer effective October 1, 2026
Farnam joined Omnicom in January 2024 as Vice President, Global Financial Reporting; previously Corporate Controller at Consumer Edge LLC and at PricewaterhouseCoopers LLP
Castellaneta will remain an employee for a period of time to facilitate a smooth transition
Calisa Acquisition Corp, a special purpose acquisition company, filed an 8-K furnishing a GoodVision AI press release on two U.S. collaboration agreements, with TDTC and HOP Global, plus an investor presentation. GoodVision is the target of a pending business combination with Calisa, so these agreements relate to the company shareholders would own if the merger closes; the filing says the agreements do not guarantee any revenue.
TDTC agreement targets a Texas Site No.1 AI Factory with 2.4 MW of confirmed power, expandable to up to 15 MW within one year
GoodVision estimates the 15 MW TDTC project could represent approximately $210 million in annual revenue potential, based on internal assumptions
HOP Global pilot would scale to 100 nodes, about 5 MW, with an estimated $36 million in annual revenue potential, also based on internal assumptions
The filing states neither collaboration requires a binding transaction and that the estimates are preliminary and unverified
UY Scuti Acquisition Corp. deposited $450,000 into its trust account on September 30, 2026, to extend its deadline to complete a business combination from October 1, 2026, to January 1, 2027. The deposit was loaned by Isdera HK Limited, an affiliate of Isdera Group, the company it has agreed to merge with, so the extension adds a loan from a related party and keeps the pending merger on its timeline.
Deposit of $450,000 into the trust account on September 30, 2026, for the third three-month extension period
Deadline to complete an initial business combination moved from October 1, 2026, to January 1, 2027
The $450,000 was loaned by Isdera HK Limited, an affiliate of Isdera Group Limited; a promissory note is expected and will be filed later
On September 22, 2026, parties to the July 18, 2025 merger agreement signed a joinder and First Amendment
Fair Isaac committed on October 1, 2026 to a workforce reduction that eliminates about 15% of its positions, while reducing management layers, simplifying its operating structure, and integrating AI-driven product development. The company expects aggregate pre-tax charges of about $27.0 million in the fourth quarter of fiscal 2026, mostly severance, and the plan is expected to be substantially complete by the end of the third quarter of fiscal 2027.
About 15% of positions across the company will be eliminated.
Expected pre-tax charges of approximately $27.0 million in Q4 fiscal 2026, mainly employee severance and related costs.
Affected employees began being notified the week of October 5, 2026.
Plan expected to be substantially completed by the end of Q3 fiscal 2027.
At a special meeting on October 6, 2026, stockholders approved raising authorized common stock from 250,000,000 to 275,000,000 shares and approved issuing common stock on conversion of Series C preferred stock and warrants, which the filing says could exceed 20% of outstanding shares and may, with management and board changes, result in a change of control. The filing body names Quince Therapeutics, Inc. while the header lists IRulya Therapeutics Inc., so the registrant identity should be confirmed. For shareholders, the approvals add capacity for potential dilution and a possible change in control.
Authorized common stock increased from 250,000,000 to 275,000,000 shares, effective October 6, 2026
Proposal 2 passed with 343,517 votes for and 5,759 against; Proposal 1 passed with 180,550 votes for and 5,742 against
Proposal 1 may result in a change of control under Nasdaq Listing Rule 5635(b)
2026 Equity Incentive Plan reserve starts at 821,872 shares; 2026 ESPP reserve starts at 142,045 shares
Isabella Bank Corporation said it has received all regulatory approvals needed to complete its merger with Grand River Commerce, Inc., and that Grand River shareholders approved the merger on September 18, 2026. The companies expect the merger to close on November 2, 2026, pending customary closing conditions, which moves the previously announced deal closer to completion for shareholders of both companies.
All required regulatory approvals for the merger have been received, per the October 6, 2026 press release.
Grand River shareholders voted to approve the merger on September 18, 2026.
The merger is expected to close on November 2, 2026, pending customary closing conditions.
The merger agreement is dated June 11, 2026, and includes Isabella, Grand River and 401 Merger Sub, Inc.
Rhinebeck Bank notified employees with change in control agreements, including CFO Kevin Nihill, that the agreements will not renew and will expire on December 31, 2027. The bank says the decision reflects a broader change in corporate philosophy and not individual performance, and it plans to create a new change in control benefit arrangement to replace the agreements.
Notice of non-renewal provided on October 1, 2026 to each employee with a change in control agreement
Existing agreements, including the CFO's, expire on December 31, 2027
Bank intends to develop a new change in control benefit arrangement for affected employees
Curtiss-Wright said CFO K. Christopher Farkas will retire effective at calendar year-end 2026 and will remain Executive Vice President until then. The Board appointed Senior Vice President and Corporate Controller Gary A. Ogilby as interim CFO effective October 6, 2026, while it searches for a permanent successor. The company states the retirement is unrelated to its business or financial performance.
Farkas stepped down as CFO and will stay as Executive Vice President until his retirement date at calendar year-end 2026
Ogilby, 45, joined the company in 2010 and has been Corporate Controller since May 2020; he keeps that role while serving as interim CFO
Compensation for Ogilby's interim CFO role has not been determined as of the filing date
The company reports third-quarter earnings on November 4, 2026
On October 6, 2026, Sysco Corporation and Sysco Holdings Corporation issued $10.75 billion of USD senior notes, $3.9 billion of USD junior subordinated notes and €1.0 billion of euro junior subordinated notes. The issuers plan to use the net proceeds to pay part of the cash consideration for the pending acquisition of JRD Unico, Inc. and Warehouse Realty, LLC, or, if that acquisition is not completed, to fund a special mandatory redemption of the notes other than the 2036 senior notes. The filing adds a large amount of new debt, with maturities running from 2029 to 2066.
USD senior notes totaling $10.75 billion across seven series maturing 2029 to 2066, with coupons from 5.450% to 6.600%
USD junior subordinated notes totaling $3.9 billion in three series due October 6, 2056, with coupons from 7.100% to 7.350%
Euro junior subordinated notes of €1.0 billion at 6.000%, due 2056
Proceeds are earmarked for the pending acquisition of JRD Unico, Inc. and Warehouse Realty, LLC
PLAYSTUDIOS decided on September 30, 2026 to cease operating its Tetris Block Party product and expects to record a non-cash, pre-tax impairment charge of $3.0 million to $3.5 million in the third quarter of 2026. The company also said it is evaluating other accounting effects, including a possible interim goodwill impairment assessment, and will finalize the charges in its Form 10-Q for the quarter ending September 30, 2026.
Non-cash, pre-tax impairment charge expected in the range of $3.0 million to $3.5 million in Q3 2026
Charge relates primarily to capitalized internal-use software development costs and acquired technology
Company expects to stop operating Tetris Block Party in October 2026
Other effects under review include contingent consideration and a possible goodwill impairment test; final figures come with the Q3 2026 10-Q
Penguin Solutions appointed Stephen Cumming as Senior Vice President and Chief Financial Officer, effective October 6, 2026. He replaces Aaron Johnson, who had been interim CFO since July 9, 2026 and returns to his prior role as Vice President, Finance and Accounting. The filing also discloses Cumming's pay package, including a $700,000 retention bonus and equity grants totaling $4.3 million in target value, which matter to shareholders as a cost and as a sign of who leads the company's finances.
Stephen Cumming, formerly CFO of Edgio, Inc. (2022 to 2025), starts as SVP and CFO on October 6, 2026, succeeding interim CFO Aaron Johnson.
Base salary of $550,000, with an annual bonus targeted at 90% of base salary, prorated for fiscal 2027.
$700,000 retention bonus payable in two equal installments within 45 and 85 days of his start date.
Equity grants of $1,750,000 in time-based RSUs and $2,550,000 in relative TSR-based PSUs (0% to 200% of target).
On October 5, 2026, Cognizant and its subsidiary Cognizant Worldwide Limited signed a new unsecured credit agreement with JPMorgan Chase Bank, N.A. as administrative agent, replacing the company's existing credit facilities. The company borrowed approximately $1.0 billion under the new revolver, and the facilities mature on October 3, 2031, so shareholders should note the higher debt load and the leverage covenant that applies.
Term loan facility of $550 million and revolving credit facility of $1.85 billion, both maturing October 3, 2031
Term loan proceeds repaid the existing term loan, and about $1.0 billion borrowed under the revolver repaid the existing revolver
Financial covenant caps the Leverage Ratio at 3.50:1.00, or 4.00:1.00 for up to four quarters after certain material acquisitions
Borrowers may request an increase of up to $1.2 billion plus voluntary prepayments, subject to conditions
Aviat Networks' board appointed Khashayar "Hash" Pakbaz as Senior Vice President and Chief Operations Officer on October 5, 2026. He joined the company on June 1, 2026, as Vice President and Chief Digital & Information Officer. The filing sets out his employment terms, including a $365,000 base salary and severance terms, which matter to shareholders as a senior management change.
Appointed Senior Vice President and Chief Operations Officer by the board on October 5, 2026
Base salary of $365,000; target annual bonus of 50% of base salary starting fiscal year 2027
One-time restricted stock unit award with a grant date value of $200,000, vesting over two years
Severance of 1.0 times base salary plus target bonus on a qualifying termination, and 1.0 times on a change in control termination
Melar Acquisition Corp. I and Everli Global Inc. announced that the SEC has declared effective the Form S-4 registration statement for their proposed business combination. Melar has set an extraordinary general meeting for October 22, 2026, at which shareholders will vote on the deal, and the combined company is expected to trade on Nasdaq under the ticker EVRL if the transaction closes.
The SEC declared the Form S-4 registration statement effective; the press release is dated October 6, 2026, and the filing states the effective date as October 2, 2026.
Melar's extraordinary general meeting is set for October 22, 2026, at 8:00 a.m. ET, with shareholders of record as of September 28, 2026 entitled to vote.
Redemption requests must be submitted by 5:00 p.m. ET on October 20, 2026.
The combined company is expected to be renamed Everli Global Holdings Inc. and trade on Nasdaq as EVRL for Class A stock and EVRLW for warrants.
Quest Diagnostics said Catherine T. Doherty will retire in July 2027 and will move to an Executive Vice President role effective November 1, 2026, overseeing health systems, its Corewell Health joint venture, and Project Nova. The filing states her base salary is unchanged at $650,000 and her incentive target remains 80% of base salary, with a new $1.2 million restricted stock unit award planned, so the change is a planned succession transition rather than an abrupt departure.
Catherine T. Doherty will retire in July 2027 and transition to Executive Vice President effective November 1, 2026.
Her responsibilities will include health systems, the Corewell Health joint venture, and Project Nova, a multi-year project to modernize Order to Cash business processes.
The Compensation and Leadership Development Committee approved no change to her $650,000 base salary or 80% incentive target.
A restricted stock unit award with a target value of $1.2 million has a grant date of November 3, 2026.
Walker & Dunlop said Executive Vice President and Chief Operating Officer Stephen P. Theobald will retire effective March 31, 2027, after notifying the company on September 30, 2026. He will remain in the role until then, and his duties will be divided among other employees. The filing says his decision is not due to any disagreement with the company on its operations, policies or practices.
Stephen P. Theobald, EVP and Chief Operating Officer, notified the company on September 30, 2026 of his retirement.
Retirement is effective March 31, 2027, when he will cease to serve as an officer and employee.
His COO duties will be divided among other company employees; no successor is named in the filing.
He will continue as EVP and COO until his retirement date.
Powerus Corporation completed its merger with Autonomous Power Corporation on October 1, 2026, issuing approximately 134.6 million shares of common stock. The company also named Colin Chisholm as Chief Operating Officer, with a start date of October 12, 2026, and an employment agreement with a $325,000 base salary and a grant of 300,000 restricted stock units.
Merger with Autonomous Power Corporation closed on October 1, 2026, with about 134.6 million shares issued
Shares outstanding immediately after the merger closing: 163,838,861
Colin Chisholm appointed COO on October 1, 2026, expected to start October 12, 2026
Chisholm's agreement: two-year initial term, $325,000 base salary, target annual incentive of 30-40% of base salary, and 300,000 RSUs vesting in six-month increments over four years
Vivakor, Inc. filed a Certificate of Amendment to implement a 1-for-15 reverse stock split of its common stock, which took effect at the Nasdaq open on October 5, 2026 under the existing ticker VIVK. The company said the split is intended to increase the per-share trading price and support its continued listing on the Nasdaq Capital Market. The split follows an earlier 1-for-20 reverse split effective July 17, 2026.
Each 15 shares will be combined into one share, reducing outstanding shares from approximately 8,981,898 to approximately 598,794.
The company's new CUSIP number is 92852R700, and the ticker remains VIVK.
No fractional shares will be issued; holders who would receive a fraction will receive one whole share instead.
Stockholders approved reverse splits at the June 30, 2026 annual meeting at ratios from 1-for-2 up to 1-for-2,000 over two years.
Sonoma Pharmaceuticals entered into a new Section 382 rights agreement with Computershare on October 6, 2026, replacing its 2016 rights plan, which expires October 18, 2026. The plan is meant to guard against an ownership change that could substantially limit the company's ability to use its net operating loss carryforwards and other tax benefits, which the company says could be a substantial asset.
Rights dividend of one preferred stock purchase right per common share held on October 13, 2026 (Record Date)
Each right allows purchase of one one-thousandth of a Series B Preferred Stock share at $10.00, subject to adjustment
Rights become exercisable if a person or group acquires 4.99% or more of common stock, and expire October 6, 2036 unless earlier redeemed
Board may redeem rights at $0.0001 per right before a person becomes an Acquiring Person
BeyondSpring completed the sale of BeyondSpring Ltd., which indirectly holds its interest in Bulin, to Biolin Investment Limited on September 30, 2026. The Company received no cash; the buyer's consideration is a commitment to fund the China portion of the DUBLIN-4 Phase 3 trial and a license to the resulting data. The Company no longer controls the disposed entities or SEED Therapeutics, and the pro forma figures show a preliminary gain of $53.7 million that is not yet final.
No cash consideration was paid or payable at closing on September 30, 2026
Non-cash consideration: the Investor's obligation to fund and complete the China portion of DUBLIN-4, plus a license to the trial data
Preliminary pro forma gain on disposition of $53.7 million (about $53,677 thousand); excludes contingent consideration and may differ materially
After the sale, the Company retained about 29% of SEED's voting power on an as-converted basis but no control of SEED
On October 6, 2026, HeartSciences said the FDA granted 510(k) clearance (K260005) for its MyoVista wavECG device as a 12-lead resting electrocardiograph, but the clearance does not include the AI-ECG algorithm. The company does not intend to commercialize the device without a cleared algorithm and has no timeline for doing so, and it will evaluate options for the device and related intellectual property. The proposed business combination with Fortitude Mining Holdings continues, with closing expected in Q4 calendar 2026, subject to shareholder approval.
FDA granted 510(k) clearance K260005 for the MyoVista wavECG device as a 12-lead resting electrocardiograph, covering adult and pediatric patients in hospitals and healthcare facilities.
The clearance does not include the AI-ECG algorithm, and the company has no commercialization timeline for the device.
The Proposed Transaction with Fortitude, under a merger agreement dated June 23, 2026, is expected to close in Q4 calendar 2026, subject to shareholder approval.
Virtuix Holdings Inc. (VTIX) received a Nasdaq notice on September 30, 2026, saying its market value of listed securities fell below the $50 million minimum for the Nasdaq Global Market. The company has until March 29, 2027 to regain compliance, and its shares continue to trade under VTIX for now. If it fails to meet the requirement, Nasdaq could begin delisting proceedings, which would put the stock's listing at risk.
Nasdaq notice dated September 30, 2026, based on market value of listed securities from August 18 to September 29, 2026
Minimum market value requirement is $50 million for continued listing on the Nasdaq Global Market
Compliance period runs until March 29, 2027, requiring at least ten consecutive business days at or above $50 million
Company also does not meet the alternative total assets and total revenue standard; it may apply to transfer to the Nasdaq Capital Market
Clarivate completed the sale of its Life Sciences & Healthcare segment to an affiliate of Altaris, LLC on October 6, 2026, for a total value of $600 million, according to the company's press release. The company says it will use the proceeds to reduce debt, and it will update its full year 2026 guidance to reflect the divestiture when it reports third quarter results on November 3, 2026.
Cash paid at closing was $500 million, subject to customary adjustments, plus a $75 million unsecured senior note issued by an Altaris affiliate.
A further $25 million of deferred consideration is payable later, no earlier than the conditions tied to transition services and no later than January 31, 2028.
Henry Levy, President of Life Sciences & Healthcare, left his subsidiary role at closing under a separation agreement tied to a retention agreement.
Clarivate will file pro forma financial statements by October 13, 2026, and report third quarter 2026 results on November 3, 2026.
Penguin Solutions reported fourth-quarter fiscal 2026 net sales of $567 million, up 68% year over year, and GAAP diluted EPS of $1.29 versus $0.11 a year earlier. The company raised its fiscal 2027 outlook, now expecting net sales of about $2.43 billion at the midpoint, growth of about 40%, which it attributes to AI Infrastructure demand.
Q4 fiscal 2026: net sales $567 million, up 68%; GAAP diluted EPS $1.29 vs. $0.11; non-GAAP diluted EPS $1.00 vs. $0.43
Full fiscal 2026: net sales $1.73 billion, up 26%; net income attributable to Penguin Solutions $181 million
Fiscal 2027 outlook: net sales about $2.43 billion at midpoint (about 40% growth); GAAP diluted EPS $3.50; non-GAAP diluted EPS $4.45
BioMarin said its third-quarter 2026 results will include about $283 million of acquired in-process R&D expense tied to its Alesta Therapeutics acquisition, completed August 31, 2026. The company estimates the charges reduce both GAAP and non-GAAP diluted EPS by about $1.50 for the quarter and about $1.55 for the full year, and it will update full-year 2026 guidance with its third-quarter results.
Q3 2026 pre-tax IPR&D charge of approximately $283 million, an unfavorable EPS impact of about $1.50
Full-year 2026 pre-tax charges of approximately $320 million, an unfavorable EPS impact of about $1.55
Prior full-year 2026 guidance, announced August 6, 2026, did not reflect the Alesta acquisition
Quarter results are not finalized and figures are preliminary and unaudited
AXIL Brands reported first-quarter fiscal 2027 results for the three months ended August 31, 2026. Revenue fell 11.2% to $6.1 million from $6.9 million, while net income rose to $0.4 million, or $0.05 per diluted share, helped by a non-recurring $0.55 million customs duty refund. Management said XCOR II orders of $3.6 million through September 30 should show up in second-quarter revenue.
Net revenues were $6.1 million, down 11.2% from $6.9 million, reflecting the XCOR to XCOR II transition and a prior-year big-box order that did not repeat.
Net income was $0.4 million, or $0.05 per diluted share, compared with $0.3 million, or $0.04 per diluted share a year earlier.
Gross margin of 82.6% included a $0.55 million IEEPA customs duty refund; excluding it, gross margin was approximately 73.6%.
XCOR II orders exceeded $3.6 million as of September 30, 2026, and cash was $7.9 million with no outstanding borrowings.
Constellation Brands reported fiscal second-quarter 2027 net sales up 6% to $2,633 million and reported EPS up 25% to $3.32, though reported operating income fell 8% to $805 million. The company raised its fiscal 2027 reported EPS outlook to $11.85-$12.55 and reaffirmed its comparable EPS outlook of $11.20-$11.90, and it also announced the completed SpikedAde acquisition and a $1.03 quarterly dividend.
Net sales rose 6% to $2,633 million; reported operating income fell 8% to $805 million, and reported operating margin was 30.6% versus 35.2% a year earlier.
Reported EPS was $3.32, up 25%; comparable EPS was $3.74, up 3%.
Fiscal 2027 reported EPS outlook updated to $11.85-$12.55; comparable EPS outlook reaffirmed at $11.20-$11.90.
Quarterly dividend of $1.03 per Class A share is payable November 13, 2026, to holders of record on October 30, 2026; SpikedAde acquisition included a $75 million payment at close and up to $278 million of contingent consideration over five
AMASS Brands reported preliminary, unaudited third-quarter 2026 net revenue of approximately $5.3 million, up about 30% from $4.1 million a year earlier and about 20% above its guidance of at least $4.4 million. Gross profit, operating expenses and Adjusted EBITDA have not been completed, and the company's forward-looking statements cite substantial doubt about its ability to continue as a going concern and its need to raise additional capital.
Revenue exceeded the company's third-quarter guidance of at least $4.4 million by about 20%
Core brand net revenue of approximately $3.8 million, up 67%; Non-Alcoholic and Functional segment revenue of approximately $0.6 million, supported by the May 2026 launch of AMASS Electrolytes
Full third-quarter results expected after market close on or before November 16, 2026; the filing cites substantial doubt about the company's ability to continue as a going concern
Rocky Mountain Chocolate Factory agreed to sell its Durango, Colorado property, which serves as its corporate headquarters and production and warehouse facility, to American Heritage Legacies, LLC for $6.6 million, and will lease it back for 10 years. The buyer is controlled by the family of Interim CEO Allen Harper, making the deal a related party transaction, and proceeds will repay $6.6 million of notes at 12% annual interest held by entities affiliated with board members Steven L. Craig and Jeffrey R. Geygan, which reduces debt but commits the company to rent and a possible buyback obligation if control changes.
Sale price is $6.6 million; closing is expected on or about October 15, 2026, with an independent appraisal supporting the price
Net proceeds are expected to repay $6.6 million of notes accruing 12% per annum, held by RMC Credit Facility LLC and RMCF2 Credit, LLC
Lease has a 10-year initial term, first-year annual rent of $624,000 rising 2% a year, and an option to renew for 10 more years
On a change of control, the lease terminates and, at the landlord's option, the company must buy back the property for the greater of $6.93 million or appraised value
Navitas Semiconductor completed its acquisition of Claros, Inc., a developer of integrated voltage regulator technology for AI data center power delivery, on October 6, 2026, under a merger agreement dated August 24, 2026. The company said the deal raises its identified 2030 serviceable addressable market to over $8 billion, with Claros adding at least $3.5 billion. The filing does not disclose the purchase price or any financial results for Claros.
Closing took place October 6, 2026, under the Merger Agreement dated August 24, 2026.
Claros develops integrated voltage regulator (IVR) technology for power delivery to AI processors.
Navitas expects Claros to add at least $3.5 billion to its 2030 serviceable addressable market, bringing the total to over $8 billion.
A webinar on Claros technology is scheduled for October 20, 2026, at 8:00 a.m. Pacific Time.
Byline Bancorp entered a definitive merger agreement to acquire Illinois State Bancorp, a Chicago-area bank holding company with total assets of approximately $617.3 million as of June 30, 2026. The deal is valued at about $87.9 million based on Byline's October 5, 2026 closing price, and it requires Illinois State Bancorp shareholder approval and regulatory approvals, with closing expected in the first quarter of 2027.
Consideration: about 1.4 million Byline shares, $28.9 million in cash to Illinois State Bancorp shareholders, and about $5.1 million in cash to settle stock options
Value of $261.23 per Illinois State Bancorp common share, based on Byline's $37.63 closing price on October 5, 2026
Byline expects minimal tangible book value dilution of 1.2% and earnback in less than 1.5 years, with mid-single digit EPS accretion
Merger costs are expected to be about $16.6 million pre-tax; closing is anticipated in 1Q27
Expand Energy amended its credit agreement on October 6, 2026, extending the maturity of its credit facility by one year, from September 30, 2030 to September 30, 2031. The filing does not disclose facility size, pricing, or other amended terms in the text provided, and the full amendment is filed as Exhibit 10.1.
Maturity extended from September 30, 2030 to September 30, 2031
Amendment No. 1 dated October 6, 2026 to the Amended and Restated Credit Agreement dated September 30, 2025
JPMorgan Chase Bank, N.A. serves as administrative agent
Millrose Properties completed a $1.0 billion offering of senior notes in two equal tranches, $500.0 million due 2029 at 6.500% and $500.0 million due 2031 at 6.750%. The company takes on new long-term debt, and the 2031 notes must be redeemed at par if the Dream Finders Transaction with Beazer Homes is not completed by May 13, 2027.
Two tranches of $500.0 million each: 6.500% senior notes due October 15, 2029 and 6.750% senior notes due October 15, 2031
Interest is payable April 15 and October 15 each year, starting April 15, 2027
2031 notes must be redeemed at 100% of principal plus accrued interest if the Dream Finders and Beazer Homes merger is not completed by May 13, 2027 or is terminated
Notes are unsecured and rank equally with existing senior debt, including the 6.375% notes due 2030 and 6.250% notes due 2032; the notes are effectively subordinated to secured debt
Bolt Biotherapeutics entered into a second amendment to its Redwood City, California lease on October 1, 2026. The company paid the landlord $1.0 million, agreed the landlord may draw the existing $1.5 million letter of credit in full, and accepted an earlier lease expiration date that would require a $4.5 million termination payment upon a financing or other strategic transaction, which could weigh on shareholders' cash and results.
Company paid the landlord $1.0 million on signing the amendment
Landlord may draw the existing $1.5 million letter of credit in its entirety
Lease expiration accelerated to December 31, 2027, or earlier after a Corporate Transaction, with a $4.5 million termination payment due then
Company says ongoing rent and operating expense obligations are not significant; accounting effects are still being evaluated
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