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).
EON Resources said an error in its depletion, depreciation and amortization expense for 2025 overstated that expense, so its 2025 Form 10-K filed September 28, 2026 should no longer be relied upon. The company expects to file an amended 10-K showing the loss attributable to shareholders falling from $10.1 million to about $7.5 million, but the change is non-cash and the figures remain preliminary pending audit completion.
Depletion, depreciation and amortization expense for fiscal 2025 was overstated by $3,540,000, and the net loss decreased by $2,632,000.
Loss attributable to EON Resources shareholders for 2025 is expected to be reduced from $10.1 million to approximately $7.5 million.
Management determined on October 8, 2026 that the 2025 Form 10-K should no longer be relied upon.
The restatement has no impact on cash flows or cash, cash equivalents and marketable investments; figures remain subject to audit and review, which the company discussed with CBIZ CPAs P.C.
Starry Sea Acquisition Corp postponed its extraordinary general meeting from October 9 to October 19, 2026 to allow more time to engage with shareholders. As of the October 7, 2026 redemption deadline, 4,281,993 public shares had been submitted for redemption, leaving 1,468,007 public shares outstanding, and the company is seeking to reverse redemption requests on about 350,174 shares.
Meeting moved from 10:00 a.m. ET on October 9, 2026 to 9:00 a.m. ET on October 19, 2026.
4,281,993 public shares submitted for redemption as of October 7, 2026; 1,468,007 public shares outstanding.
Company is seeking reversal of redemption requests on about 350,174 public shares; if achieved, at least 1,818,181 would remain outstanding.
At 1,818,181 remaining shares, the company estimates a monthly extension contribution of about $59,999.97 at $0.033 per share, below the $60,000 cap.
Duos Technologies Group disclosed employment agreements with its Chief Financial Officer, Christopher DeAlmeida, and newly named Chief Legal Officer, Matthew Polimeni, each with a three-year term, a $350,000 base salary, a target bonus of 80% of salary, and a grant of 200,000 restricted shares. The filing sets out severance and change-of-control terms, which determine what the executives would receive if their employment ends, so shareholders should note the potential cost of these arrangements.
Christopher DeAlmeida's Employment Agreement, dated October 4, 2026, is effective August 24, 2026, the date he was named CFO, and runs through August 23, 2029.
Matthew Polimeni was named Chief Legal Officer on September 8, 2026; his Employment Agreement, dated October 2, 2026, is effective that same date.
Both executives received 200,000 restricted shares, with vesting scheduled for August 31, 2029 (DeAlmeida) and October 1, 2029 (Polimeni).
Termination without Cause would pay one times base salary plus target bonus; after a Change of Control, the multiple rises to 1.5 times, and equity vests immediately.
AutoZone director Claire R. McDonough told the Board on October 6, 2026, that she will not stand for reelection at the Company's 2026 Annual Meeting of Stockholders. She cited a new executive role at another company whose events calendar conflicts with several future AutoZone board meetings, and the filing says her decision did not stem from any disagreement with the Company about its operations, policies, or practices.
Decision communicated to the Board on October 6, 2026; disclosed in an 8-K dated October 9, 2026
Ms. McDonough will not stand for reelection at the 2026 Annual Meeting of Stockholders
Reason given: a new executive role at a different company that conflicts with several future board meetings
Filing states the decision was not related to any disagreement with the Company
Gran Tierra stockholders approved the sale of the company's Colombian and Ecuadorian businesses to Maurel & Prom at a special meeting on October 9, 2026. The company expects about $315 million in net cash proceeds and targets closing on or about December 31, 2026, pending regulatory approvals in Colombia and Ecuador. Stockholders did not approve the non-binding advisory vote on compensation for named executive officers tied to the sale, with more votes against than for.
Sale approved: 19,351,115 shares for, 32,492 against, 7,328 abstaining, out of 19,390,935 shares represented at the meeting
Advisory vote on sale-related executive compensation: 9,557,007 for, 9,658,068 against, 175,860 abstaining
Expected net cash proceeds of about $315 million: about $250 million at closing and about $65 million 364 days later
Closing targeted on or about December 31, 2026, subject to regulatory approvals in Colombia and Ecuador; any share repurchase depends on completion of the sale
Sunshine Biopharma (SBFM) closed a best-efforts public offering on October 9, 2026, with gross proceeds of approximately $6.0 million before placement agent fees and other expenses. The offering included Series D warrants with a $0.66 exercise price, which the company says could bring up to about $14.4 million more if fully exercised, though no assurance is given that any warrants will be exercised.
Common units sold at $0.55 each, with each unit including one share of common stock and two Series D warrants exercisable at $0.66 per share over five years.
Placement agent Aegis Capital Corp. received a 7% fee on the public offering price plus a 1% non-accountable expense allowance.
The company expects to use net proceeds for general corporate purposes and working capital.
The offering was made under a Form S-1 (File No. 333-299274) declared effective on October 7, 2026.
Streamex Corp. received a Nasdaq notice on October 7, 2026, saying its stock has not met the $1.00 minimum bid price for 30 consecutive business days. The company has until April 5, 2027 to regain compliance, and its shares continue to trade on the Nasdaq Capital Market under STEX for now. The notice does not change the listing today, but it signals that the stock has traded below the required level and could lead to delisting if the company fails to comply.
Nasdaq notice dated October 7, 2026, covers closing bid prices from August 25, 2026 through October 6, 2026
Compliance period runs 180 calendar days, until April 5, 2027, to regain the $1.00 minimum bid price
A possible reverse stock split would need to be completed no later than ten business days before April 5, 2027
Company may be eligible for an additional 180-day period, and the filing says there is no assurance it will regain compliance
On October 9, 2026, Flyte Aviation agreed to sell 2,050 shares of Series C-4 Convertible Preferred Stock to existing investors for $2.05 million, with closing expected on or about October 13, 2026. The same day, the company cut the conversion price of its Series C, Series D and Series J preferred stock from $2.30 to $1.00 per share (Series J was reduced to $1.00), which could increase the number of common shares issuable to those holders and may dilute existing shareholders.
2,050 Series C-4 preferred shares at a $1,000 stated value, for $2.05 million in gross proceeds; Dawson James Securities acted as placement agent
Series C-4 shares convertible at $1.00 per share into up to 2,050,000 shares of common stock
Conversion price cut from $2.30 to $1.00 for Series C-1, C-2, C-3, C-4 and Series D preferred stock, with the floor price waived
Series J conversion price reduced to $1.00; the company effected a 1-for-10 reverse stock split on October 5, 2026
Arrive AI agreed on October 5, 2026 to sell 384,615 shares and matching warrants to one accredited investor for $250,000, with the deal closing the same day. The 8-K corrects an October 6 press release that described the sale as a registered direct offering; the company says it was an unregistered private placement, and it must file a resale registration statement within 20 days of closing.
Price of $0.65 per share and accompanying warrant for 384,615 shares; aggregate purchase price $250,000; closed October 5, 2026
Warrant exercisable immediately at $0.70 per share, expires October 5, 2031, and may be exercised on a cashless basis at 3.33 shares per share otherwise issuable
Correction: the October 6, 2026 press release called the deal a registered direct offering; the filing says it was a PIPE exempt from registration under Section 4(a)(2) and Rule 506 of Regulation D
Company must file a Form S-3 resale registration within 20 days after closing; no placement fee is payable and proceeds are for general working capital
Volato Group, Inc. (the filing names this company, not SOAR AI, Inc.) signed an equity line of credit with DFU, LLC that lets it sell up to $1,000,000,000 of Class A common stock over 36 months, at its own discretion. The deal also requires issuing 3,646,974 common shares and 13,058 Series B preferred shares convertible into 56,528,082 common shares, which would dilute existing shareholders.
Up to $1,000,000,000 of Class A common stock may be sold to DFU, LLC over a 36-month Investment Period, at the company's discretion.
Each Put Notice may cover up to $6,000,000 in shares, with a floor price of $0.21 per share.
Commitment Shares: 3,646,974 common shares plus 13,058 Series B preferred shares convertible into 56,528,082 common shares, subject to NYSE American approval.
Without stockholder approval, sales cannot exceed 19.99% of outstanding shares as of October 8, 2026.
Quantum Cyber N.V. entered a sales agreement on October 9, 2026 with Titan Partners Securities LLC to sell up to $100,000,000 of its ordinary shares through an at-the-market offering. The company is not obligated to sell any shares, and it pays the agent a 3.0% commission on gross sales, so the program could add new shares outstanding and dilute existing shareholders if used.
Program size: up to $100,000,000 of ordinary shares, sold through Titan Partners Securities LLC as sales agent
Agent commission: 3.0% of gross sales price, plus reimbursement of certain specified expenses
Intended use of proceeds includes capital expenditures and software development for its motor, propeller and quantum antenna lines, and working capital
Shares are issued under a Form S-3 shelf registration declared effective by the SEC on June 15, 2026
The SEC approved a Nasdaq rule requiring listed companies to maintain at least $5,000,000 in market value of listed securities, and Artelo was among about 180 Nasdaq companies initially flagged as below that threshold. The rule is now under a temporary stay, and the company does not know how long the stay will last or whether the rule will be reinstated in its current form.
SEC approved Nasdaq's $5M MVLS rule on July 22, 2026; a temporary stay was announced July 29, 2026.
On October 5, 2026, the SEC published Nasdaq's proposed change tying the rule's operative date to the end of the stay; comments are due October 29, 2026.
Artelo says it may consider raising capital through its at-the-market equity program or other financings if the rule applies to it, but has not committed to any course of action.
Vistagen Therapeutics' board approved an amended and restated Change in Control Executive Severance Plan effective October 7, 2026. The plan now provides certain severance benefits for an Eligible Employee terminated without Cause even when the termination is not connected to a Change in Control. The filing covers executive compensation terms and does not report financial results or a change in leadership.
Board approved the amended and restated plan on October 7, 2026; the original plan was adopted effective August 11, 2026.
Qualifying Termination now covers termination without Cause or resignation for Good Reason from three months before to eighteen months after a Change in Control.
Non-Change in Control benefits include a lump-sum payment of monthly base salary times the severance period, plus COBRA premium payments, subject to a release of claims.
Each current executive officer is an Eligible Employee; eligibility requires at least 12 months of full-time employment.
Mobix Labs used an investor presentation about its national security platform initiative on an investor update call on October 8, 2026, and furnished the presentation as Exhibit 99.1 to this 8-K. The filing contains no financial results, guidance, or new financial figures, so it gives shareholders no new numbers to weigh.
Investor update call held October 8, 2026, focused on the national security platform initiative
Investor presentation dated October 8, 2026, furnished as Exhibit 99.1
Filing made under Item 7.01 (Regulation FD Disclosure) and Item 9.01 (Financial Statements and Exhibits)
AgEagle Aerial Systems said Chief Operating Officer Brent Pope notified the company on October 5, 2026, that he intends to retire effective November 30, 2026. The company said the decision was not due to any disagreement over its operations, policies or practices, and it will search for a successor.
Brent Pope, Chief Operating Officer, retires effective November 30, 2026
Notice of intent to retire given to the company on October 5, 2026
Pope is expected to help transition his responsibilities until his retirement date
The company will begin a search for a successor; no replacement is named in the filing
Niki BioSolutions entered into an at-the-market offering agreement allowing it to sell up to $1,396,000 of common stock through H.C. Wainwright & Co. and Brookline Capital Markets, under a shelf registration declared effective on October 9, 2026. The company has no obligation to sell any shares, and any sales would dilute existing shareholders and carry a 3.0% placement fee to Wainwright.
Maximum aggregate offering price of up to $1,396,000 of common stock, subject to authorized share availability and Form S-3 eligibility
Placement fee of 3.0% of gross sales price paid to Wainwright on shares sold as sales agent
Wainwright is deemed to have a conflict of interest because its managing director, Dr. Kira Sheinerman, is the Company's largest shareholder and a director; Brookline acts as qualified independent underwriter for no additional compensation
SolarMax Technology reported second quarter 2026 results, with revenue up 49% to $10.2 million and gross profit up to $2.4 million from $605,000 a year earlier. The net loss widened to $4.7 million, or $0.98 per share, from $1.9 million, or $0.50 per share, mainly because of a one-time $4.3 million legal judgment expense tied to its China segment. Shareholders see higher sales and gross profit offset by a larger loss in the period.
Revenue of $10.2 million in Q2 2026, up 49% from $6.9 million in Q2 2025
Gross profit of $2.4 million, up 299% from $605,000 in Q2 2025
Total operating expense of $6.9 million, including a $4.3 million legal judgment related to the China segment
Net loss of $4.7 million, or $0.98 per share, versus $1.9 million, or $0.50 per share, a year earlier
Vivakor, Inc. announced a non-binding Letter of Intent to acquire 100% of Direct Midstream, LLC, a Midland, Texas water midstream company, at a gross purchase price of $40 million. The deal remains subject to due diligence, audited financial statements, a fairness opinion, and a definitive agreement, and the company says there is no assurance it will be completed. The filing also disclosed conversion of $350,000 of a junior secured note into 128,965 common shares.
Gross purchase price of $40 million, based on four times Direct Midstream's targeted 2027 free cash flow of $10 million
At closing, Vivakor would invest $10 million in Direct Midstream, reducing the consideration payable dollar-for-dollar
Remaining consideration would be about $29 million of Series B Preferred Stock and $1 million of common stock, before debt or working capital adjustments
Between October 5 and October 6, 2026, J.J. Astor converted $350,000 of its Second Note into 128,965 common shares
Sidus Space disclosed that two board members resigned effective October 6, 2026: Tiffany Norwood, who also chaired the Audit Committee, and Kelle Wendling. Both cited governance and oversight concerns, and the company disagrees with their stated reasons. The departures remove the audit committee chair and raise questions about board oversight for shareholders.
Tiffany Norwood resigned from the Board, as Audit Committee Chairwoman, and from the Corporate Governance/Nominating Committee, effective October 6, 2026 at 7:15 p.m. ET, citing disagreements over governance and oversight, including handlin
Kelle Wendling resigned from the Board and from the Audit, Compensation and Corporate Governance/Nominating Committees, effective October 6, 2026 at 1:00 p.m. ET, citing concerns about management and governance.
The company said it respectfully disagrees with the substance and characterizations in both resignation letters; both letters are filed as Exhibits 17.1 and 17.2.
SINTX Technologies called its Class B warrants, and holders exercised 941,423 warrant shares at $2.14 per share, producing $2,014,645.22 in gross proceeds. The remaining Class B warrants expired unexercised, and no Class B warrants are now outstanding, while the company had 7,558,073 common shares outstanding as of October 9, 2026.
Gross proceeds of $2,014,645.22 from funded exercises and exchanges covering 941,423 Class B warrant shares at $2.14 per share; call period expired 5:00 p.m. Eastern Time on October 8, 2026
Issued 651,204 shares of common stock, plus pre-funded warrants for 290,219 shares to accommodate 9.99% beneficial ownership limits
Remaining 941,423 Class B warrants expired without consideration; Class A warrants were unaffected
Common shares outstanding were 7,558,073 as of close of business October 9, 2026
NextBoat Inc. said its Chief Financial Officer, Chad Corbin, has decided to resign, with notice given to CEO Ross Tannenbaum on October 5, 2026. Corbin will remain CFO during a transition period until a successor is identified, and the filing says the departure did not result from any disagreement with the company on operations, policies or practices. For shareholders, a CFO change is a significant leadership event, though the filing gives no successor name or timing.
Chad Corbin notified CEO Ross Tannenbaum of his resignation as CFO on October 5, 2026.
Corbin will continue as CFO during a transition period until a successor is identified.
The filing states the resignation was not due to any disagreement with the company on operations, policies or practices.
The 8-K was filed October 9, 2026; no successor CFO is named in the filing.
HealthEquity terminated Chief Commercial Officer Michael Fiore without cause, effective October 5, 2026, according to an 8-K filed October 9, 2026. The company said his duties will be redistributed among other members of management, and the filing does not name a replacement.
Termination without cause effective October 5, 2026
Responsibilities of the Chief Commercial Officer to be redistributed to other management team members
Severance and benefits follow the employment agreement, as detailed in the May 13, 2026 proxy statement, conditioned on a release of claims and continued compliance with restrictive covenants
Outstanding equity awards to be treated under the 2014 and 2024 Stock Incentive Plans and related award agreements
Cosmos Health reported preliminary, unaudited revenue of about $54.3 million for the nine months ended September 30, 2026, up 19% from $45.6 million a year earlier, and about $17.4 million for the third quarter. The company reaffirmed its expectation that full-year 2026 revenue will surpass $90 million, which matters to shareholders because it signals continued growth, though the figures are preliminary and the complete third-quarter results are not yet reported.
Nine-month 2026 revenue of about $54.3 million, up $8.7 million, or 19%, from $45.6 million in the same period of 2025
Third-quarter 2026 revenue of about $17.4 million, compared with a record $17.1 million in the third quarter of 2025
Full-year 2026 revenue outlook of over $90 million reaffirmed; the company expects the fourth quarter to be its strongest ever
Figures are preliminary and unaudited; complete third-quarter results will be reported in the Form 10-Q
Profusa dismissed CBIZ CPAs as its independent auditor on October 5, 2026, and engaged WithumSmith+Brown for fiscal 2026. CBIZ's prior audit report for 2025 included a going-concern paragraph and the company disclosed unremediated material weaknesses in internal control, which matters to shareholders because it signals financial reporting and viability concerns.
CBIZ CPAs dismissed on October 5, 2026; its 2025 audit report had no adverse opinion or disclaimer but included a going-concern explanatory paragraph.
Material weaknesses in internal control, including segregation of duties and complex debt and equity accounting, had not been remediated as of June 30, 2026.
WithumSmith+Brown engaged on October 6, 2026, for the fiscal year ending December 31, 2026, following Audit Committee and Board approval on September 30, 2026.
No disagreements with CBIZ were reported; CBIZ's response letter is filed as Exhibit 16.1.
Sound Point Meridian Capital, Inc. estimated its unaudited net asset value per share at $9.04 to $9.14 as of September 30, 2026. For the quarter ended September 30, 2026, it estimated net investment income of $0.24 to $0.32 per share and a realized loss of $0.68 to $0.60 per share. The realized loss is larger than the estimated net investment income, so shareholders face a mixed picture for the quarter.
Estimated net asset value per share as of September 30, 2026: $9.04 to $9.14
Estimated net investment income for the quarter: $0.24 to $0.32 per share
Estimated realized loss for the quarter: $0.68 to $0.60 per share
Quantum Corporation terminated Chief Financial Officer William H. White effective October 9, 2026, and appointed Chief Accounting Officer Hiral A. Patel as Principal Financial Officer the same day. The company said it is early in its closing process for the quarter ended September 30, 2026, but expects to meet or exceed its previously issued guidance, a view subject to completion of closing procedures and audit review. The filing does not state a reason for the termination.
William H. White terminated as CFO and principal financial officer effective October 9, 2026; the company says no disruption to operations is expected
Hiral A. Patel, Chief Accounting Officer since September 1, 2026, appointed Principal Financial Officer effective October 9, 2026
Company expects to meet or exceed guidance for the quarter ended September 30, 2026, but results remain subject to closing and auditor review
Company expects to timely file its Form 10-Q for the quarter ended September 30, 2026
i3 Verticals, LLC, a subsidiary of i3 Verticals, Inc., entered into an Amended and Restated Credit Agreement on October 9, 2026, replacing its prior credit agreement dated May 8, 2023. The filing describes a $350 million senior secured revolving facility with JPMorgan Chase Bank, N.A. as administrative agent, with pricing tied to the company's net leverage ratio and financial covenants that include a minimum interest coverage ratio of 3.00 to 1.00 and a maximum net leverage ratio of 4.00 to 1.00.
Replaces the Borrower's prior credit agreement dated May 8, 2023, which was amended over time
Provides $350 million of aggregate revolving commitments, secured by first-priority interests in substantially all assets
Permits additional commitments of the greater of $100 million or 100% of consolidated EBITDA for the last four quarters
Covenants require interest coverage of at least 3.00 to 1.00 and net leverage of no more than 4.00 to 1.00
On October 9, 2026, Vaxcyte closed the sale of $575 million of 1.50% convertible senior notes due 2032, including an over-allotment option exercised in full, and a separate equity offering of 7,412,500 shares at $64.00 each plus pre-funded warrants. The filing reports net proceeds of approximately $558.7 million from the notes and $544.3 million from the equity offering, and notes that conversion of the notes would be settled in cash, shares, or a mix at Vaxcyte's election, which could dilute shareholders if shares are issued.
Convertible notes: $575 million principal, 1.50% interest, maturing October 15, 2032, with an initial conversion price of approximately $89.60 per share
Equity offering: 7,412,500 shares at $64.00 per share plus 400,000 pre-funded warrants, with a 1,171,875-share option exercised in full on October 7, 2026
Approximate net proceeds: $558.7 million from the notes and $544.3 million from the equity offering, after underwriting discounts and expenses
Both offerings were underwritten by Jefferies LLC and Leerink Partners LLC and closed on October 9, 2026
Factorial Energy Inc. disclosed that an arbitrator issued a final award on October 7, 2026, in favor of a vendor in a contractual dispute, requiring the company to pay a net amount of approximately $4.5 million. The dispute was previously disclosed in the company's quarterly report for the quarter ended June 30, 2026, and the filing does not state how the payment will be funded or how it affects the company's financial results.
Final arbitration award issued October 7, 2026 by the International Centre for Dispute Resolution
Company must pay a net amount of approximately $4.5 million to the vendor
Arbitration began March 14, 2025 over a contractual dispute with a vendor
Dispute was previously disclosed in the Form 10-Q filed August 11, 2026
On October 9, 2026, T Stamp entered an Equity Distribution Agreement with Maxim Group LLC, allowing the company to sell common stock through Maxim as sales agent or principal. The offering covers up to $5,323,474 of shares under a prospectus supplement, and the company is not obligated to sell any shares. Shareholders could face dilution if the company sells shares under the program.
Maxim receives a commission of 3.0% of aggregate gross proceeds from each share sale, plus reimbursement of certain expenses up to $40,000 in aggregate and up to $3,000 quarterly for counsel fees.
The ATM prospectus covers up to $5,323,474 of common stock, subject to the Form S-3 registration statement declared effective April 30, 2026 and baby shelf limits.
The company is not required to sell any shares, and either party may terminate the agreement on 15 days written notice.
Mitek Systems said Michael E. Diamond, Senior Vice President of Sales, Check Verification and a named executive officer for fiscal 2026, will leave the company on December 8, 2026. He will receive separation benefits under the company's Executive Severance and Change of Control Plan because the termination is without cause. The filing does not describe a successor or any change to company financial results.
Michael E. Diamond, SVP of Sales, Check Verification, employment ends December 8, 2026
Departure is a termination without cause under the Executive Severance and Change of Control Plan
Diamond is a named executive officer for fiscal year 2026
Filing does not name a successor or report financial figures
Standard Motor Products said Chief Financial Officer Nathan Iles will resign to take a CFO position at another public company, effective after he remains in his role until October 30, 2026. The Board appointed director James J. Burke as Interim CFO effective October 30, 2026, until a permanent successor is named, and the company has started an executive search. The company said the resignation was voluntary and not due to any disagreement over operations, financial reporting, policies, or practices.
Nathan R. Iles remains CFO through October 30, 2026
James J. Burke becomes Interim CFO effective October 30, 2026 and stays on the Board
Company has begun an executive search for a permanent CFO
Company is scheduled to report third quarter and nine-month 2026 earnings before market open on October 30, 2026
MSG Rangers Corp., formerly MSGS Spinco, Inc., disclosed that its Form 10 registration statement became effective on October 9, 2026, and that Joseph M. Cohen was appointed to its board and to the Audit and Compensation Committees. The distribution of its shares to MSG Sports stockholders is expected to take effect at 11:59 p.m. New York City time on October 26, 2026, when the company will own the New York Rangers business and begin trading on the NYSE as MSGR.
Registration statement effective October 9, 2026 at 4:00 p.m. New York City time; distribution expected October 26, 2026 at 11:59 p.m.
Record date is October 20, 2026; holders receive one Spinco Class A share for every two MSG Sports Class A shares held
Joseph M. Cohen appointed director effective October 9, 2026, and named to the Audit and Compensation Committees
Dolan Family Group expected to hold about 63.4% of total voting power after the distribution
On October 5, 2026, Hydrofarm entered into a mutual release agreement settling all claims related to an engagement between the parties. As part of the deal, the company agreed, subject to certain milestones, to issue 300,000 non-voting convertible preferred shares, which would convert into 300,000 shares of common stock once stockholders approve the issuance as required by Nasdaq rules. The filing also furnishes an investor presentation posted October 7, 2026, but gives no financial results.
Agreement and mutual release dated October 5, 2026 settles all claims related to the parties' engagement
Company agreed to issue 300,000 non-voting convertible preferred shares, subject to certain milestones
Preferred shares convert into 300,000 common shares only after stockholder approval under Nasdaq rules
Investor presentation posted October 7, 2026 and furnished as Exhibit 99.1
Saratoga Investment Corp. and its subsidiary SIF II amended the Valley National Bank credit facility on October 8, 2026, raising available borrowings from $85.0 million to $110.0 million and allowing commitment increases up to $135.0 million over the first two years. The amendment also loosens concentration limits for healthcare and the three largest obligors and replaces Henri Steenkamp with Christine Ramdihal as Key Person.
Borrowings available under the Valley Credit Facility rise from $85.0 million to $110.0 million.
Permitted commitment increases during the first two years rise from $100.0 million to $135.0 million, subject to terms and a customary fee.
Healthcare concentration limit rises from 25.0% to 35.0% of Aggregate ECA Value; three largest obligors limit rises from 30.0% to 35.0%.
Christine Ramdihal replaces Henri Steenkamp as Key Person under the agreement.
Digital Realty Trust sold €1.0 billion of 5.125% guaranteed senior unsecured notes due October 9, 2036, through a finance subsidiary, with the parent and operating partnership guaranteeing the debt. Net proceeds were about €985.8 million, which the company intends to use for green projects, debt repayment and general corporate purposes. The filing adds a new long-term debt obligation but does not report earnings or guidance.
Issue size: €1.0 billion of notes sold at 99.289% of principal, maturing October 9, 2036
Interest at 5.125% per year, payable each October 9 starting October 9, 2027
Net proceeds of approximately €985.8 million, to be allocated to Eligible Green Projects or used for other general purposes
On October 5, 2026, Ares Commercial Real Estate Corporation amended its master repurchase facilities with Citibank, Morgan Stanley Bank, and Wells Fargo Bank. The amendments reduce the minimum tangible net worth the company must maintain under each facility from $500 million to $400 million, and the Wells Fargo facility also adds 80% of net proceeds from future equity issuances. The filing does not disclose borrowing amounts under the facilities.
Amendments dated October 5, 2026, cover the Citibank, Morgan Stanley Bank, and Wells Fargo Bank facilities.
Minimum tangible net worth requirement under each facility reduced from $500 million to $400 million.
Wells Fargo facility adds 80% of net proceeds from future equity issuances to the requirement.
Shareholders approved an amendment extending the company's deadline to complete a business combination from October 9, 2026 to April 9, 2027, in monthly steps up to six times or an earlier date set by the board. Holders of 18,322,071 public shares redeemed for about $198.6 million, about $10.84 per share, leaving 4,677,929 public shares outstanding.
Shareholders approved extending the business combination deadline from October 9, 2026 to April 9, 2027, in monthly steps up to six times.
Holders of 18,322,071 Class A public shares redeemed for about $198.6 million, about $10.84 per share.
Investors holding 4,481,851 Class A shares agreed not to redeem and to vote for the extension; the sponsor will transfer 256,061 Class A shares to them per extension month at the closing of an initial business combination.
Shareholders also ratified WithumSmith+Brown, PC as independent auditor for the year ending December 31, 2026, with 23,647,778 votes for.
Universal Safety Products, Inc. (the filing names this company, not DeFi Capital Markets or DCM as the request stated) entered into an amended and restated securities purchase agreement on October 9, 2026 with SJC Lending LLC for up to $2.5 million in convertible note financing. Conversion shares above 19.99% of common stock require new stockholder approval, and the notes convert at a discount to recent trading prices, which would dilute existing shareholders.
Up to $2,650,000 in convertible notes for up to $2.5 million; $1,000,000 funded June 12, 2026 and $500,000 funded July 29, 2026, with a third $1,000,000 tranche due after a resale registration statement is declared effective
Conversion price is the greater of a $1.00 floor or 80% of the lowest five-day VWAP, capped at $10.00 per share; conversions above 19.99% of shares outstanding need stockholder approval
Notes accrue 8% interest (20% after an event of default) and mature one year after issuance; the company may not enter a variable rate transaction for one year and SJC holds a one-year right of first refusal on future equity offerings
McGraw Hill's subsidiary completed a $400 million offering of 8.000% senior secured notes due 2033 and $930 million of term loans on October 9, 2026, using the proceeds to redeem its 5.750% notes due 2028 and refinance its existing term loan. The company said the transactions extend debt maturities and reduce the revolver's interest rate, and that it continues to reduce gross debt. The filing reports no earnings or guidance figures, so the effect on profitability is not stated.
$400 million of 8.000% senior secured notes due 2033 issued by McGraw-Hill Education, Inc., with interest payable January 15 and July 15 starting July 15, 2027
$930 million A&E Term Loan Facility maturing October 7, 2033, bearing interest at SOFR plus 2.75%
Revolving credit facility commitments set at $150 million and extended to October 9, 2031
On September 30, 2026, the company prepaid $50 million of term loan principal
Fluence Energy entered a separation agreement on October 8, 2026 with Peter Williams, its former Senior Vice President and Chief Product Officer. Williams will receive a $593,750 lump sum, accelerated vesting of 12,184 RSUs and 11,347 PSUs, and up to twelve months of COBRA premium reimbursement, subject to a release of claims.
Separation agreement dated October 8, 2026 with former SVP and Chief Product Officer Peter Williams
Lump sum payment of $593,750, less standard payroll deductions and withholdings
Accelerated vesting of 12,184 RSUs and 11,347 PSUs, plus COBRA premium reimbursement for up to twelve months
Ashford Trust subsidiary Ashford Philly LP completed the sale of the Embassy Suites Philadelphia hotel on October 6, 2026, for approximately $26.0 million in cash, under an agreement dated July 27, 2026. The company also paid approximately $24.6 million to the mortgage lender on a loan secured by 12 hotels, including this one, and the filing includes pro forma financials showing the hotel's removal from the company's results.
Buyer named as SSN 9000 Bartram Road LLC; sale closed October 6, 2026.
Item 2.01 cites approximately $26.0 million in cash, subject to customary pro-rations; Exhibit 99.1 cites approximately $25.2 million net of selling expenses.
Approximately $24.6 million paid to the mortgage lender; the loan is secured by 12 hotels.
Pro forma statements, as of June 30, 2026, show total assets of $2.3 billion before the adjustment, and label the 2025 gain from the sale as preliminary and non-recurring.
Evernorth Holdings, formerly the Armada Acquisition Corp II SPAC, closed its business combination with Ripple's XRP contribution on October 9, 2026, making Pubco the successor registrant. Holders of 18,463,753 public shares redeemed for about $193.6 million, and the filing's pro forma figures show a $264.1 million digital assets impairment for the six months ended June 30, 2026, which weighs on the combined company's results.
Closing took place October 9, 2026; 4,536,247 public shares remained outstanding and about $47.6 million was released from the trust account.
Public share holders redeemed 18,463,753 shares for about $193.6 million, or about $10.49 per share.
Ripple contributed 126,791,458 XRP tokens; the Closing XRP Price of $1.43069 was below the $2.36609 signing price, and amended agreements reduced the shares issuable to investors.
Pro forma digital assets impairment was $264.1 million and pro forma net loss attributable to the parent was $268.7 million for the six months ended June 30, 2026; lock-ups last six months after closing.
BARK, Inc. said principal accounting officer Brian Dostie resigned, effective October 23, 2026, to pursue another professional opportunity, and ceased serving in that role on October 9, 2026. The company designated CFO Anya Hamill to also serve as principal accounting officer, with no additional compensation, and said the resignation did not stem from any accounting or disclosure disagreement.
Brian Dostie ceased serving as principal accounting officer effective October 9, 2026; his resignation takes effect October 23, 2026.
Dostie's resignation is not tied to any disagreement with auditors, management, accounting principles, disclosure or internal controls.
Anya Hamill, CFO since September 8, 2026, was named principal accounting officer effective October 9, 2026, with no additional compensation.
Gray Media amended its senior credit facility on October 9, 2026, increasing Term Loan G by $75 million to $675 million, with proceeds and cash on hand expected to fund the redemption of $150 million of its 10.500% senior secured notes due 2029 on October 19, 2026. The redemption is conditioned on funding of the added loan, which is expected by October 19, 2026, and after the transactions Gray expects $200 million of 2029 notes to remain outstanding.
The $75 million incremental Term Loan G brings its principal to $675 million and is due July 15, 2030, with delayed draw availability expected on or before October 19, 2026.
$150 million of 2029 notes would be redeemed on October 19, 2026 at 105.250% of principal, plus accrued and unpaid interest, if the loan funds.
Term Loan G bears interest at Term SOFR plus 3.50% or the base rate plus 2.50%, with quarterly principal reductions of 0.25% of the initial principal amount.
Gray expects $200 million of 2029 notes outstanding after the transactions.
DENTSPLY SIRONA obtained lender consent and amended its revolving credit facility and three note purchase agreements, effective around September 30, 2026. The changes raise the maximum permitted leverage ratios for the quarters ending September 30 and December 31, 2026, and add tighter limits on new liens, subsidiary debt and restricted payments. The company says the revised terms are intended to keep it in compliance with its debt covenants in all material respects.
Maximum permitted Total Leverage Ratio and Senior Leverage Ratio increased for fiscal quarters ending September 30, 2026 and December 31, 2026.
Until the compliance certificate for fiscal 2026 is delivered, new liens and new subsidiary debt are generally prohibited, and restricted payments are limited with certain carveouts.
Credit facility adds a new pricing level for the applicable margin and facility fee; note interest increases if leverage meets specified thresholds.
INNOVATE Corp. entered into a supplemental indenture requiring it to redeem all of its 9.5% Convertible Senior Secured Notes due 2027 after the lock-up on stock it received in the DBMG Global sale ends. The redemption price is 100% of principal plus accrued and unpaid interest, and the amendment removes any obligation to make a repurchase offer, which ties the debt repayment to the timing of the lock-up expiration.
All Convertible Notes are to be redeemed on the 15th business day after the lock-up period ends.
Redemption price is 100% of principal plus accrued and unpaid interest to, but excluding, the redemption date.
The lock-up expires on the earlier of December 4, 2026 or the date a resale registration statement for the DBMG stock consideration is deemed effective.
The supplemental indenture is dated October 9, 2026, amends the indenture dated August 4, 2025, and is signed by CFO Michael J. Sena.
Cigna Group said director Donna F. Zarcone informed the Board on October 6, 2026, that she will retire effective December 31, 2026. The company stated her retirement is not the result of any disagreement with the company.
Donna F. Zarcone notified the Board of her retirement on October 6, 2026.
Retirement takes effect December 31, 2026.
The company said the retirement is not due to any disagreement with Cigna.
Filing was signed by Andrea Nelson, General Counsel and Corporate Secretary, on October 9, 2026.
Director W. Kimball Griffith, who had served on the board of the general partner's manager since 2015 and on its Audit Committee, retired effective October 9, 2026, and the filing says the retirement was not tied to any disagreement. The board appointed existing member Robert K. Jacobsen to the Audit Committee to fill the vacancy, and the filing says he meets NYSE and SEC independence standards for that role.
W. Kimball Griffith retired from the board effective October 9, 2026, after serving since 2015.
Griffith's retirement also constitutes his retirement as the equivalent of a director of the Partnership.
Robert K. Jacobsen was appointed to the Audit Committee as a third independent member on October 9, 2026.
The filing states the retirement was not related to any disagreement with the Company or the Partnership.
Phoenix Education Partners said its Chief Financial Officer and Treasurer, Blair Westblom, will separate from the company effective October 10, 2026, and named Michael Cochran, its Senior Vice President of Corporate Development, as interim CFO. The filing says her departure was not the result of any disagreement on financial reporting, internal controls, operations, policies or practices, and it sets out $1,137,204 in cash severance and other separation benefits.
Blair Westblom, CFO and Treasurer, separates from the company effective October 10, 2026.
Michael Cochran, 39, appointed interim CFO effective October 10, 2026; he has served as SVP of Corporate Development since April 2026.
Separation Agreement includes aggregate cash severance of $1,137,204, a fiscal 2026 cash bonus, and accelerated equity vesting.
No compensation decisions have been made for Cochran's interim role; the Separation Agreement is expected to be filed with the 10-K for the fiscal year ending August 31, 2026.
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