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).
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
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
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
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
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
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.
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.
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.
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.
FTC Solar has set November 30, 2026 as the date for its 2026 Annual Meeting of Stockholders, which will be held virtually, with an October 7, 2026 record date. Because the meeting is being held more than 60 days after the anniversary of its 2025 meeting, the deadline in the 2025 proxy statement no longer applies, and the company set October 19, 2026 as the new deadline for stockholder proposals and director nominations.
2026 Annual Meeting set for November 30, 2026, held virtually online
Record date is October 7, 2026; holders at that close of business may vote
Deadline for Rule 14a-8 proposals and director nominations is October 19, 2026
Company reserves the right to change the record date or meeting date
Cisco's Board of Directors appointed Girish D. Rishi, CEO of Cognite Holding B.V., as a director effective October 9, 2026, and determined he is independent under Nasdaq listing standards. Committee assignments have not yet been decided, and the filing describes standard non-employee director pay and indemnification terms.
Appointed by the Board on October 7, 2026, effective October 9, 2026
Receives a pro rata portion of the $105,000 annual cash retainer and a pro rata portion of a $270,000 fully vested initial equity award
Has entered into Cisco's standard Indemnity Agreement; committee roles not yet determined
Atmos Energy completed a public offering of $700 million in 6.000% senior notes maturing November 15, 2036, on October 9, 2026, under a registration statement on Form S-3. The company received net proceeds of approximately $691.4 million after the underwriting discount and estimated offering expenses, adding to its debt obligations. The notes are unsecured and rank equally with its other unsubordinated debt, and the indenture contains covenants limiting certain liens, sale-leaseback transactions, mergers and asset sales.
Principal amount of $700 million; coupon of 6.000% per year, paid May 15 and November 15, starting May 15, 2027
Net proceeds of approximately $691.4 million after underwriting discount and estimated offering expenses
Notes mature November 15, 2036; company may redeem them at its option under the indenture's terms
Indenture covenants limit specified liens, sale-leaseback transactions, consolidations or mergers, and sales of substantially all assets
BioRestorative Therapies, Inc. appointed Donald J. Currie as a Class I director effective October 7, 2026, filling the seat vacated by Katharyn Field's resignation effective August 31, 2026. Mr. Currie also joined the Nominating and Corporate Governance and Compensation Committees, and the Board deemed him independent under Nasdaq rules. The change is a routine board appointment with no financial results or guidance included.
Donald J. Currie appointed Class I director on October 7, 2026, serving until the 2027 annual meeting
Currie added to the Compensation Committee and Nominating and Corporate Governance Committee
Currie to receive a cash fee of CAD $2,000 per month and will not join the standard non-employee director compensation program
Pool Corporation said Senior Vice President Kenneth G. St. Romain will retire effective December 31, 2026, with the date set on October 5, 2026. After retiring, he will serve in an advisory role to the Chief Executive Officer.
Retirement effective date: December 31, 2026
Announced by the Company on October 5, 2026; retirement first disclosed in a January 12, 2026 Form 8-K
Post-retirement role: advisory to the Chief Executive Officer
Veea Inc. said director Helder Antunes resigned from the board effective immediately on October 8, 2026, and will continue as Executive Vice President and Chief Revenue Officer. The company said the resignation was not due to any disagreement with management or the board, and the board cut its size to five members.
Helder Antunes resigned as a director effective October 8, 2026, citing no disagreement with management or the board
Antunes remains Executive Vice President and Chief Revenue Officer
Board reduced to five members on October 8, 2026, following his resignation
Director Alan Black appointed to the Compensation Committee effective October 8, 2026
Gen's Board appointed Talbott Roche as a director effective immediately, with the Board determining she is independent under Nasdaq listing standards. Committee assignments have not yet been decided. The appointment adds a director who is CEO and President of Blackhawk Network and who previously served on the Electronic Arts board until August 4, 2026.
Board appointment made October 6, 2026, effective immediately; announced in a press release dated October 9, 2026
Board determined Roche is independent under Nasdaq listing standards; committee assignments not yet determined
Receives a pro-rated annual cash retainer and the full annual equity retainer under the standard non-employee director compensation
Currently CEO and President of Blackhawk Network; previously on the Electronic Arts board from 2016 until August 4, 2026
Cheetah Net Supply Chain Service Inc. agreed on October 7, 2026 to sell 100,000 shares of Class B common stock to CEO and Chairman Huan Liu at $3.30 per share, and the deal closed on October 9, 2026. The company received $330,000 in gross proceeds, and the shares were issued as restricted securities in a private placement. The filing gives no use of proceeds, and the amount is small relative to the deal's scope, so its effect on shareholders appears limited.
Purchaser: Huan Liu, the company's CEO, director and Chairman, who is also listed as interim CFO in the signature block
Terms: 100,000 Class B common shares at $3.30 per share, for $330,000 in aggregate gross proceeds
Agreement dated October 7, 2026; transaction closed October 9, 2026
Shares issued privately under Regulation S and/or Section 4(a)(2) and Rule 506(b) of Regulation D
Ethos Technologies filed an updated table of beneficial ownership of its Class A and Class B common stock as of September 30, 2026, provided in connection with the December 2026 Russell index reconstitution. The company states that index eligibility may be calculated differently and that it cannot assure its shares will be included in any indices.
Ownership calculated as of September 30, 2026, based on 41,714,064 Class A and 23,269,929 Class B shares outstanding
Table covers named executive officers, directors, the executive officers and directors as a group, and holders of more than 5%
Sequoia Capital entities hold 5,928,755 Class B shares (25.5%); Accel entities hold 4,607,915 Class B shares (19.8%)
SoftBank-affiliated entities report 3,128,902 Class A shares (7.5%) per a Schedule 13G filed May 15, 2026
Lucid Group drew $400 million under its Delayed Draw Term Loan facilities on October 6, 2026, from an affiliate of the Public Investment Fund. Total principal outstanding under the facility is now about $2.1 billion, with about $400 million of remaining borrowing capacity.
Draw of $400 million made on October 6, 2026 under the existing DDTL agreement with Ayar Third Investment Company
Aggregate principal outstanding under the DDTL is approximately $2.1 billion after the draw
Approximately $400 million of additional borrowing capacity remains available
Key loan terms are incorporated by reference from 8-K filings dated August 5, 2024, November 5, 2025 and April 14, 2026
Liberty Media Corporation said it will host a conference call on Thursday, November 5, 2026, at 10:00 a.m. E.T. to discuss third quarter 2026 results, with a press release on results issued before market open that day. The filing contains no financial results or guidance, so it confirms the timing of the earnings release and call rather than reporting performance.
Third quarter 2026 results call: Thursday, November 5, 2026, at 10:00 a.m. E.T.
Results press release to be issued before the open of market trading on November 5, 2026.
Announcement made October 8, 2026; furnished under Regulation FD as Exhibit 99.1.
Aidin Aghamiri notified Plum Acquisition Corp. IV on October 6, 2026, that he was resigning from the company's board of directors, effective immediately. The filing states the resignation was not due to any disagreement with the company or the board over its operations, policies or practices.
Aidin Aghamiri resigned as a board member, notice dated October 6, 2026
Resignation effective immediately
Filing states no disagreement with the company or board on operations, policies or practices
Filed October 9, 2026 and signed by CEO Kanishka Roy
Liberty Capital Corporation announced it will host a conference call on Thursday, November 5, 2026, at 11:15 a.m. E.T. to discuss third quarter 2026 results. The company said it will issue its results press release before the market opens that day, and the call may cover financial performance and outlook.
Conference call on Thursday, November 5, 2026, at 11:15 a.m. E.T.
Q3 2026 results press release to be issued before market open on November 5, 2026
Call to include prepared remarks followed by a brief Q&A session
Company's wholly owned subsidiary GCI is described as Alaska's largest communications provider
Century Financial Services Corporation shareholders voted on October 9, 2026, to approve the merger agreement with Bank7 Corp. Bank7 also received regulatory approval or non-objection from the Federal Reserve and the New Mexico Financial Institutions Division, and the merger is expected to close on or about November 1, 2026, subject to other closing conditions.
Century shareholders approved the Merger Agreement at a special meeting on October 9, 2026.
Merger Agreement is dated September 16, 2026; Century will merge into Bank7 Corp.
Federal Reserve and New Mexico Financial Institutions Division approval or non-objection received.
Closing expected on or about November 1, 2026, subject to other conditions.
Kayne Anderson BDC, Inc. (KBDC) said it will release its financial results for the third quarter ended September 30, 2026, after market close on Thursday, November 5, 2026. It will host an earnings conference call on Friday, November 6, 2026, at 12:00 p.m. Eastern Time. The filing contains only the release schedule, with no financial results.
Third quarter 2026 results release: Thursday, November 5, 2026, after the close of financial markets
Earnings conference call: Friday, November 6, 2026, at 12:00 p.m. Eastern Time
Press release dated October 9, 2026, furnished as Exhibit 99.1
Citizens, Inc. (CIA) filed a Form 8-K on October 9, 2026, listing Item 1.01, Material Definitive Agreement, and Item 9.01, Financial Statements and Exhibits. The filing text provided includes only the exhibit list and signature, so the agreement's counterparty, terms and financial effect are not stated here. Shareholders should review the full filing and its exhibits for those details.
Item 1.01 (Material Definitive Agreement) is listed, but the filing text provided does not describe the agreement.
Exhibit 104 is Inline XBRL for the cover page of the report.
Signed by Sheryl Kinlaw, Chief Legal Officer and Secretary.
Vogenx director Richard Gorman resigned from the Board and all its committees, effective October 12, 2026, as he joins the company as Chief Commercial Officer. The filing says his resignation was not the result of any disagreement with the company, and Vogenx will search for a new independent director.
Gorman resigned from the Board and its Audit, Compensation, and Nominating and Corporate Governance Committees, effective October 12, 2026; he had served on the Board since 2022
Gorman becomes Chief Commercial Officer effective October 12, 2026, leading commercial operations and corporate strategy, with initial responsibility for business development and licensing strategy
The filing states the resignation was not due to any disagreement on operations, policies or practices
Vogenx will conduct a search to identify a new independent director
Columbia Seligman Premium Technology Growth Fund declared a fourth-quarter distribution of $0.4625 per share under its managed distribution policy. The filing says the distribution is 100% net realized long-term capital gains, and it is payable October 27, 2026 to holders of record on October 19, 2026.
Distribution of $0.4625 per share, payable October 27, 2026; record and ex-dividend date October 19, 2026.
Distribution equals 9.25% annualized of the $20.00 IPO offering price and 3.44% annualized of the $53.77 market price as of September 30, 2026.
Entire distribution is net realized long-term capital gains; year-to-date distributions total $1.85 per share.
Five-year average annual NAV return was 23.82% and year-to-date cumulative NAV return was 55.36% through September 30, 2026.
Origin Bancorp (OBK) said it will release third quarter 2026 results after market close on October 28, 2026, and host an investor conference call on October 29, 2026, at 8:00 a.m. Central Time. The filing is an announcement of timing and logistics only; it does not contain the quarter's financial figures.
Third quarter 2026 results to be released after market close on Wednesday, October 28, 2026
Conference call and webcast on Thursday, October 29, 2026, at 8:00 a.m. Central Time (9:00 a.m. Eastern Time)
Presentation materials to be posted on the company website after market close on October 28, 2026
Call hosted by Chairman, President and CEO Drake Mills, CFO William J. Wallace, IV, and Origin Bank President and CEO Lance Hall
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