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).
SkyAI, Inc. said it will begin its previously announced cash tender offer on October 15, 2026, when it files a Schedule TO with the SEC after market close. The offer seeks up to 95% of each class of shares and warrants at $3.00 each, a price the company says is a 65% premium to its October 9, 2026 closing share price, and the company expects to hold no SOL once the offer is completed.
Purchase price of $3.00 per share or warrant in cash, a 65% premium to the October 9, 2026 closing share price
Offer expires at one minute after 11:59 p.m. New York City time on October 29, 2026, unless extended or terminated earlier
As of October 14, 2026, the company held about $204.6 million in cash and about 210,000 locked SOL, and sold SOL at an average of $107.51 net of fees
Ocugen signed an exclusive license agreement with Roots Pharmaceutical Company on October 13, 2026, for its OCU400 gene therapy for retinitis pigmentosa in certain Middle East and North Africa countries. Ocugen will receive up to $4 million in upfront and development payments, up to $255 million in sales milestones, and a 22% royalty on Roots' net sales, and will also supply the product under a separate agreement. On the same day, the board postponed the Special Meeting of Stockholders on the proposal to increase authorized common shares by 250,000,000 to December 22, 2026.
Up-front license fee and development milestones of up to $4 million in aggregate
Sales milestone payments of up to $255 million and a 22% royalty on net sales in the Territory
Special Meeting on the authorized share increase postponed to December 22, 2026; new record date is October 30, 2026
ClearOne, Inc. entered into a Loan Agreement dated October 14, 2026, with First Finance Ltd., effective October 7, 2026, under which First Finance agreed to lend the company $200,000. The company expects to use the proceeds for general working capital, and the filing says repayment timing is still to be determined and mutually agreed in writing.
Principal amount of $200,000; the loan bears no interest, including during an event of default.
Repayment date is to be determined and mutually agreed in writing by ClearOne and First Finance.
The company may prepay at any time without notice, bonus or penalty.
Events of default include failure to pay when due, subject to a five-business-day cure period, and bankruptcy or liquidation; governing law is Nevada.
Exascale Labs agreed to sell 12 NVIDIA HGX B300 GPU servers, with network equipment, deployment and 36 months of IT operation services, to a U.S. subsidiary of Taiwan's Sunonwealth Electric Machine Industry for a total contract value of $8,208,000 before import duties and taxes. The filing does not state the effect on the company's revenue or profit, and delivery depends on a 30% down payment, chip manufacturer approval and export and import authorizations.
Total contract value is US$8,208,000, exclusive of import duties and taxes.
Buyer is Sunon Inc., a California subsidiary of Sunonwealth Electric Machine Industry Co., Ltd. (TWSE: 2421).
Payment: 30% down payment within three days of the buyer's purchase order, with the remaining 70% due five business days after shipment-readiness notice.
Agreement dated October 8, 2026, entered October 9, 2026; the filing was dated October 15, 2026.
TriplePoint Venture Growth BDC Corp. declared a regular quarterly distribution of $0.23 per share for the fourth quarter, payable December 30, 2026 to stockholders of record as of December 16, 2026. The company said a previously announced $0.06 per share supplemental distribution will be paid on the same dates, and that it will release third quarter 2026 financial results after market close on November 4, 2026. The filing contains no new financial results.
Regular distribution: $0.23 per share, payable December 30, 2026, record date December 16, 2026
Supplemental distribution: $0.06 per share, previously announced August 5, 2026, same payment and record dates
Third quarter 2026 results to be released after market close on Wednesday, November 4, 2026, with a conference call at 5:00 p.m. Eastern Time
Tron Inc. entered a sales agreement with Clear Street LLC allowing it to sell common stock from time to time through an at-the-market offering. The company is not obligated to sell any shares, and sales would be made under an existing Form S-3 registration statement, so the filing signals potential future share issuance that could dilute existing holders.
Agreement dated October 14, 2026, with Clear Street LLC, covering common stock with par value $0.0001 per share.
Clear Street receives a commission of up to 3% of aggregate gross proceeds from sales as agent.
Neither the company nor Clear Street must sell shares; either party may terminate on ten days' prior written notice.
Shares would be offered under Form S-3 registration statement File No. 333-288986; the filing does not state a dollar amount or number of shares.
Zone Frontier sold its legacy CleanCore cleaning products business, including its Irish subsidiary, to Sanzonate Holdings LLC under an agreement signed and closed on October 7, 2026. Director Clayton Adams controls the buyer, and the transaction was approved by disinterested directors after a fairness opinion from Newbridge Securities Corporation. The company says the sale ends about $3 million in annual cash burn, but it also takes on credit risk from a buyer that is paying mostly through a secured note.
Buyer Sanzonate Holdings LLC is controlled by Clayton Adams, a Zone Frontier director and the buyer's CEO.
Purchase price is $3,350,000, paid by a secured, non-convertible 6% promissory note due in installments at six, 12 and 18 months after closing.
Up to $2,250,000 in earnout payments depends on buyer equity financings at $10 million, $17.5 million and $25 million pre-money valuations, and the company receives a 5% membership interest in the buyer.
The pro forma statements show an estimated gain on sale of $885,579 as of June 30, 2026; the company's 10-K auditor flagged substantial doubt about its ability to continue as a going concern.
Star Equity Holdings furnished an October 14, 2026 investor presentation under Regulation FD, with figures as of June 30, 2026, on its website and as Exhibit 99.1. The deck shows Q2 2026 trailing-twelve-month pro forma revenue of $223.9 million and Adj. EBITDA of $5.9 million, and sets a long-term goal of about $40 million in Adj. EBITDA by 2030. The filing is an informational presentation and reports no new earnings or guidance change.
2030 Adj. EBITDA goal of about $40 million, split by segment: Building Solutions ~$15.0 million, Business Services ~$25.0 million, Energy Services ~$7.0 million, Investments ~$1.0 million
As of June 30, 2026: cash $8.9 million, debt less cash (net debt) $5.2 million; about $11 million of shares repurchased since 2019
Verastem agreed to sell 30,937,500 common shares at $8.00 each, plus pre-funded warrants for up to 312,503 shares, through underwriters led by Jefferies and Guggenheim. The company expects net proceeds of about $234.7 million, with closing expected on or about October 15, 2026. The sale adds a substantial number of shares to the outstanding count, which dilutes existing holders.
30,937,500 common shares offered at $8.00 each, before underwriting discounts and commissions
Pre-funded warrants for up to 312,503 shares offered at $7.9999 each, with a $0.0001 exercise price
Expected net proceeds of approximately $234.7 million, after underwriting discounts and estimated expenses
Offering made under a shelf registration effective August 15, 2025; closing expected on or about October 15, 2026
ImmunityBio announced on October 14, 2026 that the FDA expanded the approved indication for ANKTIVA plus BCG to include patients with BCG-unresponsive non-muscle-invasive bladder cancer (NMIBC) with papillary-only tumors. The company says this is the first FDA approval to cover that group and that access now extends to all patients with BCG-unresponsive NMIBC. The filing contains no revenue, earnings, or guidance figures, so the effect on shareholders depends on future commercial results.
FDA expanded the ANKTIVA plus BCG indication on or before October 14, 2026, adding BCG-unresponsive NMIBC with papillary-only tumors
The company states papillary disease represents approximately 85% of the NMIBC patient population
The prior FDA approval, in April 2024, covered BCG-unresponsive NMIBC with carcinoma in situ, with or without papillary tumors
In Cohort A of the QUILT-3.032 trial, 62% of 77 patients achieved a complete response
Mannatech told investors it believes it has regained compliance with Nasdaq's $2.5 million minimum stockholders' equity requirement, after a deficiency notice dated April 20, 2026. The claim rests on a pro forma adjustment tied to a share purchase agreement and a tax ruling, and the auditor review and Nasdaq's own view are still pending, so the listing outcome remains uncertain for shareholders.
Stockholders' equity was $(5,223,000) per the 2025 Form 10-K and $(4,970,000) as of June 30, 2026, per the Q2 Form 10-Q, against a $2,500,000 requirement.
Mannatech's share purchase agreement gives it 100% direct ownership of Mannatech Swiss Holdings GmbH, which the company says qualifies distributions for a 5% withholding tax rate.
Nasdaq will keep monitoring; if the 10-K for the year ending December 31, 2026 does not show compliance, the company may face delisting, with a right to appeal to a Nasdaq Hearings Panel.
The Q3 2026 Form 10-Q is expected on or before November 16, 2026, and the pro forma adjustment will be reviewed by the independent auditor.
Home BancShares reported record third-quarter 2026 net income of $129.5 million, or $0.65 per diluted share, up from $119.3 million and $0.59 in the second quarter. Total revenue fell to $288.4 million from $295.1 million in the prior quarter, though it rose from $277.7 million a year earlier, and non-performing assets increased to $245.3 million.
Net income of $129.5 million and diluted EPS of $0.65 for Q3 2026, versus $119.3 million and $0.59 in Q2 2026 and $123.6 million and $0.63 in Q3 2025
Total revenue (net) of $288.4 million, down from $295.1 million in Q2 2026 and up from $277.7 million in Q3 2025
Non-performing assets rose to $245.3 million, or 1.02% of total assets, from 0.93% at June 30, 2026
Management conference call set for 1:00 p.m. CT (2:00 p.m. ET) on October 15, 2026
Plum Acquisition Corp. IV received a Nasdaq notice on October 7, 2026, saying it did not meet the 400 total holders requirement for continued listing on the Nasdaq Global Market. Nasdaq states the notice has no immediate effect on the listing or trading of the company's securities, but the company must submit a compliance plan and may be granted up to 180 days to regain compliance.
Nasdaq Listing Rule 5450(a)(2) requires at least 400 total holders; the company was found not in compliance.
The company has 45 calendar days to submit a plan to regain compliance.
If Nasdaq accepts the plan, an extension of up to 180 calendar days from the notice date may be granted.
The filing says there is no assurance the company will regain compliance.
Lawson Products, a wholly owned subsidiary of Distribution Solutions Group, agreed on October 12, 2026 to acquire GradeEight Holdings for about $145 million, subject to adjustments, funded by borrowings under its $400 million revolving credit facility and available cash. The deal is a significant acquisition, and the filing also references a separate July 15, 2026 merger agreement under which the company would become private and leave Nasdaq, with its CEO's affiliates owning about 78.5% of shares.
Purchase price is approximately $145 million, with no financing condition
GradeEight generates approximately $110 million in annual sales and is expected to close in the fourth quarter of 2026
Separate July 15, 2026 merger agreement with entities affiliated with CEO J. Bryan King, who with LKCM Headwater owns about 78.5% of shares
Completion of that merger would delist the common stock from Nasdaq and requires stockholder approval
Vistance Networks' Board declared a one-time special cash distribution of $1.50 per share, payable November 6, 2026, to holders of record on October 26, 2026. The company expects to fund it with available cash, including proceeds from the July 1, 2026 sale of its Ruckus Networks business, and says it brings 2026 special distributions to $16.50 per share.
Special distribution of $1.50 per share, payable November 6, 2026
Record date October 26, 2026; ex-dividend date November 9, 2026 under Nasdaq Rule 11140(b)(2)
Company says total 2026 special distributions reach $16.50 per share
Company does not believe it has a meaningful amount of earnings and profits, so the distribution is expected to be treated first as a return of capital for U.S. federal tax purposes
Orchid Island Capital estimated a GAAP net loss of $0.90 per share for the quarter ended September 30, 2026, including $1.17 per share of net realized and unrealized losses on RMBS and derivatives. Estimated book value fell to $6.02 per share, and the company's estimated total return on equity for the quarter was (12.5)%, with the figures preliminary and subject to auditor review. The board also declared a $0.10 per share dividend for October 2026, payable November 27, which is below the $0.30 per share declared in the quarter.
Estimated GAAP net loss of $0.90 per share for the quarter ended September 30, 2026, including an estimated $1.17 per share of net realized and unrealized losses on RMBS and derivative instruments.
Estimated book value per share of $6.02 at September 30, 2026, a decrease of $1.20 from June 30, 2026.
Estimated total return on equity of (12.5)% for the quarter; dividends declared during the quarter totaled $0.30 per share.
October 2026 dividend of $0.10 per share, payable November 27, 2026 to holders of record and ex-dividend on October 30, 2026; next dividend announcement expected November 10, 2026.
Rezolute said the open-label Phase 3 upLIFT study of ersodetug in tumor hyperinsulinism is fully enrolled, with 16 participants, and topline data are expected in mid-December 2026. The filing contains no new efficacy data, and the company said it will continue its expanded access program.
Study is fully enrolled with approximately 16 participants; topline data expected mid-December 2026
Earlier in 2026, 7 of the first 8 participants met the primary endpoint responder criterion
The eighth participant died one week after enrollment from cancer progression and is counted as a non-responder
Statistical significance requires a response rate of at least 56% (95% CI of 30-80%) for 16 participants
Rent the Runway's subscription period for its previously announced $15 million rights offering expired at 5:00 p.m. Eastern Time on October 14, 2026. Rights not exercised by that deadline have expired and can no longer be exercised, and the filing gives no figures on how many rights were exercised or how much capital was raised.
Subscription period for the $15 million rights offering expired at 5:00 p.m. Eastern Time on October 14, 2026
Rights not exercised by the expiration date are no longer exercisable
The filing does not state the amount of capital raised or the number of rights exercised
Andersen Group Inc. appointed Daniel DePaoli and Peter Coscia, both longtime senior executives, to its Board of Directors effective October 13, 2026. The Board size increases from 8 to 10 directors, and the company says the appointments add operational expertise as it pursues global growth.
Daniel DePaoli and Peter Coscia appointed to the Board, effective October 13, 2026
Board size increased from 8 directors to 10
DePaoli has held senior leadership roles at Andersen since 2002; Coscia has held leadership roles there since 2002
Filing does not disclose financial results or compensation terms for the new directors
Neuraxis's board declared a third-quarter 2026 dividend on its Series B Preferred Stock, payable in common stock rather than cash. About 81,339 common shares are expected to be issued, priced at $2.38 per share, with the payment due October 30, 2026 to holders of record as of October 26, 2026.
Dividend paid in common stock, based on accrued unpaid dividends from July 1, 2026 through the record date divided by $2.38
About 81,339 common shares expected to be issued
Fractional shares paid in cash at $2.38 per whole share
Payable October 30, 2026 to holders of record as of October 26, 2026
GoldMining Inc., the parent of U.S. GoldMining, furnished unaudited interim financial statements and MD&A for the three and nine months ended August 31, 2026, filed on Form 6-K and attached to this 8-K. The company reports in Canadian dollars, and the filing says the figures are preliminary, not prepared under US GAAP, and subject to adjustment because the September 30, 2026 quarter-end close is not complete. The three-month net loss widened sharply, mainly on higher exploration expenses, which matters to shareholders as it reduces cash and the equity base.
Three-month net loss of C$14.1 million (C$14,134 thousand) versus net income of C$0.3 million (C$252 thousand) a year earlier; loss per share of C$0.05 versus C$0.00.
Three-month exploration expenses of C$11.4 million versus C$3.8 million; Whistler project exploration spending of C$9.6 million versus C$1.6 million.
Nine-month net loss of C$30.7 million versus C$4.4 million; cash and cash equivalents of C$16.7 million at August 31, 2026, down from C$24.9 million at November 30, 2025.
Figures are unaudited and subject to change; the quarter ended September 30, 2026 close is not yet complete.
Alight posted confidential lender presentation materials on its website, titled "Alight, Inc. Supplemental Information," after discussing a possible refinancing or extension of its May 1, 2017 credit agreement. The company said it has elected not to actively pursue that transaction and has no definitive agreement, and it reaffirmed its 2026 business outlook. The materials are dated to April through June 2026 and should not be relied on for investment decisions.
Alight made its Cleansing Materials available on its website on October 14, 2026, and they will remain available through December 31, 2026.
The company has elected not to actively pursue a potential refinancing or extension of its credit agreement dated May 1, 2017, and no definitive agreement has been reached.
Alight reaffirmed its previously disclosed full year 2026 business outlook, and the Cleansing Materials' projections do not change it.
Nathan's Famous said it is voluntarily supplementing its definitive proxy statement for the proposed $102.00-per-share merger with Smithfield Foods, after two stockholder lawsuits and fifteen demand letters challenged the proxy's disclosures. The company and its board deny the claims, but say the supplements aim to moot the disclosure claims and reduce litigation costs and risks before the October 23, 2026 special meeting of stockholders.
Two lawsuits were filed September 30, 2026, in the Supreme Court of the State of New York against the company and its board, and seek to enjoin the merger.
Purported stockholders delivered fifteen demand letters and two Section 220 books-and-records demands under Delaware law.
The supplemental disclosures cover executive retention discussions with the buyer and Jefferies LLC's selected companies analysis.
The special meeting of stockholders is scheduled for October 23, 2026; the merger consideration is $102.00 per share.
Five Below entered into a Third Amendment to its Credit Agreement on October 14, 2026, with Wells Fargo as agent. The amendment extends the maturity date from September 16, 2027 to October 14, 2031, and doubles the senior secured asset-based revolving credit facility from $225 million to $450 million. For shareholders, the filing shows expanded borrowing capacity and a longer maturity, but the filing does not describe any drawn amount or the reason for the change.
Maturity date extended from September 16, 2027 to October 14, 2031
Revolving credit facility increased from $225 million to $450 million
Letter of credit subline increased from $20 million to $50 million
Amendment filed as Exhibit 10.1; signed by CFO Daniel J. Sullivan
Innovative Industrial Properties agreed on October 8, 2026 to sell 2,000,000 shares of 9.25% Series B Cumulative Redeemable Preferred Stock at $25.00 per share, with expected net proceeds of about $48.4 million before expenses and before any exercise of the 300,000-share underwriter option. The offering is expected to close on or about October 19, 2026, and the new preferred stock ranks ahead of common shares on distributions, so common holders would face restrictions on payouts if preferred distributions are not declared.
Underwritten offering of 2,000,000 Series B preferred shares at $25.00 per share, with Stifel, Nicolaus & Company as representative
Expected net proceeds of about $48.4 million, before estimated expenses and excluding the 300,000-share option
Offering expected to close on or about October 19, 2026, subject to customary closing conditions
Articles Supplementary filed October 13, 2026 with a $25.00 per share liquidation preference
Comtech said CFO Michael Bondi will leave after he files the first-quarter fiscal 2027 Form 10-Q, and Richard Nyren, now Executive Vice President, Finance, will become CFO at that point. The company tied the changes to the anticipated closing of the sale of most of its Satellite and Space Communications business to an affiliate of Gilat Satellite Networks, and it also named Amy Rothstein-Hovey as General Counsel. The filing says Bondi's departure is amicable and not the result of any disagreement on accounting, financial reporting or controls.
Bondi remains CFO through the filing of the first-quarter fiscal 2027 Form 10-Q, currently anticipated by December 10, 2026
Nyren, age 56, has an annualized base salary of $425,000, a 75% target bonus and a $100,000 sign-on bonus
Bondi receives a lump sum severance of 2.0 times his base salary plus target bonus, plus $500,000 and $300,000 cash payments in place of certain equity awards
Rothstein-Hovey joined as General Counsel on October 1, 2026, succeeding Don Walther, who remains through the S&S closing
On October 14, 2026, Infinity Natural Resources (NYSE: INR) said it recorded a total derivative loss of about $64.4 million for the quarter ended September 30, 2026. The loss combines about $1.2 million in realized losses on settled contracts with about $63.2 million in non-cash mark-to-market losses on open positions. The figures are preliminary and unaudited, so the final amounts could change.
Realized losses on settled derivative contracts of about $1.2 million in the quarter ended September 30, 2026
Non-cash unrealized losses on open derivative positions of about $63.2 million, based on forward price curves at quarter end
Total derivative loss of about $64.4 million; the company says the contracts were entered into under its board-approved hedging strategy
Figures are preliminary and unaudited; final amounts will be reported in the Form 10-Q or a corresponding earnings release
Invesco Mortgage Capital Inc. declared a $0.12 per share cash dividend for October 2026, payable November 16, 2026, and released preliminary unaudited September 30, 2026 data. Estimated book value per common share was $6.74, and the debt-to-equity ratio was 7.6x; the filing does not compare these figures with prior periods, and the data is not audited.
Monthly dividend of $0.12 per share; ex-dividend and record date October 26, 2026; payable November 16, 2026
Estimated book value per common share of $6.74 as of September 30, 2026
Total investment portfolio including TBAs of $8.0 billion; total repurchase agreement borrowings of $6.8 billion
Debt-to-equity ratio 7.6x; economic debt-to-equity ratio 8.3x; unrestricted cash and unencumbered investments of $401.3 million
On October 8, 2026, KB Home's compensation committee approved performance-based restricted stock unit awards to CEO Robert V. McGibney, Jeffrey T. Mezger and Brian J. Woram. The awards vest based on three-year cumulative earnings per share, average return on invested capital and relative revenue growth over December 1, 2026 to November 30, 2029, and this routine compensation disclosure does not change reported results.
Enliven Therapeutics appointed Kristine Ball as a Class II director and Audit Committee member, effective October 14, 2026, expanding the board from seven to eight directors. The company says the appointment comes as it prepares to start the pivotal Phase 3 ENABLE-2 trial of relcobatinib before year-end 2026, a routine governance change with no financial results disclosed.
Kristine Ball appointed Class II director, term expiring at the 2028 annual meeting, and Audit Committee member, effective October 14, 2026
Ball receives $45,000 per year as an outside director and $10,000 per year for Audit Committee service
Initial stock option grant with a grant date fair value of approximately $650,000, vesting monthly over 36 months
Company plans to initiate the Phase 3 ENABLE-2 trial of relcobatinib before year-end 2026
Comtech reported results for fiscal 2026, ended July 31, 2026, with net sales down 17.0% to $249.6 million as legacy U.S. Army contracts wound down. The net loss from continuing operations attributable to common stockholders narrowed to $51.0 million from $67.9 million, and adjusted EBITDA rose 26% to $20.6 million, while the fourth-quarter net loss widened slightly to $9.4 million. The results cover continuing operations only, excluding the S&S business that Comtech agreed to sell to a Gilat affiliate for $157.5 million, a deal expected to close in calendar 2026.
Fiscal 2026 net sales were $249.6 million, down 17.0% from $300.9 million in fiscal 2025.
Fiscal 2026 net loss from continuing operations attributable to common stockholders was $51.0 million, compared with $67.9 million a year earlier.
Adjusted EBITDA rose 26% to $20.6 million, and operating cash flow was $25.0 million versus cash used of $29.2 million in fiscal 2025.
Fourth-quarter net sales were $66.2 million, down 12.1%, and the fourth-quarter net loss was $9.4 million versus $9.1 million a year earlier.
Mattel amended the September 29, 2026 offer letter with Roger Lynch, its Chief Executive Officer, setting his start date as October 12, 2026 and moving the timing of his initial equity awards to that date. The amendment also raises his change-in-control severance multiplier to 2.99 times from two times for terminations on or before December 31, 2028, and adds an excise tax make-whole payment for changes of control on or before that date, which shareholders may view as added cost tied to the CEO's pay package.
Start date set as October 12, 2026; make-whole, inducement and 2026 annual long-term awards now granted on that date rather than the last trading day of the month
Awards total 461,538 make-whole RSUs, 461,538 inducement PSUs and 461,538 annual PSUs at target plus 307,692 annual RSUs
Change-in-control cash severance multiplier raised to 2.99 times from two times for qualifying terminations through December 31, 2028
Excise tax make-whole provision applies to a change of control on or before December 31, 2028; the filing says the amendment followed recent external developments
SM Energy said in a preliminary Item 2.02 filing that it anticipates a net derivative settlement loss of $207 million for the third quarter of 2026. The filing also gives average realized prices for oil, gas and NGLs for the quarter, but it is not a full earnings release and does not estimate third quarter earnings. Shareholders should note the figures are preliminary and unaudited, with full results to come later.
Anticipated net derivative settlement loss for Q3 2026: $207 million, excluding changes in fair value of unsettled positions
Average realized oil price for Q3 2026 (before net derivative settlements): $85.76 per barrel
Average realized gas price: $2.48 per Mcf; NGLs: $29.40 per barrel
Changes in fair value of unsettled derivatives could be material and will be reported with third quarter results
Corvex, Inc. entered an At-the-Market Sales Agreement with Chardan Capital Markets LLC on October 14, 2026, allowing it to sell common stock from time to time. The company pays a 2.5% commission on gross proceeds and intends to use net proceeds for working capital and general corporate purposes. The company has no obligation to sell any shares and may suspend sales at any time, so the filing sets up potential future dilution rather than an immediate share issuance.
Chardan Capital Markets LLC acts as sales agent under the agreement dated October 14, 2026
Corvex pays a 2.5% commission on aggregate gross proceeds from share sales
Legal fees reimbursable up to $75,000 at signing, $10,000 per quarter thereafter, and $30,000 per program refresh
Shares are sold under a Form S-3 shelf registration declared effective September 16, 2026
Riot Platforms entered a custody agreement with BitGo Bank & Trust, which will hold its digital assets and cash, replacing NYDIG Trust Company as custodian. The filing describes segregated accounts, a monthly fee based on average custodied asset value, and a one-year renewable term, but it does not disclose the dollar amount of assets or fees.
Agreement dated October 7, 2026, amended October 14, 2026; NYDIG Trust's custodial agreement terminates when assets transfer to BitGo Bank & Trust
Assets to be held in segregated accounts, with the company retaining title; the company pays a monthly fee based on average asset value
Initial one-year term with automatic renewal; either party may give 60 days' notice of non-renewal; company may terminate early on 14 days' notice with no termination fee
StubHub Holdings amended its credit agreement on October 14, 2026, extending the maturity of its USD and Euro Term Loan Bs from March 15, 2030 to October 14, 2033. The company also shifted the mix between dollar and euro term loans and extended part of its revolving credit facility to 2031. The company says the amendment lowers its term loan borrowing costs by 25 basis points and pushes out its debt maturities.
USD Term Loan B increased from approximately $804 million to approximately $975 million; Euro Term Loan B reduced from approximately €452 million to approximately €300 million
Term loan maturities extended from March 15, 2030 to October 14, 2033; the company states the total term loan amount is unchanged
Margin on the USD Term Loan B is 4.50% and on the Euro Term Loan B is 4.75%; the company cites a 25-basis-point reduction in borrowing costs
$425 million of the $565 million Revolving Credit Facility is now scheduled to mature on October 14, 2031; $140 million remains due September 30, 2030
AMASS Brands received a Nasdaq notice on October 9, 2026, saying its common stock closed below $1.00 for 30 consecutive business days and it is out of compliance with the minimum bid price rule. The notice has no immediate effect on the listing, but if the stock does not regain compliance, the company faces possible delisting, and shareholders should note the separate market value deadline of January 19, 2027.
Bid price closed below $1.00 for 30 consecutive business days, from August 26, 2026 to October 8, 2026
Nasdaq notice received October 9, 2026; grace period to regain compliance runs through April 7, 2027
Compliance requires a closing bid price of at least $1.00 for at least ten consecutive business days
Separate Nasdaq notice of July 22, 2026 on market value requirements has a compliance deadline of January 19, 2027
Future Vision II Acquisition Corp. issued a $65,000 non-interest-bearing promissory note to its sponsor, Hwei Super Speed Co., Ltd., to fund a one-month extension of its deadline to complete a business combination, from October 13, 2026 to November 13, 2026. The company states there is no assurance it will complete a business combination by November 13, 2026, and that it continues to pursue its merger with MicroTouch Technology Inc.
Promissory note principal of $65,000 issued October 12, 2026, to sponsor Hwei Super Speed Co., Ltd.
Note is forgiven if no business combination is completed; otherwise it may convert into units at $10.00 per unit at the sponsor's option
Business combination deadline extended from October 13, 2026 to November 13, 2026
Company reminds market participants that Rights do not convert into Ordinary Shares before a business combination closes
Silo Pharma signed an asset purchase agreement on October 13, 2026, to acquire certain software and related intellectual property from Larry King. The company paid by issuing 150,000 shares of common stock, which are locked up for up to 12 months. The filing does not state the value of the assets or the share price, so the deal's size relative to Silo's business cannot be assessed from this filing.
Agreement dated October 13, 2026, with Larry King as seller
Consideration: 150,000 shares of common stock, par value $0.0001 per share
Shares locked up until the earliest of 12 months, a Change in Control, or company consent
Seller indemnifies the company for misrepresentation, third-party infringement and gross negligence, fraud or intentional misconduct
Lisata Therapeutics' board increased its size from seven to eight members and appointed Jeffrey Farrow, currently CFO and Chief Strategy Officer of Tarsus Pharmaceuticals, to fill the new seat effective October 13, 2026. Mr. Farrow also joined the Audit Committee, and the board determined he is independent under Nasdaq listing rules.
Appointed effective October 13, 2026 as a Class III director, with an initial term expiring at the 2028 annual meeting
Joins the Audit Committee; the board determined he is independent under Nasdaq Capital Market listing rules
Has been CFO and Chief Strategy Officer of Tarsus Pharmaceuticals since April 2023 and previously served as CFO of Global Blood Therapeutics until its acquisition by Pfizer in December 2022
LGI Homes entered into a Seventh Amendment to its credit agreement with Wells Fargo as administrative agent and several lenders on October 9, 2026. The amendment extends the maturity of certain lenders' commitments to October 9, 2030, and provides for aggregate revolving commitments of approximately $1.166 billion, including a $175 million incremental facility.
Amendment dated October 9, 2026, with Wells Fargo Bank, National Association as administrative agent
Commitments of $855 million, or 73.3%, mature October 9, 2030; 18.4% mature April 28, 2029; 8.3% mature April 28, 2028
Aggregate revolving commitments of approximately $1.166 billion, including a $175 million incremental facility
Amendment also modifies borrowing base values and certain financial and other covenants
Equity Bancshares reported third-quarter 2026 net income of $26.8 million, or $1.29 per diluted share, up from $1.27 in the prior quarter, and core EPS of $1.40. Net interest income fell $1.0 million from the prior quarter, and the company raised its quarterly dividend 22% to $0.22 while it works toward the previously announced merger with Lincoln Bancorp.
Net income was $26.8 million, or $1.29 per diluted share, versus $26.4 million, or $1.27, in the prior quarter; core EPS was $1.40.
Net interest income was $72.8 million, down $1.0 million from the prior quarter, as deposit costs increased; loans ended at $5.4 billion.
Quarterly dividend increased 22% to $0.22; 711,369 shares repurchased year to date at a weighted average cost of $44.84.
Fourth-quarter guidance excluding Lincoln: net interest margin of 4.25% to 4.35%, non-interest income of $10.0 million to $11.0 million, and non-interest expense of $47.0 million to $48.0 million.
Better Home & Finance preliminarily reported third-quarter 2026 loan volume of $1.395 billion, within its guidance, but total net revenues of $45.1 million fell below the $49.0 million to $52.0 million guidance range. The adjusted EBITDA loss of $24.8 million to $25.8 million was wider than the $15.0 million to $18.0 million guided, and the company attributed about $8.0 million of it to proxy-related expenses. The results are unaudited and may change.
Loan volume was $1.395 billion, within guidance of $1.375 billion to $1.525 billion, but down 16.3% from $1.666 billion in the second quarter of 2026.
Total net revenues were $45.1 million, below guidance of $49.0 million to $52.0 million, and up 8.6% year over year.
Net loss was $33.1 million to $34.1 million; adjusted EBITDA loss was $24.8 million to $25.8 million versus guidance of $15.0 million to $18.0 million.
Cash and cash equivalents were $81 million; the sale of the Birmingham Bank is expected to close in Q1 2027 and add about $65 million of cash.
Jackson Financial's board elected Donald C. Templin as a new independent director on October 12, 2026, filling the vacancy left by Gregory Durant's resignation earlier this year. He also joined the Audit and Compensation Committees, and the filing says he qualifies as an audit committee financial expert, which matters to shareholders because it adds audit oversight experience to the board.
Board elected Templin on October 12, 2026, for a term ending at the 2027 Annual Meeting of Shareholders
Templin fills the vacancy from Gregory Durant's resignation and joins the Audit and Compensation Committees
Non-employee director pay is an annual cash retainer of $125,000 and an annual equity grant valued at $185,000
Templin is former Executive Vice President and Chief Financial Officer of Voya Financial and previously a certified public accountant at PricewaterhouseCoopers LLP
Costco's Board of Directors declared a quarterly cash dividend of $1.47 per share on October 14, 2026. The dividend is payable November 13, 2026, to shareholders of record at the close of business on October 30, 2026, so it sets the timing for cash payments to existing holders.
Flyte Aviation announced a multi-year partnership under which it is named the Official Private Aviation Partner of the Philadelphia 76ers. The filing furnishes the October 14, 2026 press release and includes no financial results, deal value, or payment terms, so the financial effect on shareholders is not quantified.
Multi-year partnership with the Philadelphia 76ers announced October 14, 2026
Flyte named the Official Private Aviation Partner of the team
Planned activities include digital and social media, premium hospitality, fan engagement, and a "Halftime Flyte Challenge" giving selected fans a chance to win a private flight
Filing does not disclose contract value or financial terms
Pine Tree Acquisition Corp., a Cayman Islands blank check company, closed its initial public offering of 10,000,000 units at $10.00 per unit on October 7, 2026, raising $100 million in gross proceeds. The full $100 million was deposited in a trust account for public shareholders, and the company has until October 7, 2027 to complete an initial business combination. The filing states that the company has not yet selected a target business.
IPO of 10,000,000 units at $10.00 each, $100,000,000 gross proceeds, closed October 7, 2026
Each unit includes one Class A ordinary share and one right to receive three-fourths of one share upon a business combination
Private placement of 140,000 units to sponsors Pine Tree Sponsor Group, LLC and North Penn, LLC for $1,400,000
$100,000,000 placed in trust account; deadline to complete a business combination is October 7, 2027
Green Dot Corporation disclosed that General Counsel Amy Pugh notified the company on October 8, 2026, that she will resign to pursue another professional opportunity. Her resignation takes effect November 2, 2026. The filing does not name a successor or describe any compensation arrangements.
Amy Pugh notified Green Dot of her decision to resign as General Counsel on October 8, 2026.
Her resignation is effective November 2, 2026.
She is leaving to pursue another professional opportunity; the filing does not name a successor.
Elite Express Holding Inc. (ETS) reported results for the quarter ended August 31, 2026, with revenue up 20.9% and gross profit rising to $95,759 from $6,817. Net loss widened to $760,138 from $185,881 a year earlier, mainly because general and administrative expenses rose $865,424 to $1,017,024. For shareholders, the top-line and gross profit gains were offset by a larger loss driven by higher overhead.
Revenue was $766,422 for the quarter, up 20.9% from $633,865 a year earlier.
Gross profit was $95,759, up from $6,817, with gross margin at 12.5% versus 1.1%.
General and administrative expenses rose to $1,017,024, including $586,252 in higher payroll and $137,337 in higher professional fees.
Net loss was $760,138, or $0.02 per share, compared with a net loss of $185,881, or $0.01 per share, a year earlier.
Yext's board on October 11, 2026 approved a nonstatutory stock option for CEO Michael Walrath covering 11,000,000 shares at a $7.00 exercise price, a premium to the $6.93 close on October 9, 2026. The option vests only if the stock hits one of 14 escalating price targets over up to ten years, and it requires stockholder approval within twelve months. The grant is significant because it aligns the CEO's potential pay with large share price gains, but its value depends entirely on those gains being achieved.
Option covers 11,000,000 shares at $7.00 per share, with a ten-year term
Vesting is tied to 14 tranches with target prices from $21.00 to $88.08 per share
Option is subject to stockholder approval within twelve months and is granted outside the 2016 Equity Incentive Plan
Exhibit 10.1, the Stand-Alone Stock Option Agreement dated October 11, 2026, is filed with the report
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