2,354 material Form 8-K filings that 2,004 companies we cover made with the SEC in November 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). 1,081 of them were written later, when past filings were added: a selection, not every 8-K of the month (see the note below).
Upland Software entered a Dividend Waiver Agreement with Ulysses Aggregator, LP, an affiliate of HGGC and holder of all 115,000 Series A Convertible Preferred shares, under which dividend accrual on the preferred stock is waived for an indefinite period effective October 1, 2026. The company expects the waiver to improve net income attributable to common stockholders and per-share results beginning in the fourth quarter of 2026, and the filing gives no dollar amount for the waived dividends.
Ulysses Aggregator, LP, an affiliate of HGGC, holds all 115,000 outstanding Series A Preferred shares.
Series A dividends accrue at 4.5% per year, paid in kind; waiver is effective October 1, 2026.
Waived dividends are permanently forgiven, even if the waiver is revoked by a majority of Series A holders on 30 days' notice.
Upland expects the full quarterly benefit beginning in the fourth quarter of 2026.
On November 5, 2026, Our Bond, Inc. and Ascent Partners Fund LLC amended their Securities Purchase Agreement dated November 3, 2026. The amendment modifies certain covenant restrictions on the company's subsequent equity sales. The 8-K does not state the specific changes or any dollar amounts, so the effect on shareholders is not quantified in the filing.
Amendment dated November 5, 2026, to the Securities Purchase Agreement dated November 3, 2026, with Ascent Partners Fund LLC
Modifies covenant restrictions on the company's subsequent equity sales
Amendment filed as Exhibit 10.1; the 8-K does not give specific terms or figures
TechPrecision and its subsidiaries Ranor and Stadco entered a $10.0 million credit agreement with Rosenthal & Rosenthal on November 3, 2026, and used the proceeds to repay the prior Beacon Bank & Trust loan agreement. The facility includes a revolving line of up to $5.0 million and two term loans, and it requires a minimum quarterly tangible net worth of $5.5 million. The company also said it may be unable to file its Form 10-Q for the period ended September 30, 2026 on time.
Facility includes a $5.0 million revolving line, a $1.5 million three-year term loan and a $3.5 million five-year term loan, secured by substantially all personal property and a first mortgage on Ranor's Westminster, Massachusetts facility
Prior Beacon Bank & Trust loan agreement was terminated and repaid in full on November 3, 2026; closing costs were approximately $0.6 million.
Company issued 25,000 shares of common stock to the broker that introduced the lender.
Management expects the financing to alleviate the substantial doubt about going concern; tangible net worth was $7.6 million as of June 30, 2026 against the $5.5 million covenant.
On November 6, 2026, U.S. GoldMining agreed to sell 408,163 common shares at $4.90 each to an institutional investor in a registered direct offering. Gross proceeds are expected to be about $2.0 million before offering expenses, with closing expected on or about November 9, 2026. The company plans to use the net proceeds for working capital and general corporate purposes.
Shares offered: 408,163 common shares at $4.90 per share
Expected gross proceeds: approximately $1,999,998.70 before offering expenses
Offering made under an effective Form S-3 shelf registration (File No. 333-279435) and a prospectus supplement dated November 6, 2026
Expected closing on or about November 9, 2026, subject to customary conditions
iSpecimen Inc. sold 500 shares of Series D Convertible Preferred Stock to accredited investors for aggregate gross proceeds of $400,000, closing on or about November 6, 2026. The preferred stock is convertible into common stock at a floor price of $0.1616 and can lead to dilution of up to 1,157,223 shares, or 19.99% of shares outstanding, unless stockholders approve the issuance under Nasdaq rules.
Gross proceeds of $400,000 from 500 Series D shares priced at $800 per share, with a $1,000 stated value per share
Series D accrues 8% annual cumulative dividends and converts at the greater of 85% of the prior-day closing price or a $0.1616 floor
Conversion share cap of 1,157,223 shares, or 19.99% of 5,789,013 common shares outstanding, until stockholder approval under Nasdaq Rule 5635(d)
Placement agent E.F. Hutton & Co. receives a 4.0% cash fee and 1.0% expense allowance; directors and executive officers agreed to 90-day lock-ups
UWM Holdings Corporation announced the final subscription price for its rights offering of up to 200,000,000 Class A common shares: $2.00 per share. The price is the greater of $2.00 and 85% of the 10-day volume-weighted average NYSE sales price ending November 9, 2026, so the $2.00 floor applied. Subscription rights expire at 5:00 p.m. Eastern Time on November 12, 2026, unless extended.
Final subscription price is $2.00 per share, the greater of $2.00 and 85% of the 10-day volume-weighted average price ending November 9, 2026.
The rights offering covers up to 200,000,000 shares of Class A common stock.
Subscription rights expire at 5:00 p.m. Eastern Time on November 12, 2026, unless extended.
Exercised rights can be withdrawn until 5:00 p.m. Eastern Time on November 10, 2026, unless the offering is extended; the company may amend, withdraw or terminate the offering with consent of the Backstop Purchasers.
Reed's closed a private placement on November 9, 2026, issuing common stock to its majority stockholder, D&D Source of Life Holding, Ltd., for approximately $10.0 million in gross proceeds before offering expenses. The proceeds satisfied a requirement under the company's Senior Secured Loan and Security Agreement, as amended, to receive at least $10.0 million in cash equity contributions by November 20, 2026. The filing does not state the number of shares issued.
Issued common stock to majority stockholder D&D Source of Life Holding, Ltd. on November 9, 2026
Aggregate gross proceeds of approximately $10.0 million, before offering expenses
Met the loan agreement's requirement of at least $10.0 million in cash equity contributions due by November 20, 2026
Purchase Agreement was entered into October 28, 2026; its form was filed as Exhibit 10.1 to the November 3, 2026 8-K
American Tower priced three registered senior unsecured note offerings totaling $1.5 billion on November 9, 2026. The notes are fungible with existing notes issued on September 14, 2026, and expected net proceeds are $1,474.9 million, which the company intends to use to repay borrowings under its $6.0 billion revolving credit facility and for general corporate purposes.
2031 notes: $450.0 million at a 5.300% interest rate, priced at 99.387% of face value
2033 notes: $500.0 million at a 5.560% interest rate, priced at 99.369% of face value
2036 notes: $550.0 million at a 5.750% interest rate, priced at 98.986% of face value
Expected net proceeds of $1,474.9 million, to repay revolver borrowings and for general corporate purposes
Vistra Corp. filed a prospectus supplement to its automatic shelf registration statement on Form S-3 on November 9, 2026, for the issuance and sale of securities. This 8-K was filed only to attach the Latham & Watkins LLP opinion on the legality of those securities. The filing does not state the size, type, or pricing of the securities offered.
Prospectus supplement filed November 9, 2026 under shelf registration No. 333-298811
Purpose of this 8-K is solely to file the Latham & Watkins LLP legality opinion as Exhibit 5.1
Consent of Latham & Watkins LLP included as Exhibit 23.1; the filing does not state offering amount or terms
On November 9, 2026, Humana Inc. announced cash tender offers for eight series of its outstanding senior notes, with an aggregate purchase cap of $1.5 billion excluding accrued coupon payments. The offers expire at 5:00 p.m. New York City time on November 16, 2026, with settlement expected November 18, 2026. The filing is a debt management action and does not state its effect on earnings or guidance.
Aggregate purchase cap of $1.5 billion, excluding accrued coupon payments, subject to proration and acceptance priority levels
Series cap of $800 million on the 5.375% Senior Notes due 2031
Offers expire 5:00 p.m. New York City time on November 16, 2026; pricing is set on the same day at 3:00 p.m.
Expected settlement date is November 18, 2026; dealer managers include Barclays, BofA Securities, PNC and U.S. Bancorp
On November 9, 2026, Equinix Europe 2 Financing Corporation, an indirect wholly-owned subsidiary, issued €2.5 billion of senior notes in four series, fully and unconditionally guaranteed by Equinix, Inc. The notes carry fixed coupons from 4.150% to 5.450% and mature between 2028 and 2038, and Equinix intends to allocate the proceeds to eligible green projects. For shareholders, this adds debt to the company's balance sheet, though the filing does not compare it with existing debt levels.
€650 million 4.150% notes due November 9, 2028, and €700 million 4.800% notes due February 15, 2033
€500 million 5.100% notes due November 9, 2035, and €650 million 5.450% notes due November 9, 2038
Net proceeds are intended for eligible green projects; pending allocation, they may be held in cash or used to repay existing borrowings
Equinix hedged part of the interest rate risk on the 2035 and 2038 notes, with effective all-in rates of 4.91% and 5.42%
Orchestra BioMed sold 15,000,000 shares of common stock at $5.00 per share under an underwritten public offering priced November 5, 2026, and the offering closed November 9, 2026. The underwriters' 2,250,000-share option was exercised in full on November 6, 2026, and the filing puts gross proceeds at approximately $86.3 million before underwriting discounts and expenses, with the company citing the AVIM Therapy program, the BACKBEAT pivotal trial, and the Virtue SAB program as intended uses.
Offering: 15,000,000 shares at $5.00 per share, priced November 5, 2026, with Piper Sandler and TD Securities as representatives of the underwriters
Underwriters' 30-day option for 2,250,000 additional shares was exercised in full on November 6, 2026
Gross proceeds of approximately $86.3 million before underwriting discounts, commissions and other offering expenses; offering closed November 9, 2026
Stated uses: AVIM Therapy program, BACKBEAT global pivotal trial, Virtue SAB program and its coronary in-stent restenosis trial, other product candidates, and working capital
Texas Instruments completed the sale of $2 billion of senior notes on November 9, 2026, split into four $500 million tranches maturing in 2028, 2031, 2033 and 2036. The filing is a debt financing that adds to the company's borrowings, and it sets coupons of 5.000% to 5.750%, which shareholders may weigh against the cost of that debt.
Four $500 million tranches: 5.000% notes due 2028, 5.350% due 2031, 5.500% due 2033 and 5.750% due 2036
Sold under an underwriting agreement dated October 26, 2026 with J.P. Morgan Securities LLC, Citigroup Global Markets Inc., BofA Securities, Inc. and U.S. Bancorp Investments, Inc. as representatives
Issued under a 2011 indenture with U.S. Bank Trust Company, National Association, as trustee, and offered under a Form S-3 filed February 14, 2025
NiSource Inc. closed the sale of $600 million of 5.400% senior notes due 2032 on November 9, 2026, under an existing shelf registration. The company said it plans to use the net proceeds for general corporate purposes, including capital expenditures, working capital and repaying existing debt. This is a routine debt financing that adds to the company's borrowings but the filing does not give any effect on earnings or guidance.
Principal amount: $600 million of 5.400% Notes due 2032
Terms Agreement dated November 2, 2026; sale closed November 9, 2026
Lead underwriters: BMO Capital Markets, KeyBanc Capital Markets, Mizuho Securities USA and PNC Capital Markets
Proceeds for general corporate purposes, including capital expenditures, working capital and debt repayment
On November 9, 2026, CRH America Finance, a wholly owned subsidiary of CRH plc, completed the sale of four series of U.S. dollar guaranteed notes, fully guaranteed by CRH plc, with principal amounts totaling $4.2 billion. The company said net proceeds are expected to fund tender offers for outstanding Arcosa, Inc. notes, repay existing debt and support general corporate purposes, which adds to CRH's debt obligations while refinancing and reshaping its borrowings.
Four series issued: $1.35 billion 5.375% notes due 2032, $1.0 billion 5.625% notes due 2034, $1.35 billion 5.750% notes due 2037, and $500 million 6.250% notes due 2057
Notes were sold under an underwriting agreement dated November 4, 2026, with Barclays Capital, J.P. Morgan Securities and Morgan Stanley as representatives
Net proceeds are expected to finance tender offers for Arcosa, Inc. notes, repay existing debt and fund general corporate purposes
Capstone Holding Corp. agreed with lender 3i, LP to push the maturity of its remaining convertible note from October 22, 2026 to December 13, 2027, with about $900,000 in principal outstanding. The lender also agreed not to enforce existing defaults before the new maturity date, and the company extended its common stock purchase agreement with Tumim Stone Capital, LLC, which is tied to up to $20,000,000 of share sales. The deal eases near-term debt repayment pressure, but the note's conversion rights remain unchanged and the press release lists going-concern risk among its forward-looking statements.
Note maturity moved from October 22, 2026 to December 13, 2027; about $900,000 principal outstanding as of November 6, 2026.
Lender will not enforce defaults arising on or before November 6, 2026 before the new maturity, and no default interest or late charges accrue through that date on those defaults.
Tumim Stone purchase agreement term extended from July 1, 2027 to January 1, 2028; the agreement covers up to $20,000,000 of common stock.
Press release says about 87% of the original $6.8 million in convertible note principal has been retired.
Innovative Industrial Properties amended its equity distribution agreements to add its 9.25% Series B Cumulative Redeemable Preferred Stock to its at-the-market offering program, alongside common stock and 9.00% Series A Preferred Stock. About $336.9 million of the program's $500 million capacity remained available as of the filing date, which gives the company a path to issue more shares that could dilute existing holders.
Program covers common stock, Series A Preferred Stock and Series B Preferred Stock, with aggregate offering price of up to $500 million
Approximately $336.9 million remained available for sale under the ATM Prospectus Supplement dated November 9, 2026
Amendments were entered into November 9, 2026 with BTIG, Piper Sandler, Roth Capital, Stifel, A.G.P./Alliance Global Partners and Huntington Securities
SS&C Technologies completed a private offering of $1.2 billion of 2.75% convertible senior notes due December 1, 2031, including a $150 million option exercised in full by the initial purchasers. The company plans to use the proceeds for capped call transactions, share repurchases of about $100 million, and redeeming its $2.0 billion of 5.500% Senior Notes due 2027, which adds debt and creates potential dilution if the notes convert.
Notes issued November 6, 2026 under an indenture with Wilmington Trust, National Association, as trustee, bearing interest at 2.75% payable June 1 and December 1.
Initial conversion price of about $99.46 per share, a premium of about 25.0% over the $79.57 closing price on November 4, 2026.
Proceeds planned for about $99 million capped call cost, about $100 million of share repurchases (about 1.3 million shares), and redemption of the $2,000.0 million 2027 Senior Notes.
Company may not redeem the notes before December 5, 2029, except in a cleanup redemption.
Jasper Therapeutics announced the results of its offer to purchase all outstanding warrants issued in its September 18, 2025 underwritten public offering, at $0.324 in cash per warrant, which expired on November 7, 2026. A total of 8,510,658 warrants were properly tendered, about 68.94% of the outstanding warrants, and the company expects to pay $2,757,453.19 in cash for them.
8,510,658 warrants were properly tendered and not withdrawn, about 68.94% of outstanding warrants.
Offer price was $0.324 in cash per warrant, without interest; the offer expired at 12:00 a.m. Eastern Time on November 7, 2026.
The company expects to pay an aggregate of $2,757,453.19 in cash, to be made promptly.
The offer was described in a Schedule TO originally filed with the SEC on October 7, 2026.
In the week of November 2 to November 8, 2026, Strategy reported $283.8 million in net proceeds from sales of its MSTR Class A common stock under its at-the-market program, and used $81.9 million of those proceeds to buy 1,036 bitcoin. It also spent $188.3 million repurchasing STRC preferred stock and held $146.2 million in USD Cash as of November 8.
MSTR common stock sales: 2,051,348 shares, $283.8 million net proceeds, with $18.3 billion still available for issuance
Bitcoin: 1,036 bitcoin bought for $81.9 million; aggregate holdings reached 850,364 bitcoin at an average purchase price of $75,456
STRC preferred repurchases: 1,887,464 shares for $188.3 million; $560.3 million remains under the preferred repurchase program
USD Reserve stood at $4.77 billion as of November 8, 2026, after $21.1 million was used for preferred dividends
On November 5, 2026, Inovio agreed to sell 58,747,235 common shares at $1.05 each and pre-funded warrants for 12,681,337 shares at $1.049 each, and on November 6 the underwriters exercised their option to buy 10,714,285 more shares in full. Net proceeds are expected to be about $80.5 million, with closing expected on or about November 9, 2026. The sale adds to the shares outstanding, which dilutes existing holders, but the company says the proceeds and current cash will fund operations into late fourth quarter 2027.
58,747,235 common shares sold at $1.05 per share, plus pre-funded warrants for 12,681,337 shares at $1.049 each
Underwriters exercised their option for 10,714,285 additional shares in full on November 6, 2026
Net proceeds expected to be about $80.5 million; closing expected on or about November 9, 2026
Company believes proceeds and current cash will fund operations into late fourth quarter 2027
Atea Pharmaceuticals entered a Loan and Security Agreement with Hercules Capital on November 6, 2026, providing for senior secured term loans of up to $200.0 million, with $65.0 million drawn at closing. The loans mature on November 1, 2031, and are secured by substantially all of the company's assets, including its intellectual property, which gives shareholders a larger fixed debt obligation tied to the company's development of BEM/RZR.
Tranche 1 loan of $65.0 million was drawn on the November 6, 2026 closing date; further tranches total up to $135.0 million
Interest floats at the greater of the WSJ prime rate plus 2.35% or 9.35%, paid monthly, with interest-only payments for 48 months
Tranche 2 availability depends on completing the Phase 3 trial of BEM/RZR before a specified date in the second half of 2027
Financial covenants include a minimum cash test beginning October 1, 2027, and a performance covenant tied to FDA approval of BEM/RZR
Akamai announced a proposed private offering of $1.1 billion of 2028 convertible senior notes and $1.1 billion of 2031 convertible senior notes, subject to market conditions. On November 5, 2026, it also amended its credit agreement, raising the maximum leverage ratio covenant and tightening the limit on secured subsidiary debt, which the filing says applies through March 31, 2028.
Two $1.1 billion offerings: 2028 notes maturing November 15, 2028, and 2031 notes maturing November 15, 2031, with an option for initial purchasers to buy up to an additional $150.0 million of each series.
Proceeds are intended to repay part of the $1.15 billion 0.375% convertible notes due September 1, 2027, fund Cloud Infrastructure Services capital expenditures, pay hedge costs, and for general corporate purposes.
Fourth Amendment dated November 5, 2026, with JPMorgan Chase Bank, N.A. as agent, sets the maximum leverage ratio at 6.25:1.00 for quarters ending December 31, 2026 and March 31, 2027, stepping down to 3.75:1.00 for the quarter ending March
Akamai states there is no assurance the offering will be completed on the anticipated terms, or at all; pricing terms are yet to be set.
Precision BioSciences said it expects its November 5, 2026 share offering, along with existing cash, its at-the-market facility and continued cost discipline, to fund operations into the fourth quarter of 2029. The company projects it is sufficiently capitalized to fund its PBGENE-HBV and PBGENE-DMD clinical programs through key next-stage inflection points. The filing does not state the net proceeds amount.
Offering of 10,235,077 common shares at $7.75 per share, under an underwriting agreement dated November 5, 2026
Pre-funded warrants for up to 5,893,964 shares offered in lieu of common stock to certain investors, at $7.749995 per warrant
Expected cash runway into the fourth quarter of 2029, covering PBGENE-HBV and PBGENE-DMD programs
Vivid Seats reported third-quarter 2026 revenue of $126.9 million, down from $136.4 million a year earlier, while its net loss narrowed to $17.4 million from $19.7 million and adjusted EBITDA rose to $8.9 million from $4.9 million. The company also reached an agreement in principle with an ad hoc group of term lenders on a recapitalization that would provide $60 million of new money term loans, convert a significant portion of existing debt into equity, and cut funded debt by about $200 million, subject to definitive documentation.
Q3 2026 revenue was $126.9 million versus $136.4 million in Q3 2025; net loss was $17.4 million versus $19.7 million.
Adjusted EBITDA was $8.9 million versus $4.9 million; Marketplace GOV was $624.0 million versus $618.1 million.
Proposed transaction includes $60 million of new money term loans, conversion of a significant portion of debt into equity, a reduction of about $200 million in funded debt, and an extended maturity on remaining debt.
2026 outlook was continued: Marketplace GOV of $2.3 billion to $2.6 billion and adjusted EBITDA of $34.0 million to $40.0 million; the transaction remains subject to definitive documentation.
SBA Communications entered a $2.0 billion senior unsecured Term Loan Credit Agreement on November 6, 2026. The company intends to use the $1.165 billion of initial term loans, funded at closing, to repay its Secured Tower Revenue Securities, Series 2021-1C, while $835.0 million of delayed draw commitments remain available until May 6, 2027.
Total facility of $2.0 billion: $1.165 billion funded on November 6, 2026 and $835.0 million of delayed draw term loan commitments
Initial term loans will repay the entire $1.165 billion of Secured Tower Revenue Securities, Series 2021-1C
Term loans mature November 6, 2029, do not amortize and can be prepaid without premium or penalty
Covenants include a Consolidated Total Net Leverage Ratio not to exceed 7.50 to 1.00 and a Consolidated Senior Secured Leverage Ratio not to exceed 3.50 to 1.00
CKX Lands and Jacobs Private Equity II agreed to a definitive investment agreement providing for a $1 billion cash equity investment in CKX. After closing, JPE will be the controlling stockholder and Brad Jacobs will become chairman and CEO, and the filing describes substantial dilution from convertible preferred stock and warrants. The deal requires CKX stockholder approval and is expected to close in early 2027.
$1 billion total investment: $900 million from JPE and $100 million from co-investors led by HRTG Partners
Upon closing, JPE will hold a majority stake and Brad Jacobs will become chairman and CEO of CKX
Investors would receive convertible preferred stock convertible into about 219 million common shares at $4.57 per share, plus warrants for about 219 million shares
CKX will declare an aggregate cash dividend of $20.8 million, or $10.1312 per share, with a record date shortly before closing; closing is expected in early 2027
FTAI Aviation's subsidiary issued $1.0 billion of 7.125% Senior Notes due November 15, 2034, on November 6, 2026. Net proceeds will repay its revolving credit facility, which was used to fund the parent's accelerated share repurchase program, and redeem $500.0 million of 5.50% notes due 2028.
Proceeds: repay in full the Revolving Credit Facility without a reduction in commitments, redeem $500.0 million of 5.50% Senior Notes due 2028, and pay fees
Notes are senior unsecured, fully guaranteed by FTAI Aviation Ltd., and offered only to qualified institutional buyers and non-U.S. persons
Valion Bio, Inc. issued 700 Series B Preferred Shares and warrants for 21,539 common shares to investor 3i, LP for $700,000 on November 6, 2026, under a side letter to an earlier agreement. The company also agreed to register the resulting common shares for resale and extended the deadline for further closings to December 9, 2027, which may add future dilution for shareholders.
Closing purchase price: $700,000 for 700 Series B Preferred Shares and warrants
Warrants cover 21,539 shares of common stock at an initial exercise price of $0.5182 per share
Registration statement to be filed within 30 days after closing and declared effective within 60 days
Outside date for closings under the Series B Preferred Purchase Agreement extended to December 9, 2027
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.
Briefs marked “Written later” were written in November 2026 for filings that were by then more than three weeks old, so months before mid-October 2026 hold a selection: every material 8-K of the past year for the 100 largest companies we cover and the last 15 important 8-Ks of every other one. Briefs the number check holds back are not shown or counted. Also: the last 45 days, briefs by company, A–Z and the live SEC filings wire.