US Material Events SEC 8-K Filings — April 08, 2026

08-04-2026

Ensysce Biosciences closed a second $2 million convertible preferred stock financing under a November 2025 commitment providing up to $20 million over 24 months to support its flagship analgesic programs and general corporate initiatives. The tranche features a fixed conversion price of $0.55 per share, 100% warrant coverage with an 18-month term, and additional 100% warrant coverage with a five-year term. This funding underscores investor confidence in the company's TAAP and MPAR platforms for abuse- and overdose-resistant pain treatments.

• ·Alternate conversion price based on average common stock prices prior to conversion.
• ·Warrants exercisable at fixed conversion price of $0.55 per share, subject to adjustment.
• ·Announcement date: April 7, 2026; SEC filing date: April 8, 2026.

08-04-2026

On April 1, 2026, SpringBig Holdings, Inc. entered into a formal three-year Employment Agreement with CEO Jaret Christopher, superseding his prior offer letter, featuring a $450,000 annual base salary, 50% target cash bonus opportunity, and a grant of 12,891,251 restricted common stock shares (with approximately 8,320,939 vesting immediately). The Board also approved compensation for independent Director Larry Ellis, including 1,193,623 RSUs vesting over three years and cash retainers of $60,000 one-time plus $10,000 monthly; additionally, retention bonuses were set for CFO Jason Moos (1,907,229 phantom units and $165,000 cash) and COO James Cabral (1,056,824 phantom units and $110,000 cash), payable upon a Change in Control.

• ·CEO Employment Agreement includes 12 months post-employment noncompetition and nonsolicitation covenants.
• ·Director Larry Ellis RSUs subject to 100% acceleration upon Change in Control if service terminated in connection therewith.
• ·CEO RSUs vest in equal quarterly installments over approximately three years, with acceleration on qualifying terminations.
• ·Ellis appointed to Board on September 24, 2025; prior CEO offer letter dated March 13, 2025.

08-04-2026

William Ostrander, Chief Financial Officer of Scorpius Holdings, Inc., notified the company of his resignation effective March 31, 2026, on March 29, 2026. Mr. Ostrander did not indicate any disagreement with the company regarding operations, policies, or practices. The 8-K filing, dated April 8, 2026, was signed by Jeffrey Wolf, Chairman, President, and Chief Executive Officer.

• ·Date of earliest event reported: March 29, 2026
• ·Resignation effective date: March 31, 2026
• ·Filing submitted pursuant to Items 5.02 and 9.01 of Form 8-K

08-04-2026

MVB Financial Corp announced the appointment of Michael L. Giorgio as Chief Operating Officer for the company and its wholly-owned subsidiary MVB Bank, Inc., effective April 1, 2026, in addition to his existing role as Chief Information Officer. No changes were made to Mr. Giorgio's employment agreement, compensation, or any other arrangements in connection with this appointment. Mr. Giorgio has no family relationships with directors or executives and no material interests in transactions requiring disclosure.

• ·Biographical information for Mr. Giorgio incorporated by reference from the company's definitive proxy statement filed April 7, 2026.
• ·Event reported on Form 8-K filed April 8, 2026, covering Items 5.02 and 9.01.

08-04-2026

FactSet announced Joshua B. Warren as its new Chief Financial Officer effective April 13, 2026, succeeding Helen Shan, who is transitioning out with no disagreements on accounting or financial matters. Warren brings extensive experience as former CFO of Envestnet, Global Head of Business Strategy at BlackRock's iShares, and roles at Barclays Capital, Foros Group, U.S. Treasury, and Skadden Arps. CEO Sanoke Viswanathan praised Warren's strategic and operational expertise while thanking Shan for advancing financial processes and ensuring a smooth transition.

• ·Filing date: April 08, 2026
• ·New CFO effective date: April 13, 2026
• ·Shan previously served as both CFO and Chief Revenue Officer
• ·Warren holds J.D. from New York University School of Law and B.A. from Dartmouth College
• ·Investor Relations contact: Kevin Toomey (+1.212.209.5259, kevin.toomey@factset.com)
• ·Media Relations: Vested (+1-917-291-2366, factset@fullyvested.com)

08-04-2026

On April 7, 2026, the Compensation Committee of Miller Industries, Inc. approved the Third Amended and Restated Severance Protection Plan, amending the prior Second Amended and Restated Change in Control Severance Plan by removing the equity portion of participants' annual bonuses from severance benefit calculations. The plan is otherwise unchanged in all substantive respects. The full text of the Amended Plan is filed as Exhibit 10.1.

08-04-2026

On April 8, 2026, Phio Pharmaceuticals Corp. entered into an At The Market Offering Agreement with H.C. Wainwright & Co., LLC, enabling the company to offer and sell up to $6,360,000 of its common stock, par value $0.0001 per share, from time to time through the sales agent. The sales agent is entitled to a 3.0% commission on gross proceeds and reimbursement of up to $75,000 for legal counsel fees. No shares are obligated to be sold, and the agreement can be suspended or terminated at the company's discretion.

• ·Sales Agreement registered under Securities Act pursuant to shelf registration effective July 1, 2024
• ·Prospectus supplement filed with SEC on April 8, 2026
• ·Company's principal executive offices at 411 Swedeland Road, Suite 23-1080, King of Prussia, PA 19406
• ·Common Stock traded on The Nasdaq Capital Market under symbol PHIO

08-04-2026

Horizon Kinetics Holding Corporation announced the sudden passing of its Chairman and CEO, Murray Stahl, on April 7, 2026, who co-founded the firm in 1994 and helped build it into a publicly traded company with approximately $600M market capitalization and a debt-free balance sheet. To ensure a seamless transition, the company appointed Steven Bregman and Peter Doyle as co-Chief Executive Officers, joining co-founder Tom Ewing on a newly established Founders’ Committee. The firm remains committed to its long-term investment strategies for clients and shareholders.

• ·Horizon Kinetics co-founded by Murray Stahl in 1994.
• ·Offices located in New York City; White Plains, New York; and Summit, New Jersey.
• ·Investor Relations contact: ir@hkholdingco.com
• ·Website: www.hkholdingco.com

08-04-2026

Parks! America, Inc. entered into an offer letter dated April 7, 2026, with Geoff Gannon, transitioning him from part-time to full-time employment as President and Chief Executive Officer, effective March 31, 2026. Mr. Gannon, who has held the role since June 14, 2024, will receive an annual base salary of $90,000, payable monthly, and is eligible for employer-paid health insurance benefits, subject to availability. His employment is at-will, with the full offer letter filed as Exhibit 10.1.

• ·Company headquartered at 1300 Oak Grove Road, Pine Mountain, GA 31822.
• ·Common Stock traded on OTCQX under symbol PRKA.

08-04-2026

On April 7, 2026, Genesco Inc.'s Board of Directors adopted the Short-Term Incentive Plan (STIP), effective for the 2027 fiscal year, replacing the Fourth Amended and Restated EVA Plan. The STIP offers annual cash awards to eligible employees, including named executive officers, based on 75% business unit/corporate performance metrics and 25% individual strategic objectives, with multiples up to 3x target awards subject to Committee discretion and reductions. No specific performance outcomes or financial impacts are reported in the filing.

• ·Awards payable in cash, subject to clawback/recoupment policies and cancellation for unsatisfactory performance or policy violations.
• ·Committee approves target performance goals prior to April 30 each plan year; retains discretion to reduce (but not increase) bonuses.
• ·Performance criteria may include net earnings, EPS, revenue, operating income, cash flow, and others.

08-04-2026

Air Lease Corporation has amended and restated its certificate of incorporation to rename itself Sumisho Air Lease Corporation, effective upon filing, indicating completion of an acquisition by Sumisho. Authorized capital stock is 1,001,000 shares, comprising 1,000 shares of $0.01 par value Class C Common Stock and 1,000,000 shares of $0.01 par value Preferred Stock, with pre-existing common stock reclassified 1:1 into Class C Common Stock. Series B Preferred Stock is designated as 4.650% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock with 300,000 shares initially authorized.

• ·Registered agent and office: Paracorp Incorporated at 2140 S DuPont Highway, Camden, County of Kent, Delaware 19934.
• ·Preferred Stock includes Series B (4.650% Fixed-Rate Reset Non-Cumulative Perpetual), Series C, and Series D, with certificates attached as Exhibits I-III.
• ·Board empowered to issue Preferred Stock series with flexible terms including dividends, voting, conversion, redemption.

08-04-2026

Emily Rooney notified Byrna Technologies Inc. on April 3, 2026, of her decision not to stand for re-election to the Board of Directors at the 2026 Annual Meeting of Stockholders. Ms. Rooney, who has served since October 1, 2021, as Chair of the Product Safety Committee and a member of the Nominating and Governance Committee and Ad Hoc Search and Succession Committee, stated that her decision is not due to any disagreement with the Company's operations, policies, or practices. The Board and management expressed appreciation for her contributions during her tenure.

• ·Filing signed by Laurilee Kearnes, Chief Financial Officer, on April 8, 2026
• ·Company address: 100 Burtt Road, Suite 115, Andover, MA 01810
• ·Common Stock trades on Nasdaq Capital Market under symbol BYRN

08-04-2026

Spectral AI, Inc. issued an offer letter to David McGuire for the position of Chief Financial Officer, effective May 4, 2026, reporting to CEO Vincent Capone. Compensation package includes an annual base salary of $330,000, a $10,000 sign-on bonus, a minimum guaranteed bonus of $50,000 for 2026, eligibility for a discretionary bonus up to 30% of salary, and an option grant for up to 150,000 common shares vesting over three years. The offer includes standard benefits, 401(k) matching after three months, and severance provisions upon certain terminations.

• ·Sign-on bonus requires pro-rated repayment if employment ends before six-month anniversary.
• ·401(k) matching at 100% up to 6% of annual salary after three months.
• ·PTO accrual of 10 hours per month (equivalent to 15 days annually), with 120-hour carryover limit.
• ·Employment is at-will, governed by Texas law.
• ·Severance of three months salary and benefits upon termination without Cause or for Good Reason, conditioned on release of claims.

08-04-2026

Eureka Acquisition Corp issued a promissory note for $150,000 to Marine Thinking Inc. on April 6, 2026, to provide working capital ahead of a potential business combination. The interest-free note matures upon consummation of a business combination or the company's term expiry and is convertible into private units at $10 per unit. No repayment from trust account funds if no business combination occurs.

• ·Conversion right into private units (1 Class A ordinary share + 1/5 right) at $10 per unit, with cash for fractional units.
• ·No interest unless overdue, then at prevailing short-term US Treasury Bill rate.
• ·Governed by New York law; Payee waives claims on trust account funds.

08-04-2026

Universal Logistics Holdings, Inc. (Nasdaq: ULH) announced the appointment of Michael Rogers as Chief Financial Officer and Treasurer effective June 1, 2026, succeeding Jude M. Beres, who will resign from those positions effective May 29, 2026, to pursue opportunities outside the transportation and logistics industry. Rogers brings over 30 years of finance leadership experience from Ford Motor Company and current CFO roles at Conlan Tire Co. and Hercules Materials Holdings LLC. CEO Tim Phillips expressed enthusiasm for Rogers' addition and gratitude for Beres' nearly three decades of service, including as CFO since 2016.

• ·Filing date: April 08, 2026
• ·Mr. Rogers holds a Bachelor of Science in Civil Engineering from Rice University and an M.B.A. from the Mendoza College of Business at the University of Notre Dame.
• ·Mr. Beres previously served as Chief Administrative Officer and has been with the Company and affiliates for nearly three decades.
• ·Mr. Beres to assist with transition through May 29, 2026

08-04-2026

TuHURA Biosciences completed its acquisition of Kineta on June 30, 2025 through a series of mergers, issuing 2,868,169 shares of TuHURA Common Stock initially (with potential for an additional 1,129,885 shares) and acquiring rights to Kineta's KVA12123 antibody, renamed TBS-2025. Concurrently, TuHURA raised gross proceeds of $12,612,169 ($11,512,169 net) via a June 2025 private placement of 4,759,309 shares and warrants at $2.65 per unit. As of June 30, 2025, post-merger total assets stood at $34,621,304 including $8,512,824 in cash and cash equivalents, with TuHURA pre-merger shareholders retaining approximately 92.4% ownership.

• ·Merger Agreement dated December 11, 2024, amended May 5, 2025.
• ·Securities Purchase Agreement dated June 2, 2025 for private placement.
• ·Warrants expire December 3, 2030; classified as equity with zero net effect.
• ·TuHURA determined as accounting acquirer; Kineta as acquired business.
• ·Pro forma statements prepared as if Mergers occurred January 1, 2025.

08-04-2026

Southern California Gas Company (SoCalGas) announced the resignation of Maryam S. Brown as CEO, President, and Board member, effective April 17, 2026, following her notice on April 6, 2026. The Board appointed Rodger R. Schwecke, current COO, as interim President effective April 18, 2026, until his retirement on October 1, 2026. Mr. Schwecke will receive a $150,000 cash lump sum payment on September 30, 2026, contingent on continued employment.

• ·Rodger R. Schwecke, age 65, has over 44 years of service with Sempra family of companies, including COO since March 2025 and Senior VP and Chief Infrastructure Officer from November 2020 to March 2025.
• ·Filing signed by Valerie A. Bille on April 8, 2026.

08-04-2026

Forward Industries, Inc. appointed Mark Brazier, 48, as Chief Financial Officer effective April 13, 2026, following his prior roles as CFO and Head of Regulatory at XBTO Global (2023-2025) and CFO at Stablehouse. Kathleen Weisberg is departing as CFO but will continue as Director of Financial Reporting. Compensation for Mr. Brazier includes an annual base salary of $500,000 and a target annual bonus of $250,000, with equity awards pending Board approval.

• ·Event reported on April 3, 2026; filing dated April 8, 2026.
• ·Mr. Brazier has over 25 years of experience in digital asset and traditional finance and is a Chartered Accountant.
• ·No arrangements or understandings with other persons for appointment; no family relationships with directors/officers; no material interests under Item 404(a) of Regulation S-K.

08-04-2026

New Era Energy & Digital, Inc. entered into a Term Loan Agreement dated April 8, 2026, with Texas Critical Data Centers LLC as the Borrower and Macquarie Equipment Capital Inc. as Administrative Agent, establishing a term loan credit facility including Term Loan A-1, A-2, A-3, and Delayed Draw Term Loans. Interest rates are set at 5.50% per annum for First Stage Loans and 7.75% for Second Stage Loans. The agreement defines thresholds for Additional Material Documents at $3,000,000 prior to the JV Operations Date and $15,000,000 thereafter, with no performance declines noted.

• ·Filing Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 3.02, 8.01, 9.01 (Exhibits)
• ·Agreement provides for issuance of Warrants (Section 2.14)
• ·Loans may be issued with Original Issue Discount for U.S. federal income tax purposes

08-04-2026

CommScope Holding Company, Inc. entered into a $300,000,000 Senior Secured Revolving Credit Agreement dated April 7, 2026, with Vistance Networks Holdings, LLC as Parent Borrower, Vistance Networks, Inc. as Holdings, and Citibank, N.A. as Administrative Agent and Collateral Agent, among other lenders including Bank of America, N.A., U.S. Bank National Association, and Regions Bank. The facility provides revolving commitments up to $300M, with applicable margins of 0.50% for ABR Loans and 1.50% for Term SOFR Loans initially, tiering to 0.25%/1.25% if Excess Availability meets thresholds. No performance declines or flat metrics are noted in the agreement.

• ·Agreement filed as EX-10.1 in 8-K on April 8, 2026, covering Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), and 9.01 (Financial Statements and Exhibits).

08-04-2026

On April 7, 2026, the Board of Directors of Paymentus Holdings, Inc., upon recommendation from the Compensation Committee and consultation with independent advisor Compensia, approved a grant of 480,000 time-based RSUs to President and CEO Dushyant Sharma under the 2021 Equity Incentive Plan. The RSUs, aligned with peer CEO equity compensation practices, vest with one-fifth on the one-year anniversary and the remainder quarterly thereafter through May 15, 2031, subject to continued service. No other performance metrics or financial impacts were disclosed in the filing.

• ·RSU vesting schedule: one-fifth on April 7, 2027; one-twentieth quarterly on February 15, May 15, August 15, and November 15 thereafter until May 15, 2031.
• ·RSU Agreement incorporated by reference from Form 8-K filed March 13, 2026.

08-04-2026

XMax Inc. (NASDAQ: XWIN) announced a key milestone in its AI strategy with XMax AI Inc., its wholly owned subsidiary, entering an agreement with Cloud Alliance Inc. to develop and deploy a cloud-based AI inference platform on AWS, featuring capabilities like large-model API access, intelligent routing, user authentication, payment processing, and usage-based billing. The deployment is expected within approximately 30 days, positioning XMax to transition from a product-focused to a scalable software-centric AI platform business. CEO Xiaohua Lu highlighted this as foundational for growth in AI infrastructure.

• ·Filing Date: April 08, 2026
• ·Deployment timeline: approximately 30 days from announcement
• ·Headquartered in Commerce, California

08-04-2026

Catalyst Bancorp, Inc. (Nasdaq: CLST) announced a definitive agreement to acquire Lakeside Bancshares, Inc. (OTC: LKSB) in an all-cash transaction for $41.1 million, or $19.58 per share, which will merge Lakeside Bank into Catalyst Bank. The acquisition more than doubles Catalyst's size based on December 31, 2025 data, resulting in combined assets of $627.3 million, loans of $399.9 million, and deposits of $470.0 million, and is expected to be over 180% accretive to EPS once cost savings are realized, with accretiveness to tangible book value per share within 3 years. The deal, unanimously approved by both boards, is anticipated to close in Q3 2026 subject to regulatory and shareholder approvals, with no additional capital needed and strong post-merger capital ratios of 10.4% leverage and 15.4% total risk-based.

• ·Transaction unanimously approved by boards of both companies.
• ·Post-merger capital position: leverage ratio approximately 10.4%, total risk-based capital ratio 15.4%.
• ·No additional capital required by Catalyst to complete the transaction.
• ·Lakeside Bank began operations July 10, 2010; holding company formed February 2018.

08-04-2026

On April 8, 2026, AEHR Test Systems entered into an Equity Distribution Agreement with William Blair & Company, L.L.C. and Craig-Hallum Capital Group LLC to offer and sell up to $60,000,000 of its common stock via an at-the-market (ATM) offering pursuant to an effective Form S-3 registration statement. The agents will use commercially reasonable efforts to sell shares based on company instructions, with commissions up to 3.0% of gross proceeds. The agreement includes customary terms, representations, indemnification, and termination provisions, but does not obligate the company to any sales.

• ·Prospectus supplement filed with SEC on April 8, 2026
• ·Form S-3 registration statement (File No. 333-282661) declared effective October 25, 2024
• ·Equity Distribution Agreement filed as Exhibit 1.1

08-04-2026

On April 2, 2026, OFA Group's Board accepted the resignation of director Won Ping Cheng as a Board member and Audit Committee member, effective immediately, with no disagreements cited. The Board appointed Erwin Baquiran Pineda as an independent director for an initial two-year term, assigning him to the audit, compensation, and nominating and corporate governance committees. Pineda will receive $20,000 annual cash compensation and prorated 30,000 restricted ordinary shares for 2026, vesting quarterly over one year.

• ·Pineda has served as CEO and Co-Founder of Coldwell Banker Exclusive since 2020, with prior board roles at Asian Business Association (2020-2025), Center for the Pacific Asian Family (2016-2024), and Pacific Real Estate Properties (2000-2020).
• ·No arrangements, understandings, family relationships, or material transactions involving Pineda under Item 404(a) of Regulation S-K.
• ·Independent Director Agreement attached as Exhibit 10.1.

08-04-2026

Dover Corporation entered into a US$1,500,000,000 five-year revolving credit agreement dated April 2, 2026, with JPMorgan Chase Bank, N.A. as administrative agent, and other lenders including Bank of America, N.A., HSBC Bank USA, National Association, and ING Bank N.V., Dublin Branch. The facility allows borrowings and letters of credit for working capital and general corporate purposes, up to the aggregate amount outstanding at any time. The agreement terminates the existing five-year credit agreement.

• ·Five-year term with maturity date referenced but not numerically specified
• ·Applicable rates tiered by credit ratings (e.g., Term Benchmark/RFR Spread 0.680% to 1.100%, Facility Fee 0.070% to 0.150%)
• ·Terminates existing Five-Year Credit Agreement per Section 9.20

08-04-2026

Solaris Energy Infrastructure, Inc. and its subsidiaries entered into Amendment No. 1 to the Senior Secured Term Loan Agreement originally dated March 16, 2026, to obtain additional term loan commitments of $200,000,000 from lenders including Goldman Sachs Bank USA and Banco Santander, S.A., New York Branch. The amendment replaces certain schedules and amends the original agreement in its entirety as set forth in Exhibit A, effective upon satisfaction of closing conditions such as solvency certifications, no default confirmations, and legal opinions. This provides enhanced liquidity without any disclosed negative impacts or declines in performance metrics.

• ·Amendment No. 1 dated April 8, 2026, amends the Senior Secured Term Loan Agreement in its entirety per Exhibit A
• ·Closing conditions include certificates confirming solvency, no Default or Event of Default, true representations and warranties, officer certificates on organizational documents and resolutions, legal opinion from Gibson, Dunn & Crutcher LLP, and payment of fees
• ·Guarantors include SOLARIS OILFIELD SITE SERVICES OPERATING, LLC, SOLARIS OILFIELD EARLY PROPERTY, LLC, and others

08-04-2026

Equitable Holdings, Inc. entered into a Voting and Support Agreement on April 8, 2026, with Nippon Life Insurance Company and Corebridge Financial, Inc., requiring Nippon Life to vote its Covered Stock (Corebridge common shares it owns and can vote) in favor of the previously announced Merger Agreement dated March 26, 2026, and refrain from transferring such shares prior to stockholder approval. Nippon Life also commits to reasonable best efforts for regulatory approvals and, upon merger closing, entering new Stockholder’s and Registration Rights Agreements that will terminate existing agreements from December 9, 2024. The agreement supports the merger involving new holding companies Mountain Holding, Inc., Palisade Holding, Inc., and Marcy Holding, Inc., though subject to risks outlined in forward-looking statements.

• ·Covered Stock defined as Corebridge common shares owned by Nippon Life on record date that it has right to vote on Covered Proposals.
• ·Voting and Support Agreement terminates upon merger closing, Merger Agreement termination, or other specified events.
• ·Securities registered: Common Stock (EQH, NYSE), Depositary Shares Series A (EQH PR A, NYSE), Depositary Shares Series C (EQH PR C, NYSE).

08-04-2026

Corebridge Financial, Inc. entered into a Voting and Support Agreement on April 8, 2026, with Nippon Life Insurance Company and Equitable Holdings, Inc., in connection with the March 26, 2026 Merger Agreement involving Corebridge, Equitable, and related holding companies. The agreement requires Nippon Life to vote its Covered Stock in favor of the merger, refrain from transferring such stock prior to stockholder approval (subject to exceptions), and use reasonable best efforts to obtain regulatory approvals. Upon merger closing, new Stockholder’s and Registration Rights Agreements will replace existing ones dated December 9, 2024.

• ·Covered Stock defined as shares of Corebridge common stock ($0.01 par value) owned or beneficially held by Nippon Life with voting rights on record date.
• ·Voting and Support Agreement terminates upon merger closing, Merger Agreement termination, or certain specified events.
• ·Securities: Common Stock (CRBG) and 6.375% Junior Subordinated Notes (CRBD), both on New York Stock Exchange.

08-04-2026

AquaBounty Technologies, Inc. designated a new series of 400,000 shares of Series A Convertible Preferred Stock with a liquidation value of $18.2580 per share, entitling holders to cumulative 18.0% annual dividends paid bi-annually and senior ranking over common stock in dividends and liquidation. Holders have voting rights equal to the number of convertible common shares and protective provisions requiring two-thirds supermajority approval for actions like creating superior stock classes or amending governing documents. The preferred stock is non-participating beyond its preferences and includes rights in deemed liquidations such as change of control.

• ·Dividends accrue quarterly at 18.0% per annum on Liquidation Value and are payable bi-annually on last day of October and April, prior and in preference to Junior Securities.
• ·Series A Preferred Stock ranks senior to Junior Securities (Common Stock and other equity) for dividends and liquidation distributions.
• ·Supermajority Interest (two-thirds of outstanding Series A shares) required for actions including creating superior stock, amending Certificate of Designation, or redeeming Junior Securities.
• ·Notice of Liquidation or Deemed Liquidation (e.g., Change of Control) required within 10-20 days.
• ·No dividends payable in Common Stock unless compliant with Nasdaq Rule 5635(d).

08-04-2026

Holley Inc. announced the departure of Carly Kennedy from her role as Executive Vice President, General Counsel, and Corporate Secretary after four years of service, with her employment continuing until May 15, 2026, to ensure an orderly transition including support for the annual stockholder meeting and SEC filings. Under the separation agreement, she will receive $164,000 in salary continuation payments over six months, a potential pro-rated 2026 annual bonus based on actual financial results, and pro rata vesting of the first tranche of RSUs granted on August 12, 2025. Salary continuation doubles to $328,000 over 12 months if a change in control occurs within three months of the separation date.

• ·Separation Agreement and General Release dated April 7, 2026, filed as Exhibit 10.1.
• ·All other outstanding equity awards under the 2021 Omnibus Incentive Plan terminate on Separation Date.
• ·Includes customary general release of claims by Ms. Kennedy in favor of the Company.

08-04-2026

Forum Markets, Incorporated (formerly ETHZilla Corp.) entered into a Second Amended and Restated Sales Agreement on April 8, 2026, with Clear Street LLC and TCBI Securities, Inc. d/b/a Texas Capital Securities, governing its at-the-market offering program for common stock. The amendment ceases all future sales under the WKSI Registration Statement (File No. 333-289811) and WKSI Prospectus Supplement, transitioning back to the original June Registration Statement (File No. 333-288194) and Initial Prospectus Supplement. No other material changes were made to the terms of the prior Second Amended Sales Agreement dated November 14, 2025.

• ·Prior agreements: Initial Sales Agreement (August 13, 2025), Amended Sales Agreement (August 22, 2025), Second Amended Sales Agreement (November 14, 2025)
• ·June Registration Statement: Form S-3 (File No. 333-288194)
• ·WKSI Registration Statement: Form S-3ASR (File No. 333-289811)

08-04-2026

Patriot National Bancorp, Inc. announced the resignation of Ida Liu from its Board of Directors on April 2, 2026, due to new employment, and the separation of Frederick Staudmyer on April 3, 2026, from his roles as Executive Vice President and Chief Administrative Officer of Patriot Bank, N.A., and Chief Human Resources Officer and Secretary of the Company. Mr. Staudmyer will provide consulting services during a transition period, and neither individual had any disagreements with the Company, management, or the Board.

• ·Mr. Staudmyer provided almost twelve years of dedicated service to the Company.
• ·The filing was signed by Carlos P. Salas, Chief Financial Officer, on April 8, 2026.

08-04-2026

Popular, Inc. announced executive leadership changes effective July 1, 2026, with Israel Velasco appointed as Executive Vice President and Head of U.S. Operations at Popular Bank, succeeding Manuel A. Chinea, who will become Chief Experience and Administration Services Officer overseeing Customer Experience, HR, Corporate Real Estate, and Marketing. The changes coincide with the retirement of Eduardo J. Negrón, Chief Administration Officer, on June 30, 2026, after 26 years with the company. CEO Javier D. Ferrer stated the moves will strengthen operational execution and elevate customer and employee experience in support of the new strategic framework.

• ·Israel Velasco joins the Senior Management Team.
• ·Manuel A. Chinea has been part of Senior Management Team for 10 years.
• ·Eduardo J. Negrón served as Chief Administration Officer since February 2022.
• ·Popular, Inc. is the leading financial institution by assets and deposits in Puerto Rico and ranks among the top 50 U.S. bank holding companies by assets.

08-04-2026

Mawson Infrastructure Group Inc. reconstituted its Board of Directors with seven new members: Joshua Kilgore, Phil Stanley, Cody Smith, Lisa R. Hough, Daniel J. Morrison, K. Rodger Davis, and Kyle B. Danges, following a cooperation agreement with Endeavor Investor Group. Joshua Kilgore was appointed Executive Chairman, Phil Stanley as Chief Executive Officer, and Cody Smith as Chief Operating Officer, effective immediately, with Kaliste Saloom transitioning to General Counsel. The new leadership prioritizes stabilizing capital structure, operational evaluation, and expansion in AI/HPC infrastructure, supported by 129 megawatts of online capacity powered by carbon-free energy.

• ·New board and executives effective immediately.
• ·Priorities include stabilizing capital structure and identifying assets for long-term value in AI/HPC markets.
• ·Operations powered by carbon-free energy resources including nuclear power.

08-04-2026

Navient announced a leadership transition where Board Chair Edward Bramson will become CEO effective June 5, 2026, succeeding David Yowan, who will step down from his role as President and CEO but remain on the Board. This follows the successful completion of Phase 1 of the company's transformation, including outsourcing servicing, divesting the business processing division, and rightsizing corporate functions. Bramson will continue as Board Chair, focusing on Phase 2 to enhance shareholder value, with Larry Klane serving as lead independent director.

• ·Edward Bramson joined Navient’s Board in May 2022 and was elected Chair in June 2025.
• ·David Yowan has served on the Board since April 2017.
• ·Larry Klane has been a Board member since 2019.
• ·Bramson has five decades of experience at Sherborne Investors and as chair/CEO of other public companies.

08-04-2026

On April 1, 2026, the Board of Directors of Zapata Quantum, Inc. designated 15,000 shares of Series D Convertible Preferred Stock, each with a par value of $0.0001 and stated value of $1,000, ranking senior to common stock and other preferred shares with respect to dividends and liquidation. These preferred shares are convertible at any time into common stock at a conversion price equal to 85% of the lower of the average VWAP or closing price over the 10 trading days prior to the initial issuance date, subject to a 4.99% beneficial ownership limit. The certificate includes detailed conversion mechanics, failure-to-deliver penalties including liquidated damages, and buy-in provisions for holders.

• ·Preferred shares rank senior to all junior stock (common and other preferred) for dividends, distributions, and liquidation payments.
• ·No fractional common shares on conversion; rounded up to nearest whole share.
• ·Company must deliver common shares within 1 trading day of conversion notice or face penalties including $10-$20 per day liquidated damages per $1,000 of shares and buy-in reimbursements.
• ·Filed as EX-3.1 in 8-K on April 8, 2026, covering Items 1.01, 3.02, 5.03, 9.01.

08-04-2026

Odyssey Marine Exploration, Inc. (OMEX) has entered into a definitive merger agreement with American Ocean Minerals Corporation (AOMC) to create a $1B pro forma equity valued deep-sea critical minerals platform, including over $230M in total equity raised ($150M+ private placement and $75M pre-public financing), with $175M cash expected at closing. The deal involves Odyssey effecting a 25-for-1 reverse stock split and divesting its Mexican phosphate asset (PHOSAGMEX) to remove $60M liabilities, while securing voting agreements from shareholders holding 30% of Odyssey shares. The combined company will trade as AOMC on Nasdaq post-approval, expected in late Q2/early Q3 2026.

• ·Reverse stock split of 25-for-1 prior to merger
• ·AOMC to hold 80-100% of OML and 48% (with options to 95%) of CIC post-transaction
• ·417 million tonnes indicated resources at 26.7 kg/m² (Moana-1), 1.95 billion tonnes inferred at 19.9 kg/m² (CIC)
• ·Investor conference call on April 13, 2026 at 10:00 A.M. ET
• ·Advisors include Citigroup, Cantor Fitzgerald, Moelis & Company

08-04-2026

FinWise Bancorp (NASDAQ: FINW) announced the appointment of Jim Noone as Chief Executive Officer of the holding company, effective April 6, 2026, as part of a multi-year succession plan. Kent Landvatter, CEO since 2010, transitions to Executive Chairman of both the company and FinWise Bank, retaining involvement in strategy, governance, and investor relations. The leadership change emphasizes continuity, with no shift in strategic direction, financial targets, or operating model.

• ·Jim Noone previously appointed President of FinWise Bank in 2023, President of the Company in 2024, and Chief Executive Officer of the Bank in 2025.
• ·Kent Landvatter has served as CEO since 2010.

08-04-2026

On April 6, 2026, W. Kirk Wycoff resigned as a director of USCB Financial Holdings, Inc. and its subsidiary U.S. Century Bank, effective immediately, to focus on other business ventures. The resignation was not due to any disagreement with the company. The company thanked Mr. Wycoff for his long and valued service.

• ·Filing signed by Robert Anderson on April 8, 2026

08-04-2026

Catalyst Crew Technologies Corp. appointed Carlos Peña, age 38, as Chief Financial Officer effective March 31, 2026. Mr. Peña has over 10 years of experience in accounting, financial management, and audit support, including recent roles as Supervisor of Administration and Finance at Aerovip (March 2024-present) and accounting services at Morales, Morales y Asociados (2023-2024). No formal employment agreement or compensation arrangements have been finalized, and there are no family relationships, arrangements, or related party transactions involving Mr. Peña.

• ·Mr. Peña holds a degree in Public Accounting from Universidad Alejandro de Humboldt in Caracas, Venezuela.
• ·The company is an emerging growth company but has not elected extended transition period for new accounting standards.
• ·Principal executive offices located at Av. Rómulo Gallegos con Av. Las Palmas, Edif. Torre Gerencial Los Andes, Caracas 1071, Venezuela.

08-04-2026

KBS REIT III sold Gateway Tech Center for $50.0 million ($48.1 million net proceeds), using $47.5 million to pay down the Modified Portfolio Revolving Loan Facility, reducing the outstanding balance to $157.6 million as of March 31, 2026. On April 2, 2026, the company entered the Fifth Modification Agreement, extending the facility's maturity to December 15, 2026 (with a possible extension to March 31, 2027), drawing $1.8 million for tenant improvements and $1.0 million for tax escrow, resulting in a $160.4 million balance with no remaining holdbacks, and deferring certain REIT-level and advisor fees. However, the filing discloses substantial doubt about the company's ability to continue as a going concern due to upcoming loan maturities, covenant compliance risks not fully in its control, cross-default provisions, cash sweeps, and challenging market conditions.

• ·Loan secured by 515 Congress and 201 17th Street post-Gateway release.
• ·Eliminated principal amortization payments during loan term.
• ·Deferred Expenses payable only from net sale proceeds exceeding minimum release prices upon sale of Properties, if no defaults.
• ·Monthly excess cash flow from Properties swept to cash management account for TI, leasing commissions, and capex only.
• ·Amended debt service coverage ratio and one-time loan-to-value requirement; guarantor covenants adjusted (net worth/leverage eliminated, less restrictive earnings to fixed charges).
• ·Current lenders: U.S. Bank National Association, Regions Bank, Citizens Bank, City National Bank, Associated Bank, National Association.

08-04-2026

On April 7, 2026, Dominion Energy, Inc. entered into a fourth amendment to its Sustainability Revolving Credit Agreement (originally dated June 9, 2021), extending the maturity date to April 7, 2029, with options for up to two additional one-year extensions subject to conditions. Effective April 8, 2026, Dominion Energy, along with Virginia Electric and Power Company and Dominion Energy South Carolina, Inc., received lender consent to extend the maturity of the Sixth Amended and Restated Revolving Credit Agreement (dated April 8, 2025) to April 8, 2031. These extensions provide extended liquidity access without any disclosed declines or limitations.

• ·Sustainability Credit Agreement administrative agent: Sumitomo Mitsui Banking Corporation.
• ·Core Revolving Credit Agreement administrative agent: JP Morgan Chase Bank, N.A.
• ·Amendment filed as Exhibit 10.1.