US Material Events SEC 8-K Filings — April 09, 2026

09-04-2026

Whitestone REIT (NYSE: WSR) has entered a definitive merger agreement to be acquired by Ares Real Estate funds for $1.7 billion in an all-cash deal at $19.00 per common share and operating partnership unit, representing a 12.2% premium to the April 8, 2026 closing price and 26.5% to the unaffected price prior to the March 5, 2026 Reuters article. The portfolio includes 56 convenience-focused retail properties totaling 4.9 million square feet in high-growth markets like Phoenix, Austin, Dallas-Fort Worth, Houston, and San Antonio, with the deal unanimously approved by Whitestone's Board and expected to close in Q3 2026 subject to shareholder approval and customary conditions. While delivering immediate value to shareholders, the transaction carries standard risks including potential failure to close, business disruptions, and litigation.

• ·Transaction unanimously approved by Whitestone Board of Trustees; not subject to financing condition.
• ·Upon closing, Whitestone will become private and delist from NYSE.
• ·Advisors: BofA Securities and Jones Lang LaSalle Securities (financial for Whitestone); Citigroup and Morgan Stanley (financial for Ares); Bass Berry & Sims (legal for Whitestone); Kirkland & Ellis (legal for Ares).

09-04-2026

Wabash National Corporation announced the transition of Michael N. Pettit from Senior Vice President, Chief Growth Officer to a non-executive Senior Advisor role effective April 8, 2026, with his employment continuing until the third quarter of 2026 to ensure a smooth handover. During this transition period, Pettit will receive continued annual base salary at $575,000, pro-rated 2026 incentive bonus eligibility, and vesting of existing equity awards, but no new grants. Upon separation, he will be eligible for severance under the Executive Severance Plan, subject to release of claims and covenant compliance.

• ·Transition Date: April 8, 2026
• ·Separation Date: Third quarter of 2026
• ·Pettit reports to Chief Executive Officer or designee as Senior Advisor
• ·No participation in Change in Control Plan post-Transition Date

09-04-2026

Treace Medical Concepts announced preliminary unaudited Q1 2026 revenue of $47.0 million to $47.2 million and cash, cash equivalents, and marketable securities of $51.9 million as of March 31, 2026, reflecting a $3.5 million QoQ increase from $48.4 million at December 31, 2025—outperforming the $0.4 million increase in Q1 2025. The company narrowed its FY2026 revenue guidance to $202 million to $212 million from the prior $200 million to $212 million range, driven by case volume growth but offset by product and price mix headwinds in its expanded bunion portfolio. Chief Commercial Officer Gaetano M. Guglielmino departs effective April 8, 2026, amicably, with responsibilities absorbed by existing staff including SVP Sales reporting to CEO John T. Treace; he will consult through January 31, 2027.

• ·Consulting agreement includes COBRA premium payments, pro-rated 2026 target bonus, apartment rent payments until lease assignment, and continued vesting of prior equity awards.
• ·Mr. Guglielmino signed a release of claims and confirmed enforceability of confidentiality, nonsolicitation, and noncompetition agreements.

09-04-2026

OptimizeRx Corp. (Nasdaq: OPRX) announced the appointment of Mary Varghese Presti, Corporate Vice President and Chief Operating Officer of Microsoft’s Health & Life Sciences organization, as an independent director to its Board of Directors on April 8, 2026. This appointment supports the company's ongoing board refresh and expansion, bringing her over 25 years of expertise in healthcare, life sciences, technology scaling, AI integration, M&A, and operational efficiency from roles at Microsoft, Nuance, IBM Watson Health, athenahealth, and Pfizer. CEO Steve Silvestro highlighted her alignment with OptimizeRx's strategy to evolve into an integrated, product-led platform with growing recurring revenue.

• ·Varghese Presti involved in Microsoft’s Nuance acquisition integration and IBM Watson Health divestiture diligence.
• ·OptimizeRx headquartered in Waltham, Massachusetts.
• ·Investor Relations contact: Andy D’Silva (adsilva@optimizerx.com); Marketing: Jennifer Dinkel (jdinkel@optimizerx.com); Press: optimizerx@matternow.com.

09-04-2026

Live Ventures Incorporated's indirect wholly-owned subsidiary, Vintage Stock Inc., amended the Employment Agreement with its President and CEO, Rodney Spriggs, effective March 31, 2026, extending the term to March 31, 2028. The Third Amendment includes a one-time cash bonus of $250,000 payable on or before April 14, 2026, and an additional 80 hours of paid time off per calendar year.

• ·Third Amendment approved by Compensation Committee via written consent
• ·Third Amendment filed as Exhibit 10.145

09-04-2026

Forte Biosciences, Inc. (Nasdaq: FBRX) announced the pricing of a $150 million public offering of 5,709,936 shares of common stock at $26.27 per share, with underwriters granted a 30-day option to purchase up to 856,490 additional shares. Gross proceeds are expected to be approximately $150 million before deducting underwriting discounts, commissions, and other expenses, to be used for working capital, funding clinical development of FB102, and other research activities. The offering is expected to close on or about April 10, 2026, subject to customary conditions.

• ·Guggenheim Securities and Barclays acting as joint book-running managers.
• ·Offering pursuant to Registration Statement on Form S-3 (File No. 333-286226).
• ·Intended use of net proceeds includes working capital and general corporate purposes.

09-04-2026

SUNation Energy, Inc. entered into a Sales Agreement with Maxim Group, LLC on April 8, 2026, authorizing an at-the-market offering of up to $3,599,586 of its common stock (par value $0.05 per share) pursuant to an effective Form S-3 registration statement (File No. 333-286663). The Sales Agent will receive a commission of up to 3.0% of gross proceeds and reimbursement for legal fees up to $50,000, with sales made using commercially reasonable efforts but no obligation to sell any shares. The agreement includes customary representations, warranties, covenants, and indemnification provisions.

• ·Registration Statement on Form S-3 (File No. 333-286663) declared effective April 29, 2025
• ·Sales Agreement filed as Exhibit 10.1; Legal opinion of Rimon P.C. as Exhibit 5.1
• ·Agreement dated April 8, 2026; 8-K filed April 9, 2026

09-04-2026

C4 Therapeutics, Inc. (Nasdaq: CCCC) entered a new collaboration agreement with Roche to discover and develop degrader-antibody conjugates (DACs) for two undisclosed oncology targets, with an option for a third. C4T will receive a $20 million upfront payment and is eligible for over $1 billion in discovery, development, and commercial milestones, plus tiered royalties on future sales. The deal leverages C4T's TORPEDO platform for degrader payloads and Roche's antibody expertise, building on their decade-long partnership.

• ·Collaboration covers two exclusive oncology targets initially, with Roche option for a third target triggering additional payment
• ·C4T responsible for designing degrader payloads; Roche handles antibody selection, conjugation, preclinical/clinical development, and commercialization
• ·Near-term discovery milestone payments expected across the programs

09-04-2026

Orthofix Medical Inc. announced a Spine leadership realignment, eliminating the President, Global Spine Solutions role, with Shaeffer Bannigan, Mark Sienkiewicz, John Winge, and Patrick Fisher assuming expanded responsibilities reporting to CEO Massimo Calafiore to accelerate growth and execution. Preliminary Q1 2026 net sales were $196.7 million (up 1.6% YoY reported, 0.4% constant currency), or $196.4 million pro forma excluding M6 discs (up 3.8% reported, 2.7% constant currency), though impacted by a 94.2% decline in discontinued M6 product lines. The company reaffirmed FY2026 guidance of $850-860 million net sales (5.5% pro forma constant currency growth at midpoint), $95-98 million adjusted EBITDA (70 bps margin expansion), and positive free cash flow.

• ·Q1 2026 earnings call and webcast scheduled for May 5, 2026, at 8:30 am ET.
• ·Participation in 25th Annual Needham Virtual Healthcare Conference on April 14, 2026.

09-04-2026

Valmont Industries, Inc. announced the appointment of John Schwietz as Executive Vice President, Chief Financial Officer, and Corporate Secretary, effective April 8, 2026, succeeding Thomas Liguori. Mr. Schwietz, 44, joined the company in 2009 and has held progressively senior roles in finance, business development, and operations, including President – International Agriculture since May 2024.

• ·Mr. Schwietz's prior roles: Vice President and General Manager – International Agriculture (August 2023 – May 2024), Vice President Finance, Global Utility and Renewable Generation (June 2021 – August 2023), Vice President, Finance Renewable Generation (January 2020 – June 2021)
• ·Event reported on April 8, 2026; filing dated April 9, 2026

09-04-2026

First Real Estate Investment Trust of New Jersey, Inc. (FREVS) entered into a Purchase and Sale Agreement on April 8, 2026, with an affiliate of Regency Centers Corporation to sell 100% of its ownership interests in the Franklin Crossing shopping center for $27,000,000. The agreement includes an initial $1,000,000 escrow deposit refundable during a 30-day due diligence period ending May 8, 2026, and an additional non-refundable $1,000,000 deposit thereafter, with closing expected in Q3 2026 but no later than August 15, 2026. The Board unanimously approved the transaction, which has no financing contingency.

• ·Franklin Crossing located at 814-860 Franklin Avenue, Franklin Lakes, New Jersey
• ·No financing contingency in the agreement
• ·Customary representations, warranties, indemnity provisions, and termination rights apply

09-04-2026

Blink Charging Co. elected Glen Moller to its Board of Directors effective April 7, 2026, expanding the board to five members. Mr. Moller, a 54-year-old seasoned executive and current CEO of Upward Health Inc., brings extensive leadership experience in healthcare turnarounds and scaling high-growth organizations. The board has determined that Mr. Moller is independent, with no related party transactions, arrangements, or family relationships disclosed.

• ·Mr. Moller earned a B.A. in Economics and English from Boston College and an M.B.A. from Harvard Business School.
• ·Named E&Y Entrepreneur of the Year (NY Region) in 2025.
• ·No participation in transactions with the company requiring disclosure under Item 404(a) of Regulation S-K.

09-04-2026

The Buckle, Inc. reported net sales for the 5-week fiscal month ended April 4, 2026 of $118.0 million, an increase of 8.2% from $109.1 million in the prior year period, with comparable store net sales up 7.0%. For the year-to-date 9-week period ended April 4, 2026, net sales rose 8.5% to $202.5 million from $186.6 million, and comparable store net sales increased 7.4%. The company also appointed Scott A. Werth as Senior Vice President of Stores effective March 31, 2026.

• ·Company opened one new store in Overland Park, Kansas during fiscal March.
• ·Scott A. Werth employed by Buckle since June 1989, previously Vice President of Sales and Strategy.
• ·Operates 441 retail stores in 42 states.

09-04-2026

NSTS Bancorp, Inc. announced the passing of Nathan E. Walker, Chief Executive Officer and President of North Shore Trust and Savings and Executive Vice President of the Company, who had served in those roles since 2022 after starting as a teller in 1996. Stephen G. Lear, current Chairman, President, and CEO of the Company since 2012, has been appointed CEO and President of the Bank, a role he previously held from 1997 to 2022. As of December 31, 2025, North Shore Trust and Savings reported total assets of $266.6 million.

• ·North Shore Trust and Savings has operated for over 100 years serving local communities in Waukegan and Lindenhurst, Illinois.
• ·Mr. Walker began his career at the Bank as a teller in 1996.
• ·Mr. Lear has served as a director since 2003 and Chairman of both the Company and Bank since 2012.

09-04-2026

Awaysis Belize Limited, a wholly owned subsidiary of Awaysis Capital, Inc., entered into a Credit Facility with Belize Bank Limited for an aggregate principal amount of BZD $4,103,000 (approximately US $2,051,500), primarily consisting of a BZD $4,000,000 loan to finance the renovation and development of twelve condominiums in San Pedro, Belize. The facility bears interest at the Bank's prime rate minus 0.5% (currently approximately 8.0% per annum), matures on September 30, 2035, and is secured by seven villas and a commercial building, with guarantees from Co-CEOs Michael Singh and Andrew Trumbach, and an affiliate of Mr. Singh. No period-over-period financial comparisons are provided in the filing.

• ·Credit Facility includes initial six-month interest-only period followed by 114 consecutive monthly installments of principal and interest.
• ·50% of proceeds from sale of condominium units required to be applied toward principal repayment.
• ·Obligations secured by real property in San Pedro, Belize; constitutes direct financial obligation on consolidated basis.
• ·Filed April 9, 2026; event date April 3, 2026; Credit Facility and Note to be filed as exhibits in next Form 10-Q.

09-04-2026

Miami International Holdings, Inc. (MIAX) announced the passing of Murray Stahl, a valued member of its Board of Directors, with the earliest event reported on April 7, 2026. The company expressed gratitude for Mr. Stahl's dedication and service. The announcement was made via Form 8-K filed on April 9, 2026, under Item 5.02.

• ·Registrant incorporated in Delaware with Commission File Number 001-42805 and IRS Employer Identification Number 26-1482385.
• ·Principal executive offices at 7 Roszel Road, Suite 1A, Princeton, New Jersey 08540.
• ·Common stock, $0.001 par value per share, traded under symbol MIAX on the New York Stock Exchange.

09-04-2026

Cardiff Oncology, Inc. (Nasdaq: CRDF) appointed Mani Mohindru, PhD, as permanent President and Chief Executive Officer effective from her prior interim role, Josh Muntner as Chief Financial Officer effective April 6, 2026, and Ajay Aggarwal, MD, MBA, as Chief Operating Officer effective April 27, 2026, to bolster leadership for advancing onvansertib in RAS-mutant metastatic colorectal cancer. Mr. Muntner received an inducement grant of non-qualified stock options to purchase 486,650 shares at $1.58 per share, vesting over four years. These hires bring extensive biopharma experience, including Mr. Muntner's track record raising $86 million at Imvax and approximately $300 million at Mesoblast.

• ·Stock option vests 25% after 12 months and remaining shares monthly over 36 months, subject to continued employment.
• ·Josh Muntner serves on the Board of Directors at Devonian Health Group Inc.
• ·Ajay Aggarwal is a board-certified Pulmonary, Critical Care and Sleep Medicine physician and Fellow of the American College of Chest Physicians.

09-04-2026

Definitive Healthcare Corp. terminated its Nominating Agreement with SE VII DHC AIV, L.P. ("Spectrum"), dated September 17, 2021, which had granted Spectrum the right to designate one board member while holding at least 5% of outstanding common stock. The termination followed the resignation of Spectrum's designee, Jeff Haywood, from the board on March 30, 2026, with the termination agreement executed on April 3, 2026. No financial impacts or other changes were disclosed in the filing dated April 9, 2026.

• ·Nominating Agreement granted Spectrum the right to designate one director for inclusion in the slate of nominees recommended to stockholders.
• ·Termination is permanent and irrevocable in its entirety.

09-04-2026

Intrusion Inc. entered into a Note Purchase Agreement with Streeterville Capital, LLC on April 6, 2026, agreeing to issue a secured promissory note with an original principal amount of $3,230,000 in exchange for a purchase price of $3,000,000. The note includes an original issue discount of $210,000 and a $20,000 transaction expense amount, and is secured by all of the company's assets and intellectual property via accompanying security agreements.

• ·Closing deemed to occur at offices of Hansen Black Anderson Ashcraft PLLC in Lehi, Utah, via exchange of electronic signatures.
• ·Transaction relies on exemption from securities registration under the Securities Act of 1933.

09-04-2026

On April 6, 2026, Richard E. Byrd, Executive Vice President and President of Becton Dickinson and Company's (BD) Interventional segment, informed the company of his intention to retire and will remain in his role through June 2026. BD intends to name a successor prior to his retirement date. A press release regarding this matter was issued on April 9, 2026, and furnished as Exhibit 99.1.

• ·Filing reported under Items 5.02, 7.01, and 9.01 of Form 8-K.

09-04-2026

On April 3, 2026, FibroBiologics, Inc. entered into a Sublease Buyout Agreement with United Fire & Casualty Co. (dba United Fire Group), terminating its sublease at 455 E. Medical Center Blvd, Webster, Texas, effective April 2, 2026—18 months ahead of the original November 30, 2027 expiration. The company paid $45,108.25 to settle remaining obligations, expecting to save approximately $0.8 million in future rent. This consolidation follows the 2025 opening of a new state-of-the-art laboratory facility over 10,000 square feet, improving operational efficiency.

• ·Sublease originally effective October 5, 2022.
• ·New principal executive offices: 9350 Kirby Drive, Suite 300, Houston, Texas 77054.
• ·Filing date: April 9, 2026; Report date of earliest event: April 3, 2026.

09-04-2026

Atlas Energy Solutions Inc. (NYSE: AESI) priced an upsized $390 million private placement of 0.50% Convertible Senior Notes due 2031, increased from the previously announced $300 million, with settlement scheduled for April 9, 2026. Net proceeds are estimated at approximately $377 million (or $435 million if the $60 million additional notes option is fully exercised), to be used for capped call transactions ($43 million or $50 million), repaying $66 million under agreements with Stonebriar Commercial Finance LLC (including a $5 million termination fee) and $75 million under the 2023 ABL Credit Facility, and general corporate purposes including equipment purchases under the Global Framework Agreement with Caterpillar Inc. The notes have an initial conversion price of $14.51 per share (30% premium over the April 6, 2026 closing price of $11.16) and include capped call transactions with a cap price of $22.32 (100% premium).

• ·Notes mature on April 15, 2031; interest payable semi-annually starting October 15, 2026.
• ·Initial conversion rate: 68.9275 shares of Common Stock per $1,000 principal.
• ·Notes offered pursuant to Rule 144A to qualified institutional buyers; not registered under Securities Act.
• ·Option counterparties may engage in hedging activities that could impact stock price.

09-04-2026

On April 3, 2026, Karen Webster resigned from Sezzle Inc.'s Board of Directors, effective immediately, citing growing differences in perspective with management on the company's direction, key decisions, and governance; she served on the Audit and Risk, Compensation, and Nominating and Corporate Governance Committees. On April 9, 2026, the Board appointed Bryan Hunt, an experienced financial services professional and former top-ranked analyst at Wells Fargo, as an independent director to fill the vacancy, assigning him to the same three committees. Mr. Hunt will receive standard non-employee director compensation, including a $65,000 annual Board retainer (prorated) and 935 prorated restricted stock units vesting over approximately 3.7 years.

• ·Bryan Hunt, age 57, spent over 24 years at Wells Fargo in high yield and equity research, recognized as top food and beverage high yield analyst for seven years and top high yield analyst overall in 2016.
• ·Mr. Hunt holds honors from Vanderbilt University – Owen Graduate School of Management and the University of Alabama, and the Chartered Financial Analyst designation.
• ·No arrangements or understandings between Mr. Hunt and any other person for his selection as director; no disclosable transactions under Item 404(a) of Regulation S-K.
• ·Mr. Hunt entered into standard director indemnification agreement.

09-04-2026

CarMax announces the addition of William Cobb and Jim Kessler as new directors ahead of its 2026 Annual Meeting of Shareholders, following constructive engagement with activist investor Starboard Value LP, which has agreed to withdraw its director nominations. The new directors bring over 30 years and 20 years of leadership in consumer/tech and automotive sectors, respectively, strengthening the Board's expertise amid leadership transition with Keith Barr as new CEO. FY2025 highlights include sales of approximately 790,000 used vehicles and 540,000 wholesale vehicles, with CarMax Auto Finance originating more than $8 billion in loans and maintaining a nearly $18 billion portfolio across more than 250 stores and over 28,000 associates.

• ·Filing date: April 09, 2026
• ·New directors to join in connection with 2026 Annual Meeting of Shareholders
• ·CarMax recognized for 22 consecutive years as one of the Fortune 100 Best Companies to Work For

09-04-2026

Jackson Financial Inc. (NYSE: JXN) announced on April 9, 2026, the appointment of Chris Raub as President and Chief Executive Officer of PPM America, Inc., its indirect wholly-owned subsidiary. Raub, with 27 years of experience at PPM and Jackson including prior roles as President of Jackson National Life Insurance Company and Chief Risk Officer, will oversee PPM's executive team to deliver investment performance for clients including Jackson's general account assets. PPM manages $93.73 billion in assets under management as of December 31, 2025.

• ·PPM America offers investment capabilities in public fixed income, commercial real estate debt, private and structured credit, private equity, and CLO management.
• ·AUM includes committed but unfunded capital for PPM’s private equity and commercial real estate businesses, as well as securities issued by PPM CLO vehicles and underlying collateral assets.

09-04-2026

Wellgistics Health, Inc. terminated its Settlement Agreement with Silverback Capital Inc. on April 3, 2026, after issuing 6,866,000 shares of common stock. The termination eliminates potential future dilution from additional share issuances under the agreement. The company intends to pursue alternative strategic and financing initiatives.

• ·Settlement Agreement originally dated January 28, 2026.
• ·Termination notice delivered April 3, 2026; filing dated April 9, 2026.
• ·No further obligations under the Settlement Agreement.

09-04-2026

TPG Inc. announced the appointment of Admiral William H. McRaven as an independent director to its Board of Directors, effective May 1, 2026. McRaven, a retired U.S. Navy Four-Star Admiral with over four decades of experience in public and private sectors, currently serves as a Senior Advisor at Lazard, Inc. and Professor of National Security at the University of Texas at Austin. TPG, a leading global alternative asset management firm founded in 1992, manages $303 billion of assets under management.

• ·McRaven serves on the board of directors of ConocoPhillips and the advisory board of Haveli Investments.
• ·McRaven also serves on boards including Council on Foreign Relations, National Football Foundation, International Crisis Group, and The Mission Continues.
• ·McRaven was formerly Chancellor of the University of Texas System.
• ·Filing date: April 09, 2026

09-04-2026

CEA Industries Inc. (NASDAQ: BNC) announced inducement grants of 363,636 restricted stock units (RSUs) to Brent Miller, its newly appointed Chief Financial Officer effective March 9, 2026, under the CEA Industries Inc. 2026 Inducement Plan, pursuant to Nasdaq Listing Rule 5635(c)(4). The RSUs vest with 25% on the first anniversary of the grant date and the remaining 75% in equal quarterly installments through the fourth anniversary, subject to Mr. Miller's continued employment. No other financial performance metrics or period-over-period comparisons were disclosed.

• ·Grants comply with Nasdaq Listing Rule 5635(c)(4) as inducement for new hires or re-hires after non-employment period.
• ·Announcement dated April 8, 2026; SEC filing April 9, 2026.

09-04-2026

BayCom Corp announced a major leadership transition effective April 13, 2026, appointing William J. Black, Jr. as Executive Vice Chairman, Christopher F. Baron as CEO, and Kevin L. Thompson as CFO, leveraging their experience from larger institutions to address an organic growth gap and pursue larger acquisitions after four years of a quiet pipeline. Outgoing founders George J. Guarini, Janet L. King, and Keary L. Colwell, who led 10 mergers over 22 years, are resigning from executive roles and the board (effective April 10, 2026), leaving a clean balance sheet and strong credit quality but a trading multiple not fully reflecting value. The transition includes board reconstitution with new directors and continuity from key executives like Chief Credit Officer Terry Curley.

• ·Incoming executives join Company and Bank boards effective April 13, 2026.
• ·George J. Guarini continues on Bank board post-resignation for continuity.
• ·Outgoing executives receive separation payments per existing agreements (one-time, non-recurring).
• ·90-day notice period for orderly handover before outgoing executives' employment ends.
• ·Bank founded in 2004; operates in California, Washington, New Mexico, Colorado, Nevada.

09-04-2026

Solana Company (NASDAQ: HSDT) appointed Madelene Gani, CPA, as Chief Operating Officer and Deputy Chief Financial Officer, effective April 6, 2026, to lead operational scaling, treasury optimization, revenue diversification, and institutional infrastructure buildout for the Solana ecosystem. Gani brings over 25 years of experience from transformative roles at Hedera Hashgraph (CFO/COO), Aptos Labs (Head of Finance), Gemini (global finance transformation amid $7.1B valuation), and JUUL Labs (IPO readiness and expansions). Joseph Chee, Executive Chairman, highlighted her expertise in driving financial discipline and growth for Solana's next super cycle.

• ·Appointment effective April 6, 2026
• ·Gani's prior achievements include millions in annualized savings at Hedera Hashgraph and leading Gemini's expansion to Asia Pacific and Europe
• ·Gani holds a Bachelor of Business Administration from the University of San Diego

09-04-2026

Digi Power X Inc. (Nasdaq: DGXX, Cboe Canada: DGX) entered into an amended and restated sales agreement (ATM Agreement) with A.G.P./Alliance Global Partners, enabling at-the-market sales of up to US$75 million in subordinate voting shares on Nasdaq Capital Market, with no sales in Canada. The company intends to use net proceeds for general corporate purposes, including operations, Tier 3 data center construction, debt repayment, and potential acquisitions to expand AI and HPC infrastructure. The program may be terminated by either party at any time, with sales at prevailing market prices determined at management's discretion.

• ·Original sales agreement dated May 30, 2025, previously amended November 18, 2025
• ·Sales exclusively on Nasdaq Capital Market or other US trading markets, deemed 'at the market offerings' under Rule 415(a)(4)
• ·Prospectus supplement filed under Form S-3 shelf registration statement

09-04-2026

On April 4, 2026, Green Stream Holdings, Inc. accepted the resignation of all prior directors and officers, immediately appointing Nan Yang as the sole Director and Officer, serving in all capacities including CEO, CFO, Secretary, and Treasurer. The Company also abandoned its previously disclosed pursuit of a potential acquisition of Law90 due to internal strategic considerations, with no definitive alternative agreements in place.

• ·No family relationships between Nan Yang and former directors/officers.
• ·No arrangements or understandings pursuant to Nan Yang's appointment.
• ·No material plans, contracts, or arrangements with Nan Yang requiring Item 404(a) disclosure.

09-04-2026

On April 5, 2026, Jonathan J. Hastings, Senior Vice President, M&A and Strategy of Minerals Technologies Inc., notified the company that he will step down from that position effective April 30, 2026. Mr. Hastings will continue to serve the company as Corporate Strategy Advisor to the Chairman and Chief Executive Officer. The filing was signed by Timothy J. Jordan, Vice President, General Counsel, Secretary and Chief Compliance Officer, on April 9, 2026.

09-04-2026

Main Street Capital Corporation (NYSE: MAIN) closed a $150.0 million private offering of unsecured investment grade notes bearing a fixed 6.93% annual interest rate, payable semiannually, maturing on April 15, 2031. The notes are redeemable at par plus accrued interest and a possible make-whole premium. Proceeds will repay outstanding indebtedness under revolving credit facilities, fund investments, and support general corporate purposes.

• ·Notes mature on April 15, 2031
• ·Interest payable semiannually
• ·Notes are unsecured and may be redeemed at par plus accrued interest and, if applicable, a make-whole premium
• ·Notes not registered under the Securities Act of 1933

09-04-2026

Camden Property Trust entered into a binding term sheet on April 7, 2026, to settle the 'In Re: RealPage, Inc., Rental Software Antitrust Litigation (No. II)' class action for $53 million, payable in two $26.5 million installments, resolving all claims related to alleged rent collusion via RealPage software. While the settlement incurs a significant one-time cost recorded as Other Non-Operating Expenses, it will not impact 2026 Core FFO or Core AFFO, liquidity, leverage, dividends, or capital allocation, and includes non-material changes to business practices. The settlement requires court approval and does not admit liability, aiming to eliminate litigation risks and distractions.

• ·First settlement installment due within 45 days of long-form agreement execution; second within four months.
• ·Plaintiffs to seek preliminary court approval by May 15, 2026; long-form agreement by May 7, 2026.
• ·No insurance coverage for settlement; company to defend other related litigation.
• ·Settlement subject to court approval with no assurance of finalization.

09-04-2026

Novocure GmbH assigned Uri Weinberg the additional role of Chief Medical Officer concurrent with his existing Chief Innovation Officer responsibilities, effective via a letter agreement dated April 7, 2026. In recognition, he will receive a monthly stipend of CHF 5,000 (gross) for the duration of the assignment, excluded from annual incentive payment calculations. All other employment terms remain unchanged.

• ·Agreement signed April 8, 2026 by both parties
• ·Stipend solely for additional CMO assignment and not included in AIP calculations
• ·Filed as SEC 8-K on April 09, 2026 under Items 5.02 and 9.01

09-04-2026

Ovintiv Inc. closed the all-cash sale of its Anadarko assets in Oklahoma for $3.0 billion, with proceeds expected to total approximately $2.85 billion after customary closing adjustments. The proceeds will fund debt reduction, achieving the company's debt target and unlocking shareholder returns. Additionally, Ovintiv issued a notice to redeem its entire $700 million aggregate principal amount of 5.650% notes due 2028 on April 20, 2026.

• ·Anadarko assets located in Oklahoma
• ·Redemption of outstanding 2028 notes pursuant to their terms on April 20, 2026

09-04-2026

On April 7, 2026, the Compensation Committee of Adial Pharmaceuticals, Inc. approved restricted stock awards (RSAs) to named executive officers and directors under the 2017 Equity Incentive Plan, including 37,985 RSAs to CEO Cary Claiborne, 17,325 to CFO Vinay Shah, and 26,510 to COO Tony Goodman. Additional RSAs of 9,185 each were granted to directors Kevin Schuyler and Robertson H. Gilliland, while director Kermit Anderson received options for 9,185 shares at $1.64 per share. All awards vest in full on the one-year anniversary of the grant date or upon a Change of Control.

• ·RSAs are subject to forfeiture upon cessation of service if vesting conditions not met.
• ·A form of Restricted Stock Award Agreement was approved by the Board and filed as Exhibit 10.1.

09-04-2026

International Seaways, Inc. entered into the Second Amended and Restated Rights Agreement on April 9, 2026, extending the final expiration date from April 10, 2026, to April 8, 2029, and increasing the purchase price per share from $50 to $95, while maintaining the 20% beneficial ownership threshold for triggering the rights. The amendment was approved by the Board on April 6, 2026, in response to Famatown Finance Limited and affiliates' ownership of approximately 15.8% of common stock (down slightly from 16.2% reported in April 2022). The company plans to seek stockholder ratification at the 2026 annual meeting.

• ·Rights become exercisable 10 business days after Stock Acquisition Date or announcement of tender/exchange offer.
• ·Qualifying offers exempt from triggering Rights if fully financed, for all shares, open at least 90 business days, with majority acceptance condition.
• ·Board may redeem Rights at $0.001 each prior to trigger or expiration.
• ·Famatown 13D filed April 27, 2022; original Rights dividend record date May 19, 2022.

09-04-2026

On April 2, 2026, Robert D’Agostino, a member of BRC Group Holdings, Inc.'s Board of Directors (formerly B. Riley Financial, Inc.), informed the company that he will not stand for re-election at the 2026 annual meeting of stockholders. Mr. D’Agostino will continue serving on the Board and his current committees until the end of his term at the Annual Meeting. His decision was not due to any disagreement with the company on operations, policies, or practices.

• ·Annual meeting of stockholders scheduled for 2026.
• ·Company address: 11100 Santa Monica Blvd., Suite 800, Los Angeles, CA 90025.
• ·SEC File Number: 001-37503; CIK: 0001464790; EIN: 27-0223495.

09-04-2026

XCF Global entered into a binding term sheet with BGN INT US LLC to establish a tolling framework for renewable fuels including SAF, RD, and RN at the New Rise Renewables Reno facility and explore global expansion in production, offtake, and distribution. However, Phillips 66 Company terminated the Supply and Offtake Agreement with New Rise Renewables Reno, LLC, effective May 1, 2026. The partnership aims to meet rising SAF demand amid projections of a $25B market by 2030, while the Reno facility holds a 38 million gallons per year nameplate capacity.

• ·Term sheet is binding but definitive agreements subject to customary due diligence, technical validation, and final agreements.
• ·BGN operates in over 120 countries with trading hubs in Geneva, Dubai, Singapore, and Houston.

09-04-2026

HiTech Minerals Inc., a subsidiary of Jindalee Lithium Limited, and Constellation Acquisition Corp. I announced a definitive business combination agreement to form US Elemental Inc., which will hold the McDermitt Lithium Project (21.5 million tonnes LCE) and Clayton North Project, with a pro forma enterprise value of $571M and expected NASDAQ listing under 'ULIT'. The McDermitt Project features compelling economics per its pre-feasibility study, including $3.2B NPV (8%) and 17.9% post-tax IRR, with planned production of 47,500 tonnes LCE per year in the first decade and a 63-year project life. Jindalee will roll 100% of its U.S. assets and retain approximately 80% ownership post-closing, expected in H2 2026, with $15M cash on balance sheet after expenses.

• ·Investor webcast scheduled for April 16, 2026 at 10:00 AM Eastern Time.
• ·Advisors: Cohen & Company Capital Markets (capital markets advisor and placement agent), Alliance Advisors, LLC (investor relations), Perkins Coie LLP and Piper Alderman (legal to Jindalee), Kirkland & Ellis LLP (legal to Constellation).

09-04-2026

Plus Therapeutics, Inc. (PSTV) announced the appointment of Dr. Eric J. Daniels, M.D., age 53, as Chief Development Officer, effective April 20, 2026, to oversee the development and approval of the company's pharmaceutical pipeline. Dr. Daniels brings extensive biotech experience, including as Chief Development Officer at Kiora Pharmaceuticals (NASDAQ:KPRX) from October 2021 to April 2026. Compensation includes an initial annual base salary of $460,000, a 40% target bonus, 20,000 stock options vesting over four years, and 20,000 RSUs vesting over three years, both with a one-year cliff.

• ·Stock options have exercise price equal to fair market value on grant date and vest monthly over four years with one-year cliff.
• ·RSUs vest quarterly over three years with one-year cliff.
• ·Involuntary termination severance includes 12 months base salary, target bonus, prior year bonus (if applicable), and 12 months COBRA premiums, plus 9 months accelerated vesting of Stock Awards.
• ·No family relationships or material interests under Item 404(a) of Regulation S-K.

09-04-2026

Lineage, Inc. announced the planned retirement of Chief Information Officer and Chief Transformation Officer Sudarsan Thattai in April 2027, with a phased transition where day-to-day IT leadership shifts to Vice President of Technology Projects Chris Johnson, while Thattai focuses on high-impact priorities. Thattai, who joined in 2013, developed key technologies like LinOS and will support the transition. The announcement emphasizes a smooth handoff to maintain momentum in IT initiatives.

• ·Transition period extends through April 2027
• ·Lineage operates in North America, Europe, and Asia-Pacific
• ·Investor Relations contact: ir@onelineage.com
• ·Media contact: pr@onelineage.com

09-04-2026

Assertio Holdings, Inc. (ASRT) announced a definitive agreement to be acquired by Garda Therapeutics via an all-cash tender offer of $18 per share, totaling $125.1 million, plus a contingent value right (CVR) tied to Sprix® milestones, representing premiums of 34.6% to the unaffected share price on March 20, 2026, 46.6% to the 30-day VWAP, and 62.2% to the 60-day VWAP. Concurrently, Assertio closed the sale of all non-Rolvedon assets (including Indocin®, Sympazan®, Sprix®, Cambia®, Zipsor®, and Otrexup®) to Cosette Pharmaceuticals for $35 million upfront plus earnouts. The transaction, unanimously approved by both boards following a strategic review engaging over 35 counterparties, includes a 20-day shop period and is expected to close in Q2 2026, subject to customary conditions including majority tender.

• ·20-day window-shop period allowing engagement with superior bids
• ·Schedule 14D-9 to be filed in approximately 10 business days
• ·No regulatory approvals expected for closing
• ·Post-tender offer second-step merger at same $18 per share plus CVR
• ·CVR non-tradeable and related to potential future Sprix® milestones

09-04-2026

Science Applications International Corp (SAIC) appointed Paul Eremenko and Admiral Michael Rogers, USN Retired, as new members of its Board of Directors effective April 8, 2026, increasing the board size from eleven to thirteen members; both will serve on the Audit Committee and Technology Committee until the 2026 Annual Meeting. Mr. Eremenko brings expertise in AI, aerospace, and advanced engineering from roles at P-1 AI, Universal Hydrogen, UTC/RTX, Airbus, Google, and DARPA. Adm. Rogers offers deep experience in cybersecurity, intelligence, and national security from his tenure as Director of the NSA and Commander of U.S. Cyber Command.

• ·New directors entitled to standard non-employee director cash and equity compensation, pro-rated to 2026 Annual Meeting, and participation in Deferred Compensation Plan.
• ·No arrangements or understandings pursuant to which appointees were selected.
• ·No relationships or related transactions required to be reported under Item 404(a) of Regulation S-K.

09-04-2026

Prairie Operating Co. entered into a Letter Agreement with Hudson Bay PH XIX LLC (High Trail) on April 8, 2026, to repurchase 13,727 shares of Series F Convertible Preferred Stock for $18,999,047.64 in cash plus accrued dividends in common stock, issue a warrant for 4,000,000 shares at $0.01 per share, and potentially issue another for 3,000,000 shares if Anniversary Warrants are not issued by July 8, 2026, while waiving a $3.0 million cash extension fee. The agreement includes amendments to prior securities agreements, registration rights for the warrants, and participation rights for High Trail in future equity offerings up to 35%. This reduces preferred stock obligations but introduces significant dilution risk from low-exercise-price warrants.

• ·Registration statement for warrant shares must be filed within 30 days of April 8, 2026, and effective within 30-60 days, with 1% daily VWAP penalties for failures.
• ·High Trail participation rights: up to 35% of future equity or equity-linked securities offerings for 18 months.
• ·Penny Warrants exercisable immediately, terminate 6 months after no Series F Preferred remains outstanding, with shares freely tradeable thereafter.

09-04-2026

Jennifer M. Daniels, who has served as Chief Legal Officer and Secretary of Colgate-Palmolive Company since 2014, announced her intention to retire in 2026. On April 8, 2026, the Board elected Betsy Fishbone, currently Executive Vice President and Deputy Chief Legal Officer, as the new Chief Legal Officer and Secretary effective June 1, 2026. Simultaneously, Daniels was elected to Vice Chair to facilitate an orderly transition.

• ·Date of earliest event reported: April 8, 2026
• ·Filing date: April 9, 2026

09-04-2026

Sonoma Pharmaceuticals, Inc. entered into a Manufacturing and Supply Agreement with Kenvue Brands LLC, effective October 24, 2026, under which Sonoma will manufacture and supply products specified in Schedule A on a non-exclusive basis with no minimum purchase obligations. The agreement outlines pricing components including Conversion Price, Raw Materials Price, Maximum Raw Materials Waste Cost, and Transportation Cost as detailed in Schedule C, with limited adjustment provisions and an open Bill of Materials structure. No specific financial commitments or volumes are disclosed in the filing.

• ·Agreement is non-exclusive; Kenvue may source from third parties including competitors.
• ·Territory limited to United States, its possessions, and territories.
• ·Quality Agreement attached as Schedule B; Service Level Agreement as Schedule F.