US Corporate Distress Financial Stress SEC Filings — April 03, 2026

03-04-2026

NexPoint Real Estate Finance Operating Partnership, L.P. (OP) provided an additional $6.0 million loan on March 30, 2026, under the existing NSP Note to NSP OC and co-borrowers, increasing the outstanding principal to $22.7 million as of April 3, 2026, out of a $40.0 million facility bearing 14% PIK interest maturing January 16, 2031. Portions of the loan and second funding were participated by OSL ($7.5 million), HFRO ($2.5 million), NXDT ($962,000), HGLB ($1.25 million), and NRES ($38,000). The Company holds 25.4% ownership in NSP common stock with guarantees capped at $97.6 million, and affiliates own substantially all NSP equity.

• ·NSP Note is secured by first priority lien on certain income streams and related deposit accounts of co-borrowers.
• ·Interest on NSP Note is payable in kind (PIK), interest-only, maturing January 16, 2031.
• ·NSP Note Purchasers and OSL have right but not obligation to participate pro rata in future advances; OP funds remainder.
• ·Accounts advised by Sponsor and affiliates own substantially all NSP equity securities.

03-04-2026

Healthier Choices Management Corp. entered into an unsecured Loan Agreement with Sabby Volatility Warrant Master Fund, Ltd. on March 27, 2026, for general working capital purposes, as disclosed in an 8-K filing on April 3, 2026. The agreement provides for Advances via promissory Notes with a Scheduled Maturity Date of December 31, 2026, potentially extendable. No specific loan amounts, interest rates, or financial metrics are detailed in the provided filing excerpt.

• ·Loan is unsecured (Section 4.1).
• ·Scheduled Maturity Date: December 31, 2026 (potentially extendable per Section 2.4).
• ·SEC 8-K Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Exhibits).

03-04-2026

Ashford Inc. and Ashford Hospitality Advisors LLC notified Braemar Hotels & Resorts Inc. on March 31, 2026, of their election to extend the Fifth Amended and Restated Advisory Agreement (dated April 23, 2018) for an additional successive 10-year term, commencing January 24, 2027, and ending January 24, 2037, on the same terms and conditions. The extension is exercised pursuant to Section 12.2 of the agreement, subject to rights under Section 6.6, with prior Letter Agreements from August 26, 2025, and December 22, 2025, remaining in full force.

• ·Notice delivered via hand delivery and email at least 210 days prior to initial term expiration.
• ·Advisory Agreement initial term expires January 24, 2027.
• ·Extension right allows up to seven successive 10-year terms.

03-04-2026

United Homes Group, Inc. entered into the Fifth Amendment to its Wells Fargo Credit Agreement and the Second Amendment to its Kennedy Lewis Credit Agreement on March 31, 2026, waiving Debt Service Coverage Ratio and Leverage Ratio covenant requirements temporarily until the earlier of May 31, 2026 or an unrelated Event of Default, to facilitate its pending merger with Stanley Martin Homes, LLC. These waivers provide short-term relief but are conditional; if the merger fails to close by the May 31 Outside Date, the Company must refinance both facilities and repay obligations in full within 60 days.

• ·WF waiver applies from Fifth Amendment Effective Date (March 31, 2026) until May 31, 2026 or unrelated Event of Default.
• ·KL waiver applies specifically from January 1, 2026 through fiscal quarter ending March 31, 2026.
• ·Exhibits filed: 10.1 (Fifth Amendment to WF Credit Agreement), 10.2 (Second Amendment to KL Credit Agreement).

03-04-2026

On March 31, 2026, Aeries Technology, Inc. received formal notice from Nasdaq's Listing Qualifications Staff that its failure to comply with the minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2) will result in delisting of its Class A ordinary shares (AERT) and redeemable warrants (AERTW) unless the company requests a hearing. The company intends to timely request a hearing before the Nasdaq Hearings Panel, which will stay delisting pending the panel's decision and any potential extension. This follows an initial deficiency notice on September 30, 2025, with the grace period expiring on March 30, 2026, and no eligibility for a second grace period due to unmet stockholders’ equity requirements.

• ·Company address: 60 Paya Lebar Road, #08-13 Paya Lebar Square, Singapore 409051
• ·Telephone: (919) 228-6404
• ·Commission File Number: 001-40920
• ·IRS Employer Identification No.: 98-1587626
• ·Nasdaq trading symbols: AERT (Class A ordinary shares), AERTW (redeemable warrants)

03-04-2026

Entera Bio Ltd. entered into a Securities Purchase Agreement on April 1, 2026, with funds affiliated with BVF Partners LP for a private placement of 7,827,789 units at $1.2775 per unit, generating approximately $10.0 million in gross proceeds upon closing on April 2, 2026. Each unit consists of one Ordinary Share (or Pre-Funded Warrant) and one Ordinary Share Warrant to purchase 1.5 Ordinary Shares at $1.24 per share, exercisable after six months and expiring in five years; full exercise could yield additional $14.5 million. Proceeds will support the phase 3 registrational study of EB613 for postmenopausal osteoporosis and general working capital.

• ·Ordinary Share Warrants exercisable six months after April 2, 2026 closing and expire five years from issuance.
• ·Registration Rights Agreement requires SEC registration statement filing no later than 30 days after April 2, 2026.
• ·Pre-Funded Warrants exercisable immediately at NIS 0.0000769 per share with no expiration date.

03-04-2026

Twin Vee PowerCats Co. received a notification letter from Nasdaq on April 2, 2026, stating it no longer meets the $1.00 minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2), based on closing bid prices below $1.00 for 30 consecutive business days from February 18, 2026, to March 31, 2026. Due to a prior 1-for-10 reverse stock split on April 7, 2025, the company is ineligible for a 180-calendar-day compliance period under Nasdaq Listing Rule 5810(c)(3)(A). The company plans to request a hearing by April 9, 2026, to appeal, which would stay delisting pending the Panel's decision, though success is not assured.

• ·Deficiency period: 30 consecutive business days from February 18, 2026, to March 31, 2026
• ·Previous reverse stock split: 1-for-10 effective April 7, 2025
• ·Hearing request deadline: April 9, 2026
• ·Applicable rules: Nasdaq Listing Rule 5550(a)(2) and 5810(c)(3)(A)

03-04-2026

NexPoint Diversified Real Estate Trust OP, L.P. (the OP) entered into a Side Letter on April 3, 2026, effective March 30, 2026, purchasing a $962,000 undivided participation interest in the NSP Note from NREF; the NSP Note has a $40 million aggregate principal capacity with $22.7 million outstanding as of April 3, 2026, bears 14% per annum PIK interest, and matures January 16, 2031. The note is secured by a first priority lien on certain income streams and deposit accounts of the co-borrowers, who are affiliates of the Company's Sponsor. The Company owns approximately 53.02% of NSP's common stock and has guaranteed certain NSP obligations.

• ·NSP Note dated January 16, 2026, amended March 25, 2026; interest-only payments.
• ·OP, HFRO, HGLB, NRES, and OSL have right but not obligation to participate pro rata in future advances under NSP Note.
• ·Each Other NSP Note Purchaser and NREF advised or managed by affiliate of Company's Adviser; OSL deemed affiliate through common ownership.

03-04-2026

Soluna DV Wind SponsorCo, LLC, an affiliate of Soluna Holdings, Inc., has entered into a Membership Interest Purchase Agreement dated April 1, 2026, to acquire all equity interests in Briscoe Wind Farm, LLC from sellers Briscoe Wind Project Holdings I, LLC, JPM Capital Corporation, and Morgan Stanley Wind LLC. The target company owns an approximately 150-megawatt nameplate capacity wind generation project located in Briscoe County and Floyd County, Texas. No purchase price or financial terms are disclosed in the filing.

• ·Agreement execution date: April 1, 2026
• ·SEC 8-K filing date: April 03, 2026
• ·Project locations: Briscoe County and Floyd County, Texas

03-04-2026

Blue Owl Digital Infrastructure Operating Partnership LP (as Parent) and BODIT SPV LLC (as Borrower) entered into a Revolving Credit Agreement dated April 1, 2026, with Bank of America, N.A. as Administrative Agent and Collateral Agent, and Bank of America Securities, Inc. as Lead Arranger and Bookrunner. The agreement provides for revolving credit loans for working capital, general corporate purposes, capital expenditures, and acquisition of data center-related properties, along with letters of credit up to an aggregate of $100,000,000. No specific revolving credit commitment amounts are detailed in the provided filing excerpt.

• ·Filing Date: April 03, 2026
• ·Agreement effective date: April 1, 2026
• ·SEC Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Exhibits)

03-04-2026

Kezar Life Sciences, Inc. entered into a Lease Termination Agreement effective April 1, 2026, for approximately 47,714 rentable square feet (24,357 sq ft on the 3rd floor and 23,357 sq ft on the 4th floor) at 4000 Shoreline Court, San Francisco, California, originally leased since August 16, 2017. The company paid a termination fee of $1,318,453.88 to Landlord GNS South Tower, LP, representing the remaining rent obligation of $1,984,536.88 less the security deposit of $666,083.00 (after $7,600.00 retained for repairs). Parties exchanged mutual releases, with no reconciliation of 2026 operating expenses, tax expenses, or utilities costs.

• ·Lease originally dated August 16, 2017, amended November 1, 2022.
• ·Agreement executed April 1, 2026; filed April 03, 2026.
• ·Tenant must complete Surrender Obligations by Termination Date, including walk-through inspection option.
• ·No further liability post-termination except surviving obligations; governed by California law.

03-04-2026

HF Foods Group Inc. and its subsidiaries entered into Joinder and Amendment No. 5 to the Third Amended and Restated Credit Agreement dated March 31, 2022, effective March 30, 2026, adding HF Atlanta, LLC as a new Working Capital Borrower. The amendment restates certain schedules and the Commitment Schedule, with no specific changes to financial terms disclosed in the filing. No performance metrics or quantitative impacts are provided.

• ·Original Credit Agreement dated March 31, 2022.
• ·Amendment effectiveness subject to no Default or Event of Default before or after.
• ·Governing law: State of Illinois.

03-04-2026

Hennessy Capital Investment Corp. VII (HVIIU) filed a Form 8-K on April 03, 2026, disclosing entry into a material definitive agreement under Item 1.01, along with Regulation FD disclosure under Item 7.01. Exhibit 99.1 provides further details on the matter. No financial metrics or performance data were included in the provided filing content.

• ·Filing Items: 1.01 (Entry into a Material Definitive Agreement), 7.01 (Regulation FD Disclosure), 9.01 (Financial Statements and Exhibits)
• ·Exhibit: 99.1 attached

03-04-2026

FreeCast, Inc. amended its Equity Purchase Agreement with Amiens Technology Investments LLC, originally dated December 8, 2025, on March 30, 2026. Key changes include extending the Pricing Period to 10 Trading Days, requiring a Registration Statement filing within 30 days of the Effective Date with effectiveness targeted within 90 days, and structuring a 1.5% Commitment Fee as Commitment Shares issued in thirds upon the first Closing, after $15.0 million in aggregate Share purchases, and after $30.0 million in purchases.

• ·Pricing Period redefined as the Trading Day following Advance Notice Date to 4:00 p.m. NYC time on the 10th Trading Day thereafter.
• ·Registration Statement must be filed within 30 days of Effective Date, effective within 90 days, and maintained until all Registrable Securities sold or eligible under Rule 144.
• ·Commitment Shares priced at the lower of $10.00 or lowest daily VWAP over prior 5 Trading Days; automatic issuance on breach of certain covenants.

03-04-2026

TransAct Technologies Incorporated entered into Amendment No. 6 to its lease agreement with Bomax Holdings LLC on March 31, 2026, extending the term for its primary operating facility at 20 Bomax Drive, Ithaca, New York, from April 1, 2026, through September 30, 2031 (5 years and 6 months). Monthly base rent decreases initially to $40,022.13 for the first two years from the prior $43,100.75 (approximately 7% reduction), providing cost savings. However, rent escalates annually thereafter to a maximum of $43,347.04 in the final period, and the landlord gains a recapture right for up to 18,000 sq ft of warehouse/manufacturing space, 9,000 sq ft of office space, and unused outdoor space.

• ·Landlord's recapture right exercisable with 6 months' notice; tenant must vacate within 3-6 months.
• ·Parking rights from original lease restored; landlord responsible for driveway/parking lot capital improvements.
• ·Existing 1-year extension option deleted.

03-04-2026

Firefly Aerospace amended its Credit Agreement, increasing the Revolving Credit Facility commitments by $45 million to a total of $305 million, providing additional liquidity but at a higher interest spread increased by 0.25% (now term SOFR + 3.25% or ABR + 2.25%). The amendment removed the minimum free cash flow covenant but imposed a stricter minimum liquidity covenant of $381.25 million monthly starting April 30, 2026. Director Marc Weiser resigned effective April 2, 2026, with no disagreements noted, and the 2026 Annual Meeting was set for June 4, 2026, with proposal deadlines of April 13, 2026.

• ·Revolving Credit Facility matures on August 8, 2028.
• ·Credit Agreement originally dated August 8, 2025.
• ·Stockholder proposals under Rule 14a-8 and advance notice bylaws due no later than April 13, 2026.
• ·Annual Meeting deadlines apply to nominations and proposals at principal executive offices: 2203 Scottsdale Drive, Leander, Texas 78641.

03-04-2026

Aurinia Pharmaceuticals Inc. (AUPH) announced a definitive merger agreement to acquire Kezar Life Sciences, Inc. (KZR) for $6.955 in cash per share plus a non-transferable contingent value right (CVR) linked to zetomipzomib development milestones, collaborations with Everest Medicines and Enodia Therapeutics, and net cash exceeding $50 million. The tender offer is set to commence by April 13, 2026, with closure expected in Q2 2026, supported by Tang Capital Partners (9.0% owner). While offering shareholder liquidity and strategic expansion in autoimmune therapies, the deal faces risks including closing conditions, potential delays, or termination.

• ·Tender offer requires majority of Kezar shares tendered and other customary conditions.
• ·Kezar board unanimously approved the merger following strategic review.
• ·Positive FDA Type C meeting interactions for zetomipzomib in AIH.

03-04-2026

Matinas BioPharma Holdings, Inc. received a notice from NYSE American on April 2, 2026, for failing to meet continued listing standards under Sections 1003(a)(i), (ii), and (iii) due to stockholders’ equity of $4.83 million as of December 31, 2025—below the required $2.0M, $4.0M, and $6.0M thresholds amid losses in its five most recent fiscal years. The company plans to submit a compliance plan by May 2, 2026, potentially gaining up to 18 months to cure the deficiency, with no immediate effect on its NYSE American listing or operations. However, compliance is not assured, and rejection of the plan could lead to delisting proceedings.

• ·Company not currently eligible for any exemption under Section 1003(a) of the NYSE American Company Guide.
• ·Shares of common stock (MTNB) continue to be listed and traded on NYSE American pending compliance with other listing requirements.

03-04-2026

Kinetik Holdings Inc. announced Amendment No. 2 to its Receivables Purchase Agreement (RPA), originally dated April 2, 2024 and previously amended April 1, 2025, effective March 31, 2026, primarily to extend the Scheduled Termination Date. The amendment involves Kinetik Receivables LLC as Seller, Kinetik Holdings LP as Servicer, PNC Bank as Administrative Agent and a Purchaser, with updates to schedules, exhibits, and forms including a new Commitment Increase Request form. No specific financial amounts, changes in commitments, or performance metrics were disclosed.

• ·Amendment includes amendments to Schedule I (Purchasers and Commitments), redesignation of Exhibit B to B-1, addition of new Exhibit B-2 (Form of Commitment Increase Request).
• ·Conditions to effectiveness require documents listed in Exhibit E.
• ·Governed by New York law.

03-04-2026

On April 3, 2026, SharpLink, Inc. entered into mutual termination agreements with Galaxy Digital Capital Management LP and ParaFi Capital LP, terminating asset management agreements dated May 30, 2025, for discretionary investment management services related to the Company's Ethereum purchases, effective May 31, 2026. No termination fees, penalties, or ongoing obligations remain, and the move reflects internal evolution with added personnel rather than any disagreements. The Company noted appreciation for the partners' prior contributions to its ETH treasury strategy.

• ·Original asset management agreements dated May 30, 2025.
• ·Termination Agreements' full texts to be filed as exhibits to Form 10-Q for quarter ending March 31, 2026.
• ·No material relationship currently exists between the Company and Galaxy or ParaFi.

03-04-2026

On April 2, 2026, Advanced Biomed Inc. (ADVB) entered into a Share Purchase Agreement to acquire 100% of the equity interest (10,000 ordinary shares) in Acellent Technologies (Hong Kong) Co. Limited, a provider of AI-powered financial verification and audit solutions, from seller Xiaomin Chen for 270,000 shares of ADVB common stock valued at $4.00 per share, totaling $1,080,000. The transaction closing is conditioned upon satisfactory financial and legal due diligence and receipt of all required regulatory approvals. No financial performance metrics or comparisons are provided in the filing.

• ·Target incorporated under laws of Hong Kong
• ·Closing date to be mutually agreed after conditions met
• ·ADVB is an emerging growth company

03-04-2026

Mobix Labs, Inc. entered into a securities purchase agreement with Leviston Resources, LLC on March 31, 2026, issuing a senior secured convertible promissory note with $3,000,000 principal for $2,550,000 cash, representing a discount. The note carries 10% annual interest and matures on July 31, 2026, with conversion into common stock possible at a discounted price (85% of lowest 8-day VWAP or March 31 closing price), posing dilution risk. The company agreed to file a registration statement within 14 days for resale of conversion shares, to be effective within 30 days.

• ·Note maturity date: July 31, 2026
• ·Registration Statement filing deadline: no later than 14 days following March 31, 2026
• ·Registration Statement effectiveness deadline: no later than 30 days following March 31, 2026
• ·Issuance relies on Section 4(a)(2) and Rule 506(b) of Regulation D exemptions
• ·Exhibits to be filed in next Form 10-Q

03-04-2026

Denali Therapeutics Inc. (Nasdaq: DNLI) regained full rights and control of investigational therapy DNL593 (PTV:PGRN) for GRN-related frontotemporal dementia (FTD-GRN) after Takeda terminated their co-development collaboration due to strategic considerations unrelated to efficacy or safety data. Denali plans to advance DNL593 independently using its TransportVehicle™ platform, with results from the ongoing Phase 1/2 study (enrollment complete with 40 participants) expected by end of 2026; interim data from healthy volunteers showed dose-dependent cerebrospinal fluid progranulin increases and good tolerability with no significant safety signals.

• ·Interim results from Part A of Phase 1/2 study in healthy volunteers: dose-dependent increases in cerebrospinal fluid progranulin levels, consistent with brain delivery; generally well tolerated with no significant safety signals.
• ·In animal models, TV platform enables 10- to 30-fold greater brain exposure for antibodies/enzymes; >1,000-fold for oligonucleotides in primates.
• ·FTD is most common dementia under age 60; GRN mutations are common genetic cause of FTD with no approved treatments to slow progression.

03-04-2026

CitroTech Inc. entered into a Transition Agreement with Stephen Conboy, its former Chief Technology Officer, effective March 31, 2026, transitioning him to an outside advisor role for a 90-day period ending June 30, 2026, with monthly payments of $10,000 and product advances up to $200,000. Post-transition, Conboy gains exclusive sales rights for specified products in a Tahoe-area territory subject to minimum gross sales thresholds of $500,000 in 2026 and $2,000,000 thereafter, along with equity provisions triggered by $10,000,000 financing or revenue milestones. His resignation from the CTO position was not due to any disagreements with the company.

• ·Transition Period: March 31, 2026 to June 30, 2026 (90 days)
• ·Exclusive sales territory: near North Lake Tahoe, South Lake Tahoe, and Truckee, California
• ·Agreement includes broad release of claims, confidentiality, non-disclosure, restrictive covenants, and non-disparagement provisions
• ·Post-transition affiliate agreement to be negotiated for commissions on net sales in defined territory

03-04-2026

InspireMD, Inc. entered into a new Equity Distribution Agreement with BTIG, LLC for an at-the-market offering of up to $75,000,000 in common shares. The company simultaneously terminated its prior agreement with Piper Sandler & Co., under which it had sold 1,361,519 shares with no termination penalties. Net proceeds, if any, will support operations, R&D, sales and marketing, working capital, and general corporate purposes.

• ·Registration Statement on Form S-3 (File No. 333-286309) filed April 1, 2025, effective April 10, 2025.
• ·Prior Piper Sandler agreement dated May 31, 2024.
• ·No assurances provided that any shares will be issued under the new agreement.

03-04-2026

On March 31, 2026, Vertro, Inc., a wholly-owned subsidiary of Inuvo, Inc., entered into an Extension Amendment to its Google Services Agreement with Google LLC, effective April 1, 2026. The amendment extends the agreement term by three additional months, with the new expiration date of June 30, 2026. No financial terms or performance metrics were disclosed in the filing.

• ·Original Google Services Agreement effective January 1, 2024.
• ·Exhibit 10.1 filed with redactions for confidential information.

03-04-2026

Forian Inc. (Nasdaq: FORA) entered into a definitive merger agreement to be acquired in an all-cash transaction by a consortium led by Max Wygod, Chairman and CEO, for $2.17 per share, valuing the company's equity at approximately $68 million—a 22.6% premium to the unaffected closing price as of August 22, 2025. The transaction has no financing condition, was unanimously approved by the Board on the Special Committee's recommendation, and is expected to close in Q2 2026, after which Forian will delist from Nasdaq and operate as a private company. The Board recommends stockholders tender their shares.

• ·Special Committee formed on August 25, 2025, advised by Houlihan Lokey (financial) and Potter Anderson & Corroon LLP (legal).
• ·Transaction not subject to financing condition; Consortium committed funding via commitment letter.
• ·Forian to continue operations under current leadership, headquarters in Newtown, PA, and Forian brand post-close.

03-04-2026

T3 Defense Inc. (formerly Nukkleus Inc., ticker DFNS) entered into a Cancellation Agreement on March 31, 2026, fully terminating its $16,000,000 indebtedness obligation to wholly-owned subsidiary Star 26 Capital, Inc., effective immediately at no cost, no dilution, and with no offsetting obligations. This action follows the restructuring of the original acquisition from 51% to 100% ownership under the Amended and Restated Securities Purchase Agreement dated September 15, 2025, eliminating the prior rationale for the debt as Star 26 now operates fully under T3's control. The company retains full ownership of Star 26 and all its assets, operations, and subsidiaries.

• ·The original indebtedness was structured for a contemplated 51% acquisition of Star 26 but became unnecessary after full 100% ownership.
• ·The Cancellation Agreement is filed as Exhibit 10.50.
• ·Company securities: Common Stock (DFNS) and Warrants (DFNSW) listed on Nasdaq Stock Market LLC.
• ·Filing date: April 3, 2026; Event date: March 31, 2026.

03-04-2026

Moog Inc. fully redeemed its $500 million aggregate principal amount of 4.250% Senior Notes due 2027 on April 3, 2026, at 100.000% of the principal plus accrued and unpaid interest. The redemption was funded using net proceeds from a new $500 million aggregate principal amount offering of 5.500% Senior Notes due 2034 and available cash on hand. The related indenture, dated December 13, 2019, with U.S. Bank Trust Company, National Association as trustee, has been satisfied and discharged.

• ·Redemption price equal to 100.000% of principal amount plus accrued and unpaid interest to, but not including, April 3, 2026.
• ·Indenture dated December 13, 2019.

03-04-2026

Nixxy, Inc. entered into share purchase agreements on March 30, 2026, selling 1,481,481 shares of common stock at $0.675 per share to five investors for gross proceeds of $1,000,000, in unregistered sales exempt under Section 4(a)(2) of the Securities Act. The company dismissed its independent auditor HTL International, LLC on April 2, 2026, and engaged KG CPA LLP as its new auditor on March 30, 2026, with no disagreements, reportable events, or prior consultations on accounting matters. The company is reconciling final funding arrangements from third parties associated with the investors.

• ·Sale price per share agreed upon in February 2026 at $0.675.
• ·Auditor dismissal recommended and approved by Audit Committee and Board of Directors.
• ·HTL furnished a letter agreeing with the disclosures (Exhibit 16.1).

03-04-2026

Arrive AI Inc. received two notification letters from Nasdaq on March 31, 2026, for failing to comply with the minimum Market Value of Publicly Held Shares (MVPHS) requirement of $15,000,000 (Nasdaq Listing Rule 5450(b)(2)(C)) and the minimum Market Value of Listed Securities (MVLS) requirement of $50,000,000 (Nasdaq Listing Rule 5450(b)(2)(A)), each for 30 consecutive business days. The Company has 180 calendar days until September 28, 2026, to regain compliance by meeting the respective thresholds for at least 10 consecutive business days, with no immediate impact on trading of its Common Stock (symbol: ARAI) on Nasdaq. Non-compliance may result in delisting or a potential transfer to the Nasdaq Capital Market.

• ·MVPHS non-compliance period: February 11, 2026 to March 31, 2026 (30 consecutive business days).
• ·MVLS non-compliance period: February 10, 2026 to March 30, 2026 (30 consecutive business days).
• ·Common Stock par value: $0.0002 per share.
• ·Commission File Number: 001-42645.
• ·Company is an emerging growth company.

03-04-2026

On March 31, 2026, Fluence Energy, Inc. entered into Amendment Number Four to its Syndicated Facility Agreement dated November 22, 2023, extending the Trigger Date from December 31, 2025 to December 31, 2026, maintaining the $150.0 million minimum liquidity covenant through December 31, 2026, and delaying the initial 3.50:1.00 consolidated leverage ratio test from January 1, 2026 to January 1, 2027. However, the amendment introduces new requirements, including $50.0 million cash collateral posting if Total Revolving Extensions of Credit exceed $450.0 million, a $150.0 million aggregate cap on certain investments by Loan Parties, and additional restrictions on indebtedness, restricted payments, and dispositions prior to the Trigger Date.

• ·Amendment includes other technical amendments to provisions of the Credit Agreement and related security documentation.
• ·Full text of Amendment Number Four filed as Exhibit 10.1.

03-04-2026

BlackRock, Inc. ('New BlackRock') and BlackRock Finance, Inc. entered into Amendment No. 17 to their Five-Year Revolving Credit Agreement originally dated March 10, 2011, effective as of March 31, 2026, to extend the Maturity Date pursuant to Section 2.10 and make other amendments including commitment adjustments and joining lenders. The amendment replaces Schedules 1.1(b) (Commitments) and 1.1(c) (Extending/Non-Extending Lenders), with reallocations among lenders effective on the Amendment No. 17 Effective Date. No specific financial amounts or negative impacts are disclosed in the filing.

• ·Original Credit Agreement dated March 10, 2011, with 16 prior amendments listed from 2012 to 2025.
• ·Amendment requires execution by Borrowers, Guarantors, all Lenders, Swingline Lenders, and Issuing Lenders for effectiveness.
• ·No Default or Event of Default existing as represented by Borrowers.

03-04-2026

Vivos Therapeutics, Inc. entered into a Securities Purchase Agreement (PIPE SPA) with V-Co Investors 3 LLC, an affiliate of New Seneca Partners Inc., closing a PIPE Offering on March 31, 2026, for $850,000 in cash proceeds plus automatic conversion of $1,400,000 from a prior Bridge Note (net of $140,000 OID). The deal includes issuance of 1,353,625 PIPE Shares, a pre-funded warrant for 429,957 shares, and Series A/B warrants each for 1,783,582 shares at $1.09 exercise price. The company must file a resale registration statement within 45 days and pay $50,000 in counsel fees.

• ·Series A Warrant expires in 2 years; Series B Warrant in 5 years.
• ·Warrants include 19.99% beneficial ownership limitation.
• ·Resale Registration Statement must be effective within 90 days and kept effective for up to 3 years.
• ·Bridge Note originally entered January 15, 2026.

03-04-2026

VivoSim Labs, Inc. (Nasdaq: VIVS) announced the pricing of a best-efforts public offering of up to $4 million, with an initial closing of $3 million expected on April 1, 2026, consisting of 286,557 common shares at $1.140 per share and 2,345,022 pre-funded warrants at $1.139 each, plus 3,947,369 common warrants exercisable at $1.710. A second $1 million tranche is conditional on minimum closing price and trading volume 30 days after initial closing. The offering carries risks including failure to meet closing conditions, as noted in forward-looking statements.

• ·Offering led by New York-based single family office; Joseph Gunnar & Co., LLC as exclusive placement agent.
• ·Pursuant to effective S-1 registration statement (File No. 333-294716), declared effective March 31, 2026.
• ·Common warrants immediately exercisable, expire in 5 years; pre-funded warrants expire when fully exercised.
• ·Second closing subject to conditions including minimum closing price and average trading volume.

03-04-2026

AEON Biopharma, Inc. received a notice from NYSE American on March 31, 2026, indicating non-compliance with Section 1003(a)(ii) of the Company Guide due to a stockholders' equity deficit of approximately $55 million as of December 31, 2025, and net losses in three of its four most recent fiscal years. This follows a prior notice under Section 1003(a)(i) for insufficient equity of $2.0 million, but the company has an accepted compliance plan extending to August 3, 2026, with its Class A Common Stock continuing to trade on NYSE American under a '.BC' indicator and no immediate delisting effect. While the company reports progress on the plan, it provides no assurance of regaining compliance by the deadline.

• ·Prior non-compliance notice received February 7, 2025, under Section 1003(a)(i).
• ·Annual Report on Form 10-K for year ended December 31, 2025, filed March 30, 2026.
• ·Compliance plan period ends August 3, 2026.
• ·Company has right to appeal delisting determination under Section 1010 and Part 12 of Company Guide.

03-04-2026

FibroBiologics, Inc. amended its Amended and Restated Certificate of Incorporation to implement a 1-for-20 reverse stock split of its Common Stock, effective March 30, 2026 at 12:01 a.m. EST. The amendment, approved by the Board of Directors and a majority of outstanding shares on February 20, 2026, consolidates every 20 issued and outstanding shares into one share, with no fractional shares issued (rounded up to the nearest whole share) and no change to authorized shares or par value.

• ·Certificate executed on March 25, 2026.
• ·Filed pursuant to Section 242 of the Delaware General Corporation Law (DGCL).
• ·8-K filing date: April 03, 2026; Items 3.03, 5.03, 9.01.

03-04-2026

KORU Medical Systems, Inc. entered into Amendment No. 3 to its Loan and Security Agreement with HSBC Ventures USA Inc., effective March 30, 2026, extending the Revolving Line Maturity Date to March 30, 2028, Term Loan Maturity Date to December 1, 2029, and Draw Period End Date to June 30, 2027, with potential further extensions upon achieving the EBITDA Milestone Event of positive Adjusted EBITDA for two consecutive fiscal quarters by June 30, 2027. Interest rates were adjusted to the greater of Prime Rate (or Prime minus 0.50% for Term Loans) or 5.50%, and the financial covenant shifted to Remaining Months Liquidity greater than 12, replacing the prior Adjusted Quick Ratio, while requiring at least $5,000,000 in unrestricted cash with the Bank. No declines or flat metrics are present in this amendment, which provides extended financing flexibility conditional on performance.

• ·Eligible Foreign Accounts limited to Account Debtors in Approved Countries: Canada, France, Germany, Italy, Japan, United Kingdom.
• ·Term Loan Amortization Date: July 1, 2027, extendable to January 1, 2028 upon EBITDA Milestone Event.
• ·Repayment Schedule: 30 months, reducible to 24 months upon EBITDA Milestone Event.
• ·Financial covenant tested monthly after Testing Event (initial Advance), with exception if trailing three-month average Adjusted EBITDA is positive.

03-04-2026

Interactive Strength Inc. entered into a Settlement Agreement with Vertical Investors, LLC on March 31, 2026, issuing 1,088,255 shares of Series C Preferred Stock valued at $2,176,509 to settle the shortfall under a prior Restoration Agreement, where the Net Trade Value received by the lender was only $2,176,509 against a Total Loan Exchanged Amount of approximately $8,735,523. This resolves the company's obligation to cover the difference but results in significant equity dilution, with the lender now holding 2,623,176 Series C Preferred shares. The transaction was exempt from registration under Section 4(a)(2) of the Securities Act.

• ·Settlement fulfills obligation under April 24, 2024 Loan Restoration Agreement, requiring payment if Net Trade Value < Total Loan Exchanged Amount by December 31, 2025.
• ·Original Credit Agreement dated February 1, 2024; Loan Modification Agreement dated April 24, 2024.