US Corporate Distress Financial Stress SEC Filings — May 08, 2026

08-05-2026

Cellectar Biosciences entered into a registered direct offering and concurrent private placement on May 4, 2026, raising approximately $35 million in gross proceeds before fees, issuing 1,618,053 registered shares, 2,116,887 unregistered shares, pre-funded warrants for 9,471,086 shares, and milestone warrants for 13,206,026 shares each across three tranches, resulting in 7,975,069 shares outstanding post-closing (excluding warrants). Proceeds will fund working capital, general corporate purposes, and a planned Phase 3 trial of iopofosine I 131 for Waldenström macroglobulinemia. Separately, 12-month follow-up data from the Phase 2b CLOVER WaM trial reported strong efficacy with 83.6% ORR, 61.8% MRR, and 17.8 months median DoR in r/r WM patients.

• ·Milestone Warrants exercisable post-stockholder approval; exercise price $2.65 (institutional) or $2.88 (management); callable under specific clinical and stock price/volume conditions.
• ·Nantahala Capital Management entitled to designate one independent board member by June 5, 2026, subject to board approval.
• ·Registration Rights Agreement requires resale registration statement filed by May 19, 2026, effective within 60 days.
• ·Phase 2b subsets: BTKi-exposed (n=39) MRR 64.1%, DoR 18.2 months, PFS 15.9 months; BTKi-refractory (n=33) MRR 63.6%, DoR 18.2 months, PFS 14.8 months.
• ·Trial safety: transient AEs, no significant bleeding, infections <10%, cytopenias most common, non-hematologic toxicities mostly Grade <2.

08-05-2026

New Horizon Aircraft Ltd. announced the pricing of a $20 million offering of 9,254,889 Class A Ordinary Shares to institutional investors, with closing expected on or about May 8, 2026. Gross proceeds will fund and accelerate the Cavorite X7 aircraft program, working capital, and general corporate purposes. CEO Brandon Robinson highlighted the financing as a milestone expanding the institutional shareholder base and supporting commercialization.

• ·Shelf registration statement on Form S-3 filed February 14, 2025, effective March 25, 2025.
• ·Titan Partners acting as sole placement agent.

08-05-2026

On May 6, 2026, Medical Exercise Inc. entered into a Franchise Agreement with Degco Fitness Ventures Ltd., granting rights to own and operate the first OnCore Longevity Center franchise in Regina, Saskatchewan, Canada. This agreement represents the company's initial expansion into the Canadian market and the commencement of its franchise-based revenue model, deemed material by management. The company issued a press release announcing the agreement, incorporated as Exhibit 99.1.

• ·Agreement executed on May 6, 2026; filing dated May 8, 2026.
• ·Company is an emerging growth company.
• ·Principal executive offices: Suite 300, 7901 4th Street North, St. Petersburg, FL 33702.

08-05-2026

On May 6, 2026, Amprius Technologies, Inc. entered into Warrant Exchange Agreements with certain institutional holders to exchange an aggregate of 7,128,458 public warrants (exercisable at $11.50 per share) for shares of common stock, based on a formula incorporating the average VWAP over a four-day period plus $0.35 minus the exercise price. The transaction relies on Section 4(a)(2) of the Securities Act for unregistered issuance and is expected to close on May 18, 2026, subject to customary conditions. No financial performance metrics or period-over-period comparisons are disclosed in the filing.

• ·Exchange Shares issuance in reliance on Section 4(a)(2) of the Securities Act; shares may not be re-offered or sold absent registration or exemption.
• ·Securities traded on The New York Stock Exchange.
• ·Company qualifies as an emerging growth company.

08-05-2026

HNO International, Inc. (HNOI), a metal mining company, filed an 8-K on May 08, 2026, disclosing entry into a material definitive agreement (Item 1.01), creation of a direct financial obligation (Item 2.03), and unregistered sales of equity securities (Item 3.02), with exhibits in Item 9.01. No specific financial details or performance metrics were provided in the filing index. The company has a history of late filing notifications (NT 10-K/Q).

• ·Filing Acc-no: 0001342916-26-000028, Size: 18 MB
• ·Company CIK: 0001342916, SIC: 1000 (Metal Mining), Fiscal Year End: Oct 31
• ·Address: 41558 EASTMAN DRIVE, SUITE B, MURRIETA CA 92562
• ·Former names: American Bonanza Resources Corp., Clenergen Corp.

08-05-2026

Two Harbors Investment Corp (TWO) and CrossCountry Mortgage, LLC (CCM) announced an amended merger agreement increasing the all-cash consideration to $12.00 per share from $11.30, a $0.70 per share increase representing a 21% premium to the unaffected share price as of December 16, 2025. TWO's Board unanimously recommends approval at the May 19, 2026 special meeting, noting CCM's committed $3.4 billion financing and superiority over UWMC's stock consideration valued at $7.88 per TWO share based on May 7, 2026 closing price. The transaction has achieved 35 of 53 required regulatory approvals and is expected to close in Q3 2026.

• ·TWO intends to pay regular quarterly dividends prior to closing consistent with past practice.
• ·Upon closing, TWO common stock will be delisted from NYSE and TWO will become a wholly owned subsidiary of CrossCountry.
• ·Proxy solicitor: D.F. King & Co., Inc. at (646) 677-2516 (banks/brokers) or (888) 887-0082 (toll-free).

08-05-2026

Digi Power X Inc. (DGXX) executed a Master Services Agreement with Cerebras Systems for colocation of a 40 MW AI data center in Columbiana, Alabama, with an initial 10-year term valued at $1.1 billion and total potential contract value up to $2.5 billion including renewals. The facility will be developed in Phase 1 (15 MW, targeted ready-for-service December 15, 2026) and Phase 2 (25 MW, full deployment by end of Q1 2027), providing long-term revenue visibility starting late 2026. No current operational declines noted, though forward-looking statements highlight risks such as construction delays and capital needs.

• ·Material change date: May 4, 2026
• ·News release date: May 5, 2026
• ·Filing date: May 8, 2026
• ·Phase 1 construction self-funded
• ·On-site substation completed and grid interconnection finalized

08-05-2026

On May 5, 2026, ModuLink Inc. entered into securities purchase agreements with three investors for a private placement offering of up to 12,500 shares of Series A Convertible Preferred Stock at $80.00 per share. As of May 8, 2026, the company received aggregate gross proceeds of approximately $300,000 from the sale of 3,750 shares. The preferred stock is convertible into 20,000 shares of common stock per share, subject to adjustment, following six months from issuance or a qualified liquidity event.

• ·Securities offered and sold in reliance on Rule 903(b)(3) of Regulation S exemption for offshore non-U.S. persons.
• ·Conversion permitted after six months from issuance or a qualified liquidity event (e.g., uplisting or strategic transaction).
• ·Series A Preferred Stock has $0.001 par value and votes on an as-converted basis with common stock.

08-05-2026

PGIM Private Credit Fund ABL LLC entered into a Loan Financing and Servicing Agreement dated May 5, 2026, with lenders, Deutsche Bank AG New York Branch as Facility Agent, and State Street Bank and Trust Company as Collateral Agent and Collateral Custodian; PGIM Private Credit Fund serves as Equityholder and Servicer. The facility enables advances against eligible Collateral Obligations, with Advance Rates up to 72.5% for qualifying First Lien Loans (EBITDA >= $50M) and lower rates for other loan types such as 70% for other First Lien Loans, 60% for FILO Loans <=1.5x leverage, 45% for DB Tranched Last Out Loans, and 40% for Second Lien Loans. No specific facility amount or outstanding advances are disclosed in the filing.

• ·Agreement effective as of May 5, 2026, filed in 8-K on May 8, 2026 under Items 1.01, 2.03, 9.01
• ·Supports multi-currency Advances (USD, AUD, Euro, GBP, CAD)
• ·Leverage thresholds for FILO Loans: 1.5x, 2.0x, 2.5x

08-05-2026

On May 7, 2026, the Board of Trustees of AB Private Lending Fund approved an amendment and restatement of the Fund's Distribution Reinvestment Plan (DRP), effective immediately and applying to distributions on or after that date. The Amended DRP modifies participation rules such that tendering shares into a Fund tender offer terminates DRP only for repurchased shares, not those requested but not repurchased, and requires California investors to opt-in. The full text is filed as Exhibit 4.1.

08-05-2026

On May 6, 2026, Cryo-Cell International, Inc. received notice from NYSE Regulation accepting its compliance plan to regain NYSE American continued listing standards, previously submitted on April 8, 2026, and granting an extension through September 9, 2027. During this period, CCEL common stock will continue to trade subject to plan compliance and periodic review. However, there is no assurance of regaining compliance by the deadline, potentially leading to delisting proceedings.

• ·Common Stock, $0.01 par value, trading symbol CCEL on NYSE American LLC
• ·Principal executive offices: 700 Brooker Creek Blvd., Suite 1800, Oldsmar, Florida 34677

08-05-2026

Suja Life, Inc. adopted an Amended and Restated Certificate of Incorporation via unanimous board consent and stockholder written approval, effective May 7, 2026, restating the original filed October 8, 2025. The amendment authorizes 650,000,000 shares total, including 50,000,000 Preferred Stock, 500,000,000 Class A Common Stock, and 100,000,000 Class V Common Stock, with both common classes having equal voting rights but Class V lacking dividend and liquidation rights. It establishes a classified board of seven directors and outlines exchange mechanisms between Class V shares, LP Units of Suja Life Holdings, L.P., and Class A shares.

• ·Class V Common Stock transfers are restricted and automatically convert to the Corporation upon certain events.
• ·Board directors divided into three classes (Class I, II, III) with staggered terms post-IPO.
• ·Par value $0.0001 per share for all classes.
• ·Registered office: 1209 Orange Street, Wilmington, New Castle County, Delaware 19801.

08-05-2026

Quantum Cyber N.V. (f/k/a Mainz Biomed N.V.) amended its Equity Distribution Agreement with Maxim Group LLC, increasing the maximum aggregate offering amount for ordinary shares from $10,000,000 to $100,000,000. The company also entered into a consulting agreement with CFO William Caragol, effective April 22, 2026, featuring a $20,000 monthly retainer through August 31, 2026 (extendable month-to-month), with possible equity grants from the 2025 Omnibus Stock Plan and a commitment of up to 50% professional time. No financial performance metrics or period-over-period comparisons were disclosed.

• ·Consulting agreement includes customary provisions for confidentiality, non-competition, non-disparagement, and indemnification.
• ·Caragol consulting effective date April 22, 2026; initial term ends August 31, 2026; terminable by either party with 30 days' notice.
• ·Consultant commits up to 50% professional time; no charge for April 22-30, 2026 period.

08-05-2026

NextTrip, Inc. adopted a Certificate of Designation via unanimous written consent of the Board on December 4, 2025, authorizing 450,000 shares of Series B Convertible Preferred Stock with a Stated Value and Fixed Conversion Price of $2.755 per share, pursuant to a Securities Purchase Agreement dated May 6, 2026. The preferred stock provides for dividends accruing on the Stated Value, a liquidation preference of 115% of Stated Value plus accrued dividends, certain protective voting rights for holders, and mandatory redemption on August 30, 2026. No operational performance metrics are reported; the issuance may lead to dilution upon conversion to common stock.

• ·Board resolution adopted via unanimous written consent on December 4, 2025.
• ·Securities Purchase Agreement dated May 6, 2026.
• ·Mandatory Redemption Date: August 30, 2026 (extendable at Holder option).
• ·Multiple Events of Default defined, including failure to maintain DTC eligibility, share reservation, or timely SEC filings.
• ·Holders require majority consent for adverse changes to terms, further Series B issuance, or certain low-price share sales.

08-05-2026

Prospect Capital Corporation's Board of Directors adopted resolutions reclassifying 16,000,000 authorized but unissued shares of common stock into additional shares of 5.35% Series A Fixed Rate Cumulative Perpetual Preferred Stock. This brings the total authorized Series A Shares to 22,151,157, with par value $0.001 per share. The Articles Supplementary were approved and executed on May 8, 2026, by M. Grier Eliasek and attested by Kristin Van Dask.

• ·Par value: $0.001 per share for both Common Stock and Series A Shares
• ·Filing items reported: 1.01, 3.03, 5.03, 9.01
• ·Authority under Section 5.3 of Charter and Section 2-208 of Maryland General Corporation Law

08-05-2026

Via Renewables, Inc., as Parent, along with numerous subsidiaries as Co-Borrowers including Spark Holdco, LLC, Spark Energy, LLC, and others, entered into a new Credit Agreement dated May 6, 2026, with Bank OZK serving as Administrative Agent, Swing Bank, Swap Bank, Issuing Bank, and a lender, alongside other banks such as BOKF, N.A., Fifth Third Bank, National Association, The Huntington National Bank, and Woodforest National Bank, N.A. The facility includes provisions for revolving loans, swingline loans, letters of credit, and related commitments detailed in Schedule 2.01, with applicable margins tied to Total Leverage Ratio levels (e.g., Term SOFR +2.75% to +3.25%). No performance metrics or period-over-period changes are disclosed in the filing.

• ·Filing Date: May 08, 2026
• ·Agreement Effective Date: May 6, 2026
• ·Includes Schedules such as Commitments (2.01), Liabilities (6.11), Organization Structure (6.15)
• ·Applicable Leverage Ratio Tiers: Level I (<2.00x), Level II (>=2.00x but <2.50x), Level III (>=2.50x)

08-05-2026

On May 4, 2026, 21Shares Polkadot ETF entered into a staking services agreement with Figment Inc. to stake DOT tokens on the Polkadot Network, generate rewards, and provide related reports. The agreement allows the Trust to stake/unstake DOT at its discretion, subject to network bonding/unbonding periods, and can be terminated by either party at any time. The Trust's sponsor, custodians, and third-party providers including Figment are expected to receive 26.5% of staking rewards, with the remainder retained by the Trust.

• ·Agreement terminable by either party upon written notice at any time for any reason.
• ·Figment's liability capped at service fees from prior 6 months (Global Cap), with specific caps for slashing penalties and missed rewards, excluding gross negligence, fraud, or willful misconduct.
• ·During Polkadot Network bonding/unbonding periods, DOT and rewards may be unavailable to the Trust.

08-05-2026

T3 Defense Inc. (formerly Nukkleus Inc., ticker DFNS) received a Nasdaq notice on May 5, 2026, stating non-compliance with Listing Rule 5550(a)(2) due to its common stock's closing bid price falling below $1.00 per share for 30 consecutive business days from March 23, 2026, to May 4, 2026. The company has 180 calendar days until November 2, 2026, to regain compliance by achieving a $1.00 closing bid price for at least 10 consecutive business days, or it risks delisting after potential extension requiring a $5,000 fee. Trading continues uninterrupted on Nasdaq, and the company may pursue a reverse stock split.

• ·Non-compliance period based on closing bid prices from March 23, 2026, to May 4, 2026 (30 consecutive business days).
• ·Compliance regain requires closing bid price of at least $1.00 per share for minimum of 10 consecutive business days.
• ·Company is an emerging growth company.

08-05-2026

On May 8, 2026, the 96th District Court of Tarrant County, Texas approved SoftVest, L.P.'s petition to modify the Permian Basin Royalty Trust's (PBT) Indenture, eliminating the 75% unitholder approval requirement for certain amendments under Section 8.03 and deleting Section 10.01 while replacing Article X to allow amendments by majority vote of unitholders at a quorate meeting. This governance change lowers barriers to future Indenture modifications but introduces potential risks to entrenched provisions as noted in forward-looking statements referencing ongoing risk factors.

• ·Hearing held before the 96th District Court of Tarrant County, Texas.
• ·Modifications amend Section 8.03 and replace Article X of the Indenture.
• ·References risk factors in 10-K for year ended December 31, 2025.

08-05-2026

Avai Bio, Inc. (formerly Avant Technologies Inc., AVAI) and Ainnova Tech Inc. (AINN) entered a Mutual Termination Agreement on May 7, 2026, to end their Joint Venture and License Agreement dated November 8, 2024 (effective November 11, 2024), with no termination penalties or further financial obligations. The parties agreed to dissolve Ai-Nova Acquisition Corp. (AAC), the Nevada corporation formed for AI-based healthcare technologies, and cooperate on an orderly wind-down. This allows both companies to pursue independent business strategies.

• ·Termination Agreement filed as Exhibit 10.1
• ·AAC corporate filings with State of Nevada to be closed
• ·License Agreement originally for developing and commercializing AI healthcare technologies via new Nevada corporation

08-05-2026

On May 6, 2026, Quest Diagnostics Incorporated issued $500,000,000 aggregate principal amount of 5.000% senior notes due 2036 under a supplemental indenture with The Bank of New York Mellon as trustee. The notes are senior unsecured obligations ranking equally with other senior unsecured debt, with semi-annual interest payments starting December 30, 2026, and maturity on June 30, 2036. The indenture includes covenants restricting liens, sale-leaseback transactions, and consolidations/mergers, plus a change of control repurchase offer at 101% of principal.

• ·Interest payments due June 30 and December 30 each year, beginning December 30, 2026
• ·No sinking fund provision
• ·Customary events of default apply

08-05-2026

Brag House Holdings, Inc. entered into a Securities Purchase Agreement dated May 4, 2026, with certain Purchasers to issue and sell instruments pursuant to Section 4(a)(2) of the Securities Act and Rule 506, with closing on the Trading Day when conditions are met. Net proceeds will be used for partial repayment of existing indebtedness to Yorkville, general working capital, and other corporate purposes approved by the Board, subject to restrictions. No specific subscription amounts or instrument details were disclosed in the filing.

• ·Agreement prohibits use of proceeds for Common Stock redemptions, litigation settlements, or violations of FCPA/OFAC.
• ·Company must reserve shares for Required Minimum and amend certificate if needed within 60 days.
• ·SEC filing date: May 08, 2026; Items reported: 1.01, 2.03, 3.02, 9.01.

08-05-2026

On May 6, 2026, MGE Energy, Inc. entered into an Underwriting Agreement with underwriters including Morgan Stanley & Co. LLC for the offering of 3,300,331 shares of common stock, with 990,099 shares sold directly by the company and 2,310,232 shares sold by forward sellers borrowed from third parties at an initial forward sale price of $72.9094 per share. Net proceeds from the company's shares will be used for general corporate purposes such as repaying short-term debt, funding capital expenditures, and investments in subsidiaries. However, settlement of the Forward Sale Agreements by January 8, 2028, may cause dilution to earnings per share if the market price exceeds the adjusted forward price.

• ·Forward Sale Agreements settlement at company's discretion no later than January 8, 2028
• ·Forward sale price subject to adjustments based on overnight bank funding rate less spread, expected dividends, and borrowing costs
• ·Potential acceleration of Forward Sale Agreements due to hedging issues, excess dividends, ownership thresholds, extraordinary events, or defaults

08-05-2026

Knight-Swift Transportation Holdings Inc. (NYSE: KNX) announced a proposed private placement of $1.0 billion aggregate principal amount of Convertible Senior Notes due 2031 to qualified institutional buyers under Rule 144A, with an option for initial purchasers to buy up to an additional $150.0 million. Net proceeds will repay all $300 million outstanding under the term loan due 2027, $400 million of the $700 million outstanding under the 2025 Term Loan A-1, and any remainder on the revolver. The offering includes capped call transactions to reduce potential dilution upon conversion.

• ·Notes are general senior unsecured obligations with semiannual interest payments.
• ·Upon conversion, cash up to principal, then cash/shares/combination at company's election.
• ·Capped call transactions to cover shares underlying notes and offset excess conversion payments, subject to cap.
• ·Initial purchasers' option exercisable over 13-day period from issuance date.

08-05-2026

On May 6, 2026, Aditxt, Inc. received a Nasdaq Staff Determination to delist its securities from The Nasdaq Capital Market due to the bid price closing below $1.00 per share for 30 consecutive business days from March 24, 2026, through May 5, 2026, violating Nasdaq Listing Rule 5550(a)(2). The Company is ineligible for a 180-day compliance period because it effected reverse stock splits over the prior two-year period with a cumulative ratio of 250 shares or more to one. Aditxt intends to appeal to a Nasdaq Hearings Panel, which would stay delisting actions, though success is not assured.

• ·Bid price below $1.00 per share for 30 consecutive business days (March 24, 2026 - May 5, 2026).
• ·Ineligible for compliance period per Nasdaq Listing Rule 5810(c)(3)(A)(iv) due to prior reverse stock splits.
• ·Securities: Common Stock, par value $0.001 per share (ADTX).

08-05-2026

Industrial Logistics Properties Trust (ILPT) entered into a Loan Agreement dated May 8, 2026, with a syndicate of lenders including Wells Fargo Bank, National Association, Citi Real Estate Funding Inc., Morgan Stanley Bank, N.A., Bank of America, N.A., Bank of Montreal, and UBS AG New York Branch, for financing properties listed on Schedule II, including specific Florida industrial sites under A&R Florida Mortgages. The agreement includes standard provisions for loan disbursements, interest, prepayments, reserves, cash management, and covenants related to property maintenance and single-purpose entity status. No specific loan amounts, financial metrics, or performance comparisons are disclosed in the provided filing excerpt.

• ·Filing includes Items 1.01 (Entry into Material Definitive Agreement), 1.02, 2.03, and 9.01 (Financial Statements and Exhibits).
• ·Loan #31-0973097.
• ·Borrowers are entities identified on Exhibit A, with principal place of business c/o The RMR Group, Newton, Massachusetts.
• ·Schedules include Property (Schedule II), Organizational Chart (III), Ground Leases (IV), Allocated Loan Amounts (V), Required Repairs (VI), PILOT Leases (VII), and others.

08-05-2026

National Healthcare Properties, Inc. entered into a definitive purchase and sale agreement on May 4, 2026, with an affiliated third party to sell a portfolio of 86 outpatient medical facilities for approximately $528 million (before transaction expenses, prorations, and adjustments), including $278 million of secured debt to be defeased or assumed by the purchaser. The transaction is expected to close in the third or fourth quarter of 2026, subject to purchaser due diligence, lender approvals for loan assumptions, and other customary closing conditions. No financial performance metrics or period-over-period comparisons were disclosed.

• ·PSA contains customary representations, warranties, covenants, and post-closing obligations.
• ·Full PSA text to be filed as exhibit to Form 10-Q for quarter ended June 30, 2026; portions may be omitted per Regulation S-K.
• ·Securities registered: Class A common stock (NHP), 7.375% Series A Preferred (NHPAP), 7.125% Series B Preferred (NHPBP) on Nasdaq Global Market.

08-05-2026

On May 8, 2026, Consolidated Edison, Inc. entered into an Equity Distribution Agreement with multiple Sales Agents, establishing an at-the-market program to offer and sell up to $2,000,000,000 of its Common Shares ($0.10 par value) from time to time. The agreement also enables separate Forward Sale Agreements with Forward Purchasers, under which borrowed shares may be sold by Forward Sellers, with Con Edison potentially receiving proceeds upon physical settlement but facing cash or net share settlement risks otherwise. Commissions to Sales Agents and Forward Sellers will not exceed 1.0% of gross sales prices.

• ·Sales of Common Shares may be executed in negotiated transactions, block trades, or at-the-market offerings via NYSE, market makers, or electronic networks.
• ·Exhibits filed: Equity Distribution Agreement (Exhibit 1), Opinion of Counsel (Exhibit 5), Form of Forward Sale Agreement (Exhibit 10), Consent (Exhibit 23).
• ·Forward-looking statements subject to risks detailed in Con Edison's SEC filings.

08-05-2026

PEDEVCO Corp. executed a First Amendment to its Amended and Restated Credit Agreement, effective December 2, 2025, adding First International Bank & Trust as a new lender alongside existing lenders Citibank, N.A., Fifth Third Bank, Fifth Third Bank, National Association, Zions Bancorporation, N.A. dba Amegy Bank, and MidFirst Bank. The amendment reallocates commitments, increasing the total Maximum Credit Amount to $250,000,000.00 and the total Elected Commitment to $120,000,000.00. Borrower confirms all representations, warranties, security, and guaranties remain in full force with no defaults or events of default.

• ·Citibank, N.A. Applicable Percentage: 29.166666667%
• ·Fifth Third Bank Applicable Percentage: 25.000000000%
• ·Zions Bancorporation, N.A. dba Amegy Bank Applicable Percentage: 20.833333333%
• ·MidFirst Bank Applicable Percentage: 16.666666667%
• ·First International Bank & Trust Applicable Percentage: 8.333333333%
• ·Original Credit Agreement dated October 31, 2025
• ·Amendment filed as EX-10.2 in 8-K on May 08, 2026

08-05-2026

Chiron Real Estate Inc. entered into an Investment Agreement on May 6, 2026, to issue and sell up to 1,000,000 shares of 6.00% Series C Convertible Perpetual Preferred Stock to Maewyn XRN LP and other purchasers for aggregate gross proceeds of up to $100.0 million, in minimum tranches of $25.0 million, with initial closing by June 20, 2026. Proceeds are intended for general business and working capital purposes, including potential acquisitions. An accompanying Investor Rights Agreement provides Maewyn with board nomination rights post the May 20, 2026 annual meeting, registration rights, standstill restrictions, and consent rights over certain actions like new indebtedness above a 0.60:1 leverage ratio.

• ·Series C Preferred Stock ranks senior to Common Stock for dividends and liquidation but junior to existing/future indebtedness.
• ·Dividend rate steps up to 8% after 4 years from last issuance and by 2% annually thereafter to max 12%.
• ·Maewyn Purchaser subject to standstill restrictions until no longer having a Board designee.
• ·Company consent rights for Maewyn required for new indebtedness (if leverage >0.60:1), revoking REIT status, or affiliate transactions.
• ·Initial Closing on or before June 20, 2026; subsequent funding requests until November 6, 2026.

08-05-2026

Citius Pharmaceuticals, Inc. and its majority-owned subsidiary Citius Oncology, Inc. entered into a Third Amendment to a Promissory Note originally issued on August 16, 2024, for $3,800,111 principal, aligning maturity and payment terms with a new subordination agreement for Citius Oncology's senior debt facility with Avenue Venture Opportunities Fund II, L.P. The amendment sets maturity 91 days after full repayment of senior debt and termination of the related loan agreement, eliminates prior maturity triggers from capital raises or LYMPHIR royalty monetizations, prohibits cash prepayments, and adds an optional conversion of principal into Citius Oncology common stock at $0.90 per share subject to approval. No immediate payments or defaults are triggered during the standstill period.

• ·Previous amendments to the Promissory Note: September 10, 2025 and December 10, 2025.
• ·Conversion requires Citius Oncology approval and shares bear restrictive legend.
• ·No personal liability for officers, directors, employees, or shareholders of Citius Oncology.

08-05-2026

Contango Silver and Gold Inc. reported high-grade gold drill results from the initial phase of its 2025/2026 underground drilling program at the Lucky Shot Project, including intercepts such as 74.20 g/t Au over 0.50 m and 55.45 g/t Au over 0.30 m, confirming continuity and expansion of multiple vein structures like L1c, L2, and CK veins across 6,020 meters in 65 holes. The company also acquired 100% ownership of the Lucky Shot lease and extinguished a 2% NSR royalty from Alaska Hardrock Inc. for total consideration of $16,074,000, enhancing project control and economics ahead of a feasibility study in H1 2027. No declines or flat performance were reported in the drilling results.

• ·Drilling program: 18,000 meters total planned (initial phase completed; ~12,000 meters future from new platforms)
• ·Highest intercepts: LSU26064 (74.20 g/t Au over 0.50 m, CK Vein, visible gold); LSU26068 (55.45 g/t Au over 0.30 m, L1c Vein, visible gold); LSU26066 (31.56 g/t Au over 0.31 m, L1c Vein)
• ·Underground development by GMS to commence mid-May 2026, ~5 months duration
• ·Purchase Agreement signed May 4, 2026; closing by July 1, 2026
• ·Drilling began November 2025 from West Drift stations

08-05-2026

Humacyte, Inc. received a Nasdaq notification on May 4, 2026, stating that its common stock (HUMA) bid price closed below the $1.00 minimum requirement for 30 consecutive business days ended May 1, 2026, violating Nasdaq Listing Rule 5450(a)(1). The company has 180 calendar days until November 2, 2026, to regain compliance by achieving a $1.00 closing bid price for at least 10 consecutive business days, with no immediate impact on listing or operations. While the company plans to monitor and pursue compliance options, success is not assured, posing delisting risk.

• ·No immediate effect on current listing (continues on Nasdaq Global Select Market under HUMA) or SEC reporting obligations.
• ·Company address: 2525 East North Carolina Highway 54, Durham, NC 27713.
• ·Nasdaq Listing Rule cited: 5450(a)(1) and 5810(c)(3)(A).

08-05-2026

On May 8, 2026, Stardust Power Inc. entered into an At Market Issuance Sales Agreement with B. Riley Securities, Inc., enabling the sale of common stock with an aggregate offering price of up to $5,000,000 through ordinary brokers’ transactions on Nasdaq Capital Market. Net proceeds will be used for general corporate purposes, with the Agent receiving a customary commission. The shares will be issued under the existing Form S-3 registration statement (No. 333-294938).

• ·Sales may also be made to the Agent as principal at negotiated prices
• ·Agent has customary indemnification rights
• ·Registration statement: Form S-3, No. 333-294938

08-05-2026

Live Nation Entertainment, Inc.'s indirect subsidiary, Live Nation VenueCo, LLC, closed the issuance of €610 million aggregate principal amount of fixed rate senior secured notes on May 8, 2026. The notes are secured by mortgages on substantially all real property assets of four venues in the United States, the Netherlands, and Ireland, along with related personal property and net revenues, and are non-recourse to the Company except for certain subsidiaries. Details of the Note Purchase Agreement, Master Indenture, and First Supplemental Indenture are incorporated by reference from the Company's Form 10-Q filed May 5, 2026.

• ·Note Purchase Agreement dated April 30, 2026; Master Trust Indenture dated April 30, 2026; First Supplemental Indenture dated May 8, 2026.
• ·Notes secured by collateral assignments of personal property and assignment of monthly current and deferred revenues from venues after operating expenses.
• ·Copies of agreements to be filed as exhibits to Q2 2026 Form 10-Q.

08-05-2026

Galaxy Digital Inc. entered into an Open Market Sale Agreement with Jefferies LLC, BNY Mellon Capital Markets, LLC, and UBS Securities LLC on May 8, 2026, enabling the sale of up to $500,000,000 of Class A common stock through an at-the-market (ATM) offering. The company plans to use net proceeds to expand its Data Centers business and for general corporate purposes, emphasizing its well-capitalized position and flexibility to access equity markets opportunistically. No shares have been sold under the agreement yet.

• ·Sales, if any, to be made via ordinary brokers’ transactions at market prices or negotiated transactions
• ·Agents to use commercially reasonable efforts based on Company instructions
• ·Opinion on validity of Common Shares issued by Latham & Watkins LLP

08-05-2026

On May 8, 2026, Rockwell Medical, Inc. received notice from Nasdaq that it failed to satisfy the minimum bid price requirement of $1.00 per share under Nasdaq Listing Rule 5550(a)(2), as its common stock closing bid price was below $1.00 for 30 consecutive business days. The company has a 180-calendar-day compliance period until November 4, 2026, to regain compliance by achieving a $1.00 closing bid price for at least 10 consecutive business days, with its shares continuing to trade on Nasdaq Capital Market during this time. Rockwell Medical has proposed a reverse stock split in its 2026 Annual Meeting Proxy Statement to address the issue, but there is no assurance of approval, implementation, or sustained compliance.

• ·Stock symbol: RMTI
• ·Principal executive offices: 30142 S. Wixom Road, Wixom, Michigan 48393
• ·Compliance rules referenced: Nasdaq Listing Rule 5550(a)(2) and Listing Rule 5810(c)(3)(A)
• ·Potential eligibility for additional compliance time if initial 180 days not met

08-05-2026

Lifeloc Technologies, Inc. (LCTC) filed an 8-K on May 08, 2026, disclosing entry into a material definitive agreement under Item 1.01 and creation of a direct financial obligation under Item 2.03. The filing also includes financial statements and exhibits under Item 9.01. No specific financial metrics or period-over-period comparisons were detailed in the provided filing metadata.

• ·CIK: 0001493137
• ·SIC: 3826 - LABORATORY ANALYTICAL INSTRUMENTS
• ·Fiscal Year End: December 31
• ·Business Address: 12441 WEST 49TH AVE UNIT #4, WHEAT RIDGE, CO 80033
• ·Filing Accession Number: 0001079973-26-000624
• ·File Size: 477 KB

08-05-2026

On May 8, 2026, ImmuCell Corporation entered into a Settlement Deed with Norbrook Laboratories Limited to resolve all claims arising from a 2019 Development Services and Commercial Supply Agreement that expired on March 31, 2026. Norbrook has agreed to pay ImmuCell $2,000,000 as part of the settlement. The agreement is governed by Northern Ireland law, includes confidentiality undertakings, and contains no admission of liability by either party.

• ·Settlement Deed governed by Northern Ireland law
• ·Includes undertakings regarding confidentiality
• ·Does not constitute an admission of liability or wrongdoing by either party

08-05-2026

Calidi Biotherapeutics, Inc. entered into a material definitive agreement by issuing a warrant to an accredited investor for up to 17,391,304 unvested shares of common stock at an exercise price of $0.23 per share in a private placement exempt under Section 4(a)(2) and Rule 506(b) of the Securities Act. The warrant becomes first exercisable on September 8, 2026, and vests proportionally based on any agreed-upon registered issuances of up to $4.0 million in common stock prior to July 8, 2026, with no obligation to consummate such issuances.

• ·Warrant filed as Exhibit 4.1
• ·Event date: May 6, 2026; Filing date: May 8, 2026

08-05-2026

Lantronix, Inc. entered into a Sales Agreement on May 8, 2026, with Needham & Company, LLC and Canaccord Genuity LLC, establishing an at-the-market offering program for up to $30,000,000 of its common stock, par value $0.0001 per share. The Company may sell shares at its discretion through the sales agents using methods permitted under Rule 415, with agents receiving a 3% commission on gross proceeds. The agreement is terminable by either party and utilizes the Company's existing Form S-3 Registration Statement (File No. 333-284749), effective February 19, 2025.

• ·Sales conducted as 'at the market offering' under Rule 415 of the Securities Act, including via Nasdaq.
• ·Prospectus supplement filed May 8, 2026, pursuant to Rule 424(b).
• ·Opinion on validity of shares issued by O’Melveny & Myers LLP, dated May 8, 2026.

08-05-2026

Nektar Therapeutics entered into an Equity Distribution Agreement with Guggenheim Securities, LLC and H.C. Wainwright & Co., LLC, enabling at-the-market offerings of common stock up to an aggregate $150,000,000, with no obligation to sell any shares. Separately, interim CFO Sandra Gardiner is retiring effective May 15, 2026, and will be replaced by Linda Rubinstein, an experienced FLG Partners executive with over 35 years in life sciences finance. The agreement includes a 3.0% commission on sales and reimburses certain expenses.

• ·Equity Distribution Agreement dated May 8, 2026, filed as Exhibit 1.1.
• ·CFO consulting agreement amendment with FLG Partners terminable upon 15 days' notice.
• ·Linda Rubinstein's career includes raising more than $5 billion in financings and over $1 billion in M&A value realization.
• ·Registration statement on Form S-3 filed November 12, 2025.

08-05-2026

AMERICAN REBEL HOLDINGS INC entered into multiple Exchange Agreements with Streeterville Capital, LLC on April 30 to May 6, 2026, converting 944.5 shares of Series E Preferred Stock (valued at $944,500) and $822,000 from a $5,470,000 Secured Promissory Note into approximately 6,971,344 shares of common stock at prices ranging from $0.24 to $0.396 per share, resulting in significant shareholder dilution. Additionally, $500,000 ($250,000 on April 30 and May 5, 2026) was released from the DACA account to the Company, providing needed liquidity. As of May 8, 2026, the Company has 10,521,333 shares of common stock issued and outstanding, excluding 1,724,262 shares pending issuance to Streeterville.

• ·All equity issuances exempt from registration under Section 4(a)(2) and/or Regulation D; securities are restricted with legends.
• ·Exchange Agreements forms filed as Exhibit 10.1 in prior 8-Ks (April 29, 2026 and January 29, 2026).
• ·Common stock trading symbol AREB on Nasdaq; warrants AREBW.

08-05-2026

AIM ImmunoTech Inc. entered into a warrant exercise inducement letter with holders of existing warrants (May 2024: 112,819 shares at $36.30; September 2024: 93,061 shares at $28.00; July 2025: 8,514,048 shares at $1.439), allowing cash exercise at a reduced $0.48 per share for aggregate gross proceeds of approximately $4.20 million if fully exercised. In exchange, holders receive new Class H warrants for 17,439,856 shares (200% of exercised shares) exercisable at $0.60 per share starting after stockholder approval, with closing expected May 8, 2026. Ladenburg Thalmann & Co. Inc. acts as placement agent, receiving an 8% cash fee, 0.75% management fee, up to $50,000 expense reimbursement, and warrants for 6% of exercised shares.

• ·Existing warrants resale registered under File Nos. 333-280761, 333-283269, 333-284443.
• ·Inducement Warrants exercisable for 5 years from initial exercise date (Stockholder Approval Date).
• ·Placement Agent Warrants exercisable at 125% of reduced exercise price ($0.60) with piggyback registration rights.
• ·Company to file resale registration statement 30 days post-closing, effective within 60 days (or 90 if SEC review).
• ·Stockholders' meeting to approve issuance on or before 75th day post-closing if required by NYSE American.

08-05-2026

On May 7, 2026, BridgeBio Pharma, Inc. entered into an Equity Distribution Agreement with Goldman Sachs & Co. LLC and Leerink Partners LLC for an at-the-market offering program allowing the issuance and sale of common stock with an aggregate offering price of up to $500M. The company simultaneously terminated its prior Equity Distribution Agreement dated May 4, 2023, with the same sales agents. Sales agents will receive a commission of up to 3.0% of gross proceeds, with no obligation to sell any specific amount.

• ·Registration Statement on Form S-3ASR (File No.: 333-295678)
• ·Common Stock par value $0.001 per share, traded on Nasdaq Global Select Market (BBIO)
• ·Prior Equity Distribution Agreement dated May 4, 2023, terminated effective May 7, 2026

08-05-2026

AZZ Inc. entered into the Seventh Amendment to its Credit Agreement originally dated May 13, 2022, effective May 7, 2026, which terminates the existing Initial Revolving Credit Commitments and replaces them with new 2026 Extended Revolving Credit Commitments provided by extending lenders, including Wells Fargo as Administrative Agent and Swingline Lender. L/C Issuers extended their commitments, and an upfront fee of 0.09% was paid on the new commitments. The amendment was arranged by joint lead arrangers including Wells Fargo Securities, LLC, BofA Securities, Inc., JPMorgan Chase Bank, N.A., US Bank National Association, CIBC World Markets Corp., and PNC Capital Markets LLC.

• ·Amendment effective upon satisfaction of conditions including executed counterparts, closing certificates, legal opinions, KYC documentation, and payment of fees/expenses.
• ·Original Credit Agreement amendments referenced: First (Aug 17, 2023), Second (Dec 20, 2023), Third (Mar 20, 2024), Fourth (Sep 24, 2024), Fifth (Feb 27, 2025), Sixth (Aug 5, 2025).

08-05-2026

On May 6, 2026, Investcorp Credit Management BDC, Inc., through its wholly-owned subsidiary Investcorp BDC SPV, LLC, entered into a Sixth Amendment to the Capital One Revolving Financing agreement (originally dated August 23, 2021), which decreases the revolving credit facility size from $100 million to $50 million. This reduction in borrowing capacity represents a material change in the company's financing arrangements with lenders including Capital One, National Association, and Wells Fargo Bank, National Association. No other changes or benefits from the amendment are disclosed.

• ·Sixth Amendment filed as Exhibit 10.1
• ·Original agreement dated August 23, 2021