US Material Events SEC 8-K Filings — April 16, 2026

16-04-2026

On April 13, 2026, the Compensation Committee of Aware, Inc. approved the Executive Bonus Plan for 2026, establishing target bonuses for key executives tied to Revenue (50% weight) and Adjusted EBITDA (50% weight) performance goals. Ajay Amlani (CEO and President) has a target of $200,000, Brian Krause (Chief Revenue Officer) and Lona Therrien (Chief Marketing Officer) each $120,000, and David Traverse (Chief Financial Officer) $100,000. Bonuses are payable starting at 25% for meeting thresholds, 100% at targets, with up to 100% additional for enhanced targets, but no bonuses if Adjusted EBITDA threshold is not met.

• ·Adjusted EBITDA defined as net income per GAAP excluding interest, taxes, depreciation, amortization, goodwill/intangible impairments, stock-based compensation, and bonuses under this Plan or 2026 company-wide bonus plan.
• ·No bonuses payable for a Performance Goal if below Threshold; linear interpolation between Threshold (25% payout) and Target (100% payout); up to additional 100% for enhanced target via linear interpolation, capped there.
• ·Overall Adjusted EBITDA must meet or exceed defined threshold for any bonuses to be payable under the Plan.

16-04-2026

Eton Pharmaceuticals, Inc. (Nasdaq: ETON) announced Judith M. Matthews as Executive Vice President, Accounting and Finance, effective immediately, with her assuming the CFO role on June 1, 2026, succeeding James Gruber, who will step down May 31, 2026, and transition to a six-month consulting agreement. CEO Sean Brynjelsen highlighted Gruber's leadership during rapid growth and Matthews' extensive pharma finance experience from Iterum Therapeutics and Durata Therapeutics. The company operates 10 commercial rare disease products and has 4 late-stage development candidates.

• ·Judith M. Matthews previously served as CFO of Iterum Therapeutics plc (2015-2026) and VP Finance at Durata Therapeutics until its acquisition by Actavis plc.
• ·Matthews holds a B.A. in Accounting from University of Illinois at Urbana-Champaign and Master of Management in Finance and Marketing from Kellogg School of Management at Northwestern University.
• ·Investor contact: Lisa M. Wilson, In-Site Communications, Inc. (212-452-2793, lwilson@insitecony.com)

16-04-2026

Raj Judge, EVP of Corporate Strategy and Board member of Zscaler, Inc., resigned from both his officer and director positions effective April 15, 2026, with his full departure as EVP effective July 31, 2026. The resignation from the Board is not due to any disagreements with the Company on operations, policies, or practices. In connection with his departure, Mr. Judge expects to receive severance benefits under the Company’s Change of Control and Severance Policy.

• ·Form 8-K filed on April 16, 2026, reporting event of April 15, 2026
• ·Severance Policy previously filed as exhibit to 8-K on December 2, 2024

16-04-2026

On April 10, 2026, Sensei Biotherapeutics, Inc. announced conditional resignations from the Board by directors Christopher W. Gerry, Thomas Ricks, and Kristian Humer, effective two business days after the June 10, 2026 Annual Meeting if stockholders approve the Conversion Proposal (issuance of shares >20% of outstanding common stock upon Series B Preferred conversion, triggering change of control) and Charter Amendment Proposal (increasing authorized common shares from 12,500,000 to 300,000,000). The Board conditionally appointed Stephen M. Hahn, Saira Ramasastry, and Karen Vousden as new directors, anticipates naming Anand Parikh as CEO (replacing Gerry as principal executive officer) and Brian Stephenson as CFO (replacing Josiah Craver as principal financial officer), with no disagreements cited for resignations. The Board also adopted the Severance and Change in Control Plan for executives like Gerry, Craver, and Parikh, providing standard severance of 6-12 months base salary and enhanced CIC benefits of 12-18 months plus bonuses.

• ·Resignations not due to any disagreement on operations, policies, or practices.
• ·Expected committee composition post-Effective Time: Audit (Donenberg Chair, Ramasastry, Holmen); Compensation (Holmen Chair, Ramasastry, Vousden); Nominating/Governance (Vousden Chair, Donenberg, Hahn).
• ·Severance benefits conditioned on release of claims effective within 60 days; subject to clawback policy.
• ·Preliminary Proxy Statement filed April 16, 2026, for proposal details.

16-04-2026

First Business Financial Services, Inc. appointed David R. Seiler, current President and COO since January 2023, as President, Chief Executive Officer, and Class III Director effective May 3, 2026, succeeding retiring CEO Corey A. Chambas whose retirement was announced in May 2025. The appointment coincides with a new five-year employment agreement providing a minimum annual base salary of $600,000, eligibility for incentive plans, and a $215,000 restricted stock unit grant vesting over five years. The agreement includes standard severance provisions, such as two times base salary upon termination without cause, and customary restrictive covenants.

• ·Employment agreement effective May 3, 2026, with initial 5-year term and automatic 1-year renewals unless 60 days' notice
• ·RSU vesting schedule: 15% on each of first four anniversaries, 40% on fifth anniversary, subject to continued employment
• ·Severance for termination without Cause or for Good Reason: 2x then-current base salary over 24 months, prorated incentive, 18 months health coverage
• ·Mr. Seiler has over 30 years of financial services experience; prior Managing Director at BMO Harris Bank
• ·Appointment to Board as Class III Director until 2028 Annual Meeting

16-04-2026

Aktis Oncology, Inc. (NASDAQ:AKTS) appointed Glenn Gormley, MD, PhD, as an independent director and co-chair of its newly established Science and Technology Committee, bringing over three decades of biopharmaceutical leadership from roles at Daiichi Sankyo, AstraZeneca, Novartis, and Merck. Concurrently, board members Helen Kim and Oleg Nodelman, early Series A investors, will step down effective May 20, 2026, after five years of service. The appointment supports Aktis' progress in its miniprotein radioconjugate platform and pipeline programs including AKY-1189 and AKY-2519.

• ·Dr. Gormley led the development of Daiichi Sankyo’s ADC platform and served as Chief Medical Officer at AstraZeneca and Global Head of Clinical Development at Novartis.
• ·Aktis has a strategic collaboration with Eli Lilly and Company for novel radioconjugates outside its proprietary pipeline.
• ·Helen Kim and Oleg Nodelman provided five years of service from Series A stage through public transition.

16-04-2026

On April 16, 2026, Blue Owl Capital Corporation entered into a Tenth Supplemental Indenture with Deutsche Bank Trust Company Americas for $400,000,000 aggregate principal amount of 6.450% notes due September 15, 2028, bearing semi-annual interest commencing September 15, 2026. The net proceeds will be used to repay existing indebtedness, including portions of its senior secured revolving credit facility with $50 million commitments maturing August 26, 2027, and the remainder on November 22, 2029. The notes are direct, general unsecured obligations with covenants tied to the Investment Company Act.

• ·Notes redeemable prior to maturity at the greater of treasury rate plus 45 basis points or 100% principal, plus accrued interest.
• ·Revolving Credit Facility interest: term SOFR plus up to 1.775% (2.00% for 2027 commitments) or alternative base rate plus up to 0.775% (1.00% for 2027 commitments).
• ·Change of control repurchase event triggers offer to purchase notes at 100% principal plus accrued interest.
• ·Underwriting Agreement dated April 13, 2026, with Morgan Stanley & Co. LLC.

16-04-2026

On April 14, 2026, Spyre Therapeutics, Inc. entered into an underwriting agreement with Jefferies LLC, Goldman Sachs & Co. LLC, Evercore Group L.L.C., and Guggenheim Securities, LLC for the public offering of 6,500,000 shares of common stock at $62.00 per share, plus a 30-day option for an additional 975,000 shares that was fully exercised on April 15, 2026. The offering closed on April 16, 2026, generating gross proceeds of approximately $463.5 million before underwriting discounts and expenses. The company intends to use the net proceeds to advance its inflammatory bowel disease and rheumatic disease programs, including preclinical studies, clinical trials, manufacturing, and Phase 3 readiness activities.

• ·Public offering price of $62.00 per share
• ·Underwriting agreement dated April 14, 2026, filed as Exhibit 1.1
• ·Shelf registration statement on Form S-3 (File No. 333-293600), effective February 27, 2026
• ·Final prospectus supplement filed with SEC on April 16, 2026
• ·Opinion on legality of issuance from Ropes & Gray LLP filed as Exhibit 5.1

16-04-2026

On April 14, 2026, Michael L. Swenson, a member of the Board of Directors of Citizens Community Bancorp, Inc. (CZWI) since May 2011, provided notice that he will continue serving until the 2026 annual meeting of stockholders on June 16, 2026, but does not plan to stand for re-election. Mr. Swenson's decision is not due to any disagreement with the Company. The filing was signed by James S. Broucek, Chief Financial Officer, on April 16, 2026.

• ·Company incorporated in Maryland; NASDAQ: CZWI; Principal offices in Eau Claire, WI.

16-04-2026

At the April 16, 2026 Annual Meeting of Shareholders, Farmers National Banc Corp. shareholders elected four Class I directors (Gregory C. Bestic, Kevin J. Helmick, Neil J. Kaback, Terry A. Moore) for three-year terms, approved the 2026 Equity Incentive Plan reserving 1,000,000 common shares, ratified Crowe LLP as independent auditors for the fiscal year ending December 31, 2026 with overwhelming support (99.5% of votes cast), and passed an advisory vote on 2025 named executive officer compensation with 85.28% in favor. Voting represented 78.58% of the 37,738,759 outstanding common shares, including 6,608,999 broker non-votes. While all proposals achieved majority approval, significant votes were withheld from some director nominees (e.g., 3,634,533 for Terry A. Moore) and opposition noted on the equity plan (3,005,759 against).

• ·Proxy statement filed March 16, 2026 detailing Proposal Four on the Plan.
• ·Record date for meeting: February 25, 2026.
• ·Proposal 1 director votes: Bestic (20,337,411 For / 2,707,591 Withheld); Helmick (20,667,467 For / 2,377,535 Withheld); Kaback (20,764,097 For / 2,280,905 Withheld); Moore (19,410,468 For / 3,634,533 Withheld).
• ·Proposal 2 exec comp: 19,651,675 For / 2,837,970 Against / 555,356 Abstain.
• ·Proposal 3 auditor: 29,426,210 For / 119,658 Against / 106,458 Abstain.
• ·Proposal 4 Plan: 19,530,286 For / 3,005,759 Against / 508,956 Abstain.

16-04-2026

CareDx announced a definitive agreement to divest its Lab Products business to EuroBio Scientific for $170 million in cash, expected to close by the end of Q3 2026, to sharpen focus on core Precision Medicine Testing Services and Patient/Digital Solutions. Preliminary Q1 2026 results show total revenue of approximately $118 million (+39% YoY), Testing Services revenue of approximately $91 million (+48% YoY), and Patient/Digital Solutions revenue of approximately $16 million (+33% YoY); however, Lab Products revenue declined 4% YoY to approximately $10 million. Testing Services volume grew 17% YoY to approximately 54,900, with cash, cash equivalents, and marketable securities at approximately $198 million as of March 31, 2026.

• ·CareDx to provide transition services to EuroBio Scientific for at least 6 months at EuroBio Scientific’s expense.
• ·EuroBio Scientific grants CareDx sole and exclusive perpetual right to distribute post-transplant monitoring IVD tests in North America.
• ·Transaction requires Swedish regulatory review.
• ·Q1 2026 earnings call scheduled for April 28, 2026.

16-04-2026

Aixin Life International, Inc. (AIXN) appointed Qiyu Jiang, age 40, as a director and Secretary of the Company and its subsidiaries, effective April 15, 2026. Mr. Jiang brings experience from his prior role as Executive Director at Jiujiang Gongqingcheng Dishi Investment Management Co., Ltd. (2017-2022) and current independent options trading activities. No family relationships or special arrangements were noted regarding the appointment.

• ·Mr. Jiang graduated from INSEEC Paris School of Business in March 2015.
• ·Mr. Jiang became a Chartered Financial Analyst Level I Candidate in June 2024 and received a Legal Professional Qualification Certificate in August 2021.
• ·Mr. Jiang is fluent in Mandarin, French, and English.
• ·Company address: Hongxing International Business Building 2, 14th FL, No. 69 Qingyun South Ave., Jinjiang District, Chengdu City, Sichuan Province, China 610021.
• ·Trading symbol: AIXN on OTCQX.

16-04-2026

Ionetix Corporation reported revenue growth of 67.7% YoY to $6.0M for FY2025 ended December 31, 2025, driven by radioisotope production, while operating expenses rose to $25.8M from $22.0M. However, net loss widened 32.0% YoY to $39.7M amid higher R&D, interest, and other expenses, with cash and equivalents dropping sharply 94.6% to $0.3M and total assets declining 11.6% to $35.0M. The company faces substantial going concern doubts due to ongoing losses and low liquidity, offset by financing inflows from SAFE and note conversions to preferred stock.

• ·Accumulated deficit reached $186.6M as of Dec 31, 2025.
• ·SAFE liability decreased to $4.1M from $45.4M following conversions to Series F preferred stock.
• ·Property and equipment, net increased to $27.2M from $22.2M.
• ·Auditor identified critical audit matter on complex capital stock and equity accounts due to multiple preferred stock series.

16-04-2026

On April 15, 2026, American Resources Corporation held its Annual Meeting of Stockholders, electing five directors—Mark C. Jensen (98.14% for), Mark J. LaVerghetta (77.36%), Courtenay O. Taplin (80.62%), D. Joshua Hawes (79.86%), and Dr. Gerardine G. Botte (81.77%)—and ratifying GreenGrowth CPAs as independent auditors (61,770,593 votes for). Effective the same day, Mark LaVerghetta was appointed to the Board and Nominating Committee, while Thomas Sauve stepped down as director but continues in a non-officer business strategy role with no disagreements reported.

• ·Thomas Sauve's resignation as director effective April 15, 2026, not due to any disagreement with Company operations, policies, or practices.
• ·Mark LaVerghetta, age 52, holds Bachelor of Arts in Economics from University of Virginia; no related-party transactions under Item 404(a).
• ·Directors elected to serve until 2027 Annual Meeting.

16-04-2026

Lincoln Educational Services Corporation (Nasdaq: LINC) entered into an amended and restated revolving credit facility, increasing the aggregate principal amount from $60 million to $125 million, with a $10 million letter of credit sublimit and a $25 million accordion feature, maturing on April 11, 2031. This provides $65 million in additional liquidity to support growth initiatives. CEO Scott M. Shaw noted 19-20% student start growth in Q1 2026, underscoring successful strategy execution amid a strong balance sheet.

• ·Credit facility term of five years.
• ·Operates campuses under three brands since inception in 1946.
• ·Amended facility with Fifth Third Bank as administrative agent, joint lead arranger, and joint bookrunner.

16-04-2026

Katapult Holdings, Inc. entered into the Tenth Limited Waiver to its Amended and Restated Loan and Security Agreement on April 15, 2026, in response to defaults including failure to maintain Minimum Trailing Three-Month Net Originations as of March 31, 2026, and excess charge-offs in collateral leases exceeding thresholds. The waiver permanently excuses the existing default and prevents advance rate reductions. This marks the tenth such waiver since the original agreement dated June 12, 2025, signaling ongoing covenant compliance challenges.

• ·Previous waivers include: First (Sep 15, 2025), Second (Sep 29, 2025), Third (Oct 13, 2025), Fourth (Oct 20, 2025), Fifth (Oct 27, 2025), Sixth (Oct 29, 2025), First Amendment (Nov 2, 2025), Second Amendment (Dec 11, 2025), Seventh (Jan 15, 2026), Eighth (Feb 13, 2026), Ninth (Mar 9, 2026).

16-04-2026

Versus Systems Inc. entered into a Stock Purchase Agreement with ASPIS Cyber Technologies, Inc. on April 15, 2026, under which it will sell common stock for total cash proceeds of $1,700,000 at a price equal to 105% of the closing price on the day preceding closing, expected on or before May 14, 2026. The Company anticipates these proceeds will enable it to maintain at least $2,500,000 in stockholders’ equity through December 31, 2026. No declines or flat metrics reported.

• ·Closing date selected by ASPIS on or before May 14, 2026.
• ·Agreement governed by laws of the State of New York.

16-04-2026

Lumen Technologies, Inc. entered into a Revolving Credit Agreement dated April 14, 2026, as the borrower, with Bank of America, N.A. serving as Administrative Agent and Collateral Agent, and various lenders party thereto, arranged by BOFA Securities, Inc., Citigroup Global Markets Inc., Goldman Sachs Bank USA, JPMorgan Chase Bank, N.A., Morgan Stanley Senior Funding, Inc., and Wells Fargo Securities, LLC as Joint Lead Arrangers and Joint Bookrunners. Pricing under the facility is determined by the Total Net Leverage Ratio, with initial Applicable Margins of 2.75% for Term SOFR Loans and 1.75% for ABR Loans, tiering to 2.25%-3.00% and 1.25%-2.00% respectively across four levels, alongside Applicable Commitment Fees starting at 0.375% and ranging to 0.30%-0.40%. The agreement includes standard covenants, representations, events of default, and provisions for incremental commitments and extensions.

• ·Filing Date: April 16, 2026; Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of a Direct Financial Obligation), 9.01 (Financial Statements and Exhibits)
• ·Published CUSIP Numbers: Deal - 55024EAH8; Revolving Facility - 55024EAJ4
• ·ABR floor components: Federal Funds Rate + 0.50%, Term SOFR (1-month) + 1.00%, or 1.00%

16-04-2026

MeiraGTx Holdings plc entered into an asset purchase agreement with Johnson & Johnson to acquire botaretigene sparoparvovec (bota-vec) for X-linked Retinitis Pigmentosa (XLRP) for a $25 million upfront cash payment, plus milestones and high double-digit royalties, intending to file for regulatory approval in the US, EU, and Japan aiming for a 2027 launch. Phase 3 LUMEOS data showed strong secondary endpoints with statistically significant improvements in visual function, retinal sensitivity, and 40% of treated patients as multi-endpoint responders, including 45% gaining >10 letters in low luminance visual acuity; however, the primary Visual Mobility Assessment endpoint did not meet statistical significance despite being directionally supportive (2.4x more likely to respond). The acquisition leverages MeiraGTx's manufacturing capabilities and relationships with key opinion leaders at 32 of 40-50 centers of excellence.

• ·Primary endpoint (VMA) did not meet statistical significance but directionally supportive (treated subjects 2.4x more likely to respond).
• ·LLQ PRO significant benefit in mobility and dim light function (p=0.006 extreme lighting, p=0.001 mobility, p=0.007 general dim lighting).
• ·IVI-A significant improvement total score (p=0.024), emotional wellbeing (p=0.005).
• ·Retinal sensitivity: pointwise responders central 30° (p=0.001), full field (p=0.001); mean sensitivity central 10° (p=0.001), full field 90° (p=0.004).
• ·LLVA change LS mean (p=0.003).
• ·Safety profile manageable, no new signals, improved inflammatory profile vs Phase 1/2.
• ·FDA Fast Track and Orphan Drug Designations; EU PRIME, ATMP, Orphan Drug Designations.
• ·MeiraGTx has commercial licenses for manufacturing in London and QC in Shannon, Ireland; several hundred vials ready.

16-04-2026

The AES Corporation announced the transition of Sherry Kohan from Senior Vice President and Chief Accounting Officer to Chief Financial Officer of AES U.S. Utilities, effective May 7, 2026, with Aubrey Jarred appointed as Vice President and Controller and principal accounting officer on the same date. Bernerd Da Santos stepped down as Executive Vice President and President of US & Renewables on April 16, 2026, transitioning to Chairman of the AES Clean Energy Board and Senior Strategic Advisor to the President. No performance disruptions or financial impacts were disclosed.

• ·Aubrey Jarred's prior roles: Managing Director, Technical Accounting Services at AES since 2022; leadership at LKQ Corporation (2013-2022); KPMG LLP (early career).
• ·No family relationships, arrangements, or material interests for Aubrey Jarred per Regulation S-K Items 401(d) and 404(a).
• ·Jarred eligible for standard AES executive benefits and indemnification agreement.

16-04-2026

On April 15, 2026, the Board of AES Ohio appointed Gustavo Garavaglia as Chief Executive Officer effective immediately, replacing Kenneth J. Zagzebski who transitions to Executive Chairman; Thomas A. Raga continues as President. The Board also elected Sherry Kohan as Vice President, Chief Financial Officer, and Controller (principal accounting officer) effective May 7, 2026, with Garavaglia serving in the interim CFO role. Officers participate in general AES compensation plans exceeding $120,000 annually, with no other reportable transactions under Item 404(a).

• ·Garavaglia rejoined AES Ohio as VP and CFO in April 2024; previously CFO at Vale Base Metals (2022-2024) and at AES affiliates.
• ·Kohan has been SVP and Chief Accounting Officer at AES since November 2022; previously interim CFO at AES Ohio and affiliates (Jan-Apr 2024).

16-04-2026

On April 15, 2026, IPALCO Enterprises, Inc. and AES Indiana appointed Gustavo Garavaglia as President and CEO of IPALCO and CEO of AES Indiana, replacing Kenneth J. Zagzebski, who transitioned to Executive Chairman. Sherry Kohan was elected as Vice President, CFO, Controller, and principal accounting officer for both entities, effective May 7, 2026, with Garavaglia serving in the interim CFO role. No specific compensation details beyond general AES plans exceeding $120,000 annually were disclosed, and no other material transactions were reported.

• ·Gustavo Garavaglia, 40, rejoined AES Indiana in April 2024; previously CFO of Vale Base Metals (2022-2024) and AES (2018-2022).
• ·Sherry Kohan, 57, Senior VP and Chief Accounting Officer at AES since Nov 2022; interim CFO roles in 2024.
• ·Garavaglia holds degrees from University of Campinas and FGV Brazil, CFA Charterholder.
• ·Kohan is CPA with B.S. in Accounting from University of Maryland.

16-04-2026

On April 15, 2026, Xilio Therapeutics, Inc. elected Cheryl R. Blanchard, Ph.D. as a Class III director with a term expiring at the 2027 annual meeting, appointed her as chair of the Compensation Committee and member of the Audit Committee, succeeding Christina Rossi who resigned effective the same date without any disagreement with the company. Dr. Blanchard will receive standard non-employee director compensation including an annual cash retainer of $40,000, $12,000 as Compensation Committee chair, $7,500 as Audit Committee member, an initial stock option for 10,000 shares, and eligibility for annual options of 5,000 shares. No financial results or performance metrics are disclosed in this filing.

• ·Stock options have exercise price equal to Nasdaq closing price on grant date and expire in ten years.
• ·Initial option vests one-third annually over three years; annual options vest on first anniversary or prior to next annual meeting.
• ·Exhibits include Amended and Restated Non-Employee Director Compensation Policy (10.1).

16-04-2026

On April 9, 2026, Walter Geldenhuys resigned as Chief Executive Officer, Interim Chief Financial Officer, and sole member of the Board of Directors of Rivulet Entertainment, Inc., with no disagreements cited. Michael Witherill was appointed to the Board of Directors on the same date. The Company lacks separate audit, nominating, or compensation committees, and Mr. Witherill previously provided film production services for $391,000, with $86,000 outstanding.

• ·Services provided by Mr. Witherill cover the two years ended June 30, 2025.
• ·Company has no separate audit, nominating, or compensation committees.

16-04-2026

On April 13, 2026, XMax Inc. entered into Securities Purchase Agreements with 22 non-U.S. person investors to sell 462,500 shares of common stock at $6.705 per share for an aggregate $3,101,062.50 in a private placement exempt under Regulation S. The transaction is a material definitive agreement, with forms filed as Exhibit 10.1. No financial performance metrics or period comparisons are disclosed.

• ·Common stock par value: $0.001 per share
• ·Trading symbol: XWIN
• ·Exemption: Regulation S under Securities Act of 1933
• ·Filing signed by Xiaohua Lu on April 16, 2026

16-04-2026

GM Financial Consumer Automobile Receivables Trust 2026-2, a newly formed issuing entity, closed the issuance of $1,269,810,000 in asset-backed notes on April 15, 2026, secured by prime consumer automobile loan contracts (Receivables). The notes comprise Class A-1 ($218,350,000 at 3.826%), Class A-2-A ($375,400,000 at 4.05%), Class A-2-B ($100,000,000 floating rate), Class A-3 ($475,400,000 at 4.15%), Class A-4 ($60,170,000 at 4.22%), Class B ($20,900,000 at 4.44%), and Class C ($19,590,000 at 4.64%). The transaction involves AFS SenSub Corp. as depositor, AmeriCredit Financial Services, Inc. d/b/a GM Financial as sponsor and servicer, with underwriting led by J.P. Morgan Securities LLC.

• ·Closing Date: April 15, 2026
• ·Underwriting Agreement dated April 8, 2026
• ·Trust Agreement originally dated February 27, 2026, amended and restated April 15, 2026
• ·Indenture, Sale and Servicing Agreement, and Purchase Agreement all dated April 15, 2026
• ·GM Financial serves as Servicer and Custodian
• ·Clayton Fixed Income Services LLC as Asset Representations Reviewer

16-04-2026

Faraday Future Intelligent Electric Inc. amended its securities purchase agreement with Gold King Arthur Holding Limited, a purchaser designated by AIxCrypto Holdings Inc., increasing the total investment from $10 million to $12 million, consisting of $500,000 in common stock (1,923,077 shares at $0.26 per share) and $11.5 million in convertible Series C preferred stock. The amendment eliminates the anti-dilution true-up provision, replacing it with a warrant to purchase up to 1,000,000 shares of common stock at $1.50 per share (4-year term, exercisable after delivery of the 500th FX Super One vehicle), which the company views as favorable to existing stockholders. Proceeds will fund the EAI robotics business targeting 1,000 deliveries with positive contribution margin and FX Super One advancement in 2026.

• ·Per share purchase price revised to average closing price of 10 trading days prior to April 14, 2026 signing date: $0.26
• ·Warrant exercise price: $1.50 per share; term: 4 years
• ·Initial Agreement dated February 4, 2026
• ·AIxC pre-funded the $12 million on behalf of the investor

16-04-2026

AIxCrypto Holdings, Inc. amended its Entrusted Investment Agreement with GOLD KING ARTHUR HOLDING LIMITED (GKA) and Song Wang to expand the definition of FFAI Shares to include preferred stock, loans, debt, and convertible notes, while removing certain share charges and call options. Concurrently, the Securities Purchase Agreement with Faraday Future Intelligent Electric Inc. (FFAI) was amended and restated, increasing the subscription amount from $10 million to $12 million ($500,000 for Class A Common Stock and $11.5 million for 11,502 shares of Series C Convertible Preferred Stock at $0.26 per share equivalent), eliminating True-Up Shares in exchange for a warrant for 1,000,000 FFAI Class A shares, with the deal closing on April 15, 2026. A $2 million loan from GKA to FFAI at 10% interest was provided and subsequently terminated upon closing.

• ·Loan matures one year from funding date and is unsecured; terminated upon SPA closing.
• ·FFAI Warrant term: 4 years; exercisable after delivery of 500th FX Super One vehicle; beneficial ownership limit: 9.99%; aggregate issuance limit: 19.99% of outstanding Class A shares pre-SPA.
• ·Alternate Conversion option at lower of conversion price or max($0.13, prior day close).

16-04-2026

Evofem Biosciences, Inc. entered into a Fourth Amendment to its Securities Purchase Agreement, originally dated October 14, 2020, with Adjuvant Global Health Technology Fund, L.P. and Adjuvant Global Health Technology Fund DE, L.P. on April 10, 2026. The amendment sets the maturity date for the convertible promissory notes to the earlier of six months after the effective date, a Change of Control, or any acceleration event, with no prepayment allowed in the first six months without Adjuvant's consent. No specific financial amounts or performance metrics were disclosed.

• ·Original Securities Purchase Agreement dated October 14, 2020
• ·Amendment filed as Exhibit 10.1
• ·Company address: 7770 Regents Road, Suite 113-618, San Diego, California 92122
• ·Registrant is not an emerging growth company

16-04-2026

PENN Entertainment, Inc. entered into a Third Amendment to its Second Amended and Restated Credit Agreement dated May 3, 2022, effective April 16, 2026, to refinance its Existing Revolving Credit Facility and Existing Term A Credit Facility. The amendment introduces new 2026 Refinancing Revolving Commitments and 2026 Refinancing Term A Commitments from designated 2026 Refinancing Lenders, with proceeds used to repay in full and terminate the existing facilities. Outstanding Letters of Credit continue under the amended agreement, and certain schedules to the Credit Agreement are updated.

• ·Previous amendments: First Amendment on February 15, 2024; Second Amendment on December 4, 2024.
• ·2026 Refinancing Commitments detailed on Schedule A (Revolving) and Schedule B (Term A), not specified in filing excerpt.
• ·Existing Revolving and Term A Lenders waive prepayment claims under Section 5.05.

16-04-2026

AMERISAFE, Inc. (Nasdaq: AMSF) announced the appointment of Guillermo A. Ramos as Executive Vice President and Chief Financial Officer, effective May 7, 2026. Ramos, previously Head of Finance Strategy at Hiscox US and with prior roles at Equifax, was praised by CEO Janelle Frost for his financial expertise, strategic skills, and cultural fit to support the company's growth.

• ·AMERISAFE focuses on small to mid-sized employers in hazardous industries including construction, trucking, logging and lumber, agriculture, services, manufacturing, and maritime.

16-04-2026

AstroNova, Inc. entered into Stock-Settled Performance Award Amendment Agreements on April 10, 2026, with four key executives: President and CEO Jorik Ittmann, VP and CFO Thomas DeByle, SVP and GM-Aerospace Thomas Carll, and CTO and VP-Technical & Strategic Alliances Michael Natalizia. The amendments allow the Human Capital and Compensation Committee to settle the prior Stock Settled Performance Awards in cash rather than shares, at its discretion. No other terms of the awards were modified.

16-04-2026

On April 10, 2026, Smart Powerr Corp. entered into a note purchase agreement with Streeterville Capital, LLC, issuing and selling a secured promissory note (A-1 Note) with an original principal of $1,050,000, including $50,000 original issue discount and $15,000 in expenses added to principal, for net proceeds of $1,000,000. The A-1 Note bears 8% annual interest, matures in 24 months, allows prepayment at 115% of outstanding balance, and grants the lender redemption rights up to $200,000 per month after six months, with trigger events potentially increasing the balance up to 25% and restrictive covenants limiting future financings. The agreement contemplates potential future issuances of an A-2 Note ($1,050,000 principal) and a B Note ($8,000,000 principal), secured by a subsidiary pledge, guaranty, and DACA.

• ·Maturity of A-1 Note: 24 months from issuance.
• ·Trigger Effect aggregate cap: 25%.
• ·Event of Default interest: lesser of 18% per annum or maximum permitted by law.
• ·Covenants restrict Restricted Issuances, liens on subsidiary assets, and agreements prohibiting securities issuance to lender.
• ·Security includes DACA, Guaranty from CREG Holdings, LLC, and Pledge of all membership interests in CREG Holdings, LLC.

16-04-2026

On April 15, 2026, Kenneth Fearn (Audit Committee member) and Christopher Krug (Compensation Committee member) resigned from the Board of Directors of Greenidge Generation Holdings Inc., effective immediately, with no disagreements on company matters. The Board approved accelerated full vesting of their outstanding RSUs granted in 2025. The company thanked them for their service.

• ·RSUs granted on April 17, 2025 and November 9, 2025
• ·Registrant is an emerging growth company

16-04-2026

Myomo, Inc. (NYSE American: MYO) appointed William 'Will' Febbo as a director effective April 14, 2026, increasing its Board to six members until the 2028 annual meeting. Febbo brings over 30 years of experience in healthcare and technology, including growing OptimizeRx Corporation revenue from $5 million to $92 million with a 41% five-year CAGR during his CEO tenure from 2015 to 2024. CEO Paul R. Gudonis highlighted Febbo's expertise in scaling direct-to-patient solutions and capital markets as key to Myomo's 2026 strategy.

• ·Febbo currently CEO and Director of Performance Health Systems (joined February 2026)
• ·Myomo headquartered in Burlington, Massachusetts
• ·MyoPro uses patient's EMG signals for non-invasive arm function restoration

16-04-2026

TeraWulf Inc. (NASDAQ: WULF) closed its public offering of 54,510,000 shares of common stock at $19.00 per share on April 16, 2026, including the full exercise of the underwriters' option for an additional 7,110,000 shares, generating gross proceeds of $1,035,690,000. The net proceeds will fund construction costs for its planned data center campus in Hawesville, Kentucky, full repayment of its bridge credit facility, future site acquisitions, and general corporate purposes. Morgan Stanley served as lead bookrunning manager, with BofA Securities, Citigroup, TD Cowen, and Wells Fargo Securities as joint bookrunners.

• ·Offering made pursuant to prospectus supplement under effective shelf registration statement on Form S-3ASR.
• ·Citizens Capital Markets and Santander acted as co-managers; Cantor Fitzgerald as equity capital markets advisor.

16-04-2026

Applied Digital Corporation granted fully vested Management Incentive Plan Units (MIP Units) to four executive officers—Wes Cummins, Jason Zhang, Saidal Mohmand, and Laura Laltrello—on April 9, 2026, in connection with the proposed Contribution and Exchange Agreement involving Ekso Bionics Holdings, Inc. These awards, issued under a new APLD ChronoScale Management LLC Equity Incentive Plan, represent approximately 5.25% of the EKSO common stock shares to be issued to Holdco. The MIP Units are designed to track appreciation in EKSO equity held by the Company through Holdco, incentivizing participation in Holdco Group success.

• ·MIP Units fully vested upon grant.
• ·Awards track appreciation in EKSO equity held by Company through Holdco.
• ·Event date: April 10, 2026 (earliest reported); Filing date: April 16, 2026.

16-04-2026

Netcapital Inc. (Nasdaq: NCPL, NCPLW) announced the appointment of Todd Violette as Chief Executive Officer by its Board of Directors to accelerate capital formation, expand platform reach, and build long-term shareholder value. Violette replaces Rich Wheeless, whose contract was terminated by the Board, and brings over 25 years of leadership experience in capital markets, fintech, and digital assets from roles including CEO of CloudCover International, AppYea Inc., and Vinergy. Board member Arnie Scott highlighted Violette's background as key to sharpening execution and supporting platform users.

• ·Filing date: April 16, 2026
• ·Investor contact: 800-460-0815, ir@netcapital.com

16-04-2026

ICF International, Inc. and ICF Consulting Group, Inc. entered into an Amended and Restated Credit Agreement dated April 10, 2026, amending the prior agreement from May 6, 2022, to provide a $600,000,000 revolving credit facility (including a $200,000,000 alternative currency sublimit), a $450,000,000 term loan facility, and a $400,000,000 delayed draw term loan facility, for total commitments of $1.45 billion. PNC Bank, National Association acts as Administrative Agent, Swingline Loan Lender, and Issuing Lender, with PNC Capital Markets LLC as Sole Bookrunner and Joint Lead Arranger. The agreement includes standard covenants, representations, and events of default.

• ·Filing date: April 16, 2026; Agreement effective date: April 10, 2026
• ·CUSIP Numbers: Revolving Credit 44925FAD8, Term Loan 44925FAE6, Delayed Draw Term Loan 44925FAF3
• ·Prior Existing Credit Agreement dated May 6, 2022, with amendments in 2023

16-04-2026

TON Strategy Company (TONX) appointed Kevin Wilson as Chief Executive Officer effective May 4, 2026, following Board approval on April 16, 2026. Wilson, a fintech executive with over 20 years of experience including roles at Integral Development Corp., ROAM Capital, and Citi, entered an employment agreement with a base salary of $950,000, $250,000 signing bonus, 100% target annual bonus (guaranteed at target for 2026 prorated and 1/6th for 2027), and equity awards of at least 2% of fully diluted shares post-June 2026 Annual Meeting. The agreement includes severance of 1x base plus prorated bonus upon qualifying termination, at-will employment, and Board nomination.

• ·No arrangements or understandings with other persons for appointment; no family relationships or disclosable transactions under Item 404(a).
• ·Guaranteed bonus: prorated target for 2026; no less than 1/6th target for 2027.
• ·Equity grants per Company’s equity grant policy after June 2026 Annual Meeting.
• ·Company to nominate Wilson for Board election while employed.

16-04-2026

OppFi Inc., through subsidiaries including Opportunity Funding SPE V, LLC (Borrower) and Opportunity Financial, LLC, entered into Amendment No. 3 to the Second Amended and Restated Revolving Credit Agreement on April 10, 2026, amending the facility dated February 13, 2025. The amendment incorporates specific changes shown in a marked copy of the agreement attached as Exhibit A, with all prior liens and security interests ratified and reaffirmed. No Defaults or Events of Default exist post-amendment, and a Fourth Amended and Restated Fee Letter was executed concurrently.

• ·Effectiveness subject to receipt of executed Amendment, Fee Letter, true representations/warranties, no Default/Event of Default, and payment of invoiced expenses.
• ·Governed by New York law; executed in counterparts with electronic signatures permitted.

16-04-2026

Lincoln National Corporation announced the planned retirement of Brian Kroll, Executive Vice President, Head of Retail Life and Annuity Solutions, and named executive officer, effective June 1, 2026. This is part of a planned succession for the Retail Life and Annuities businesses. No successor was named in the filing.

• ·Filing date: April 16, 2026
• ·Company's 2026 proxy statement filed with SEC on April 16, 2026
• ·Common Stock (LNC) and Depositary Shares (LNC PRD) registered on New York Stock Exchange

16-04-2026

Corbus Pharmaceuticals Holdings, Inc. entered into sixth amended and restated employment agreement with CEO Yuval Cohen, Ph.D., effective April 15, 2026, for two years with annual base salary of $673,625 and bonus target up to 60% of base salary, and seventh amended agreement with CFO Sean Moran with base salary of $501,273 and bonus up to 40%. Both include equity award eligibility, non-compete (6 months post-termination), non-solicitation (12 months), and severance provisions including 12 months base salary (or more in change of control scenarios), COBRA reimbursement, and accelerated vesting. No prior salary comparisons or performance metrics provided.

• ·Agreements expire April 15, 2028.
• ·CEO severance: 12 months base salary (24 months in Change in Control Period), COBRA for 12/24 months, pro-rated bonus, accelerated equity vesting in CIC.
• ·CFO severance: 12 months base salary (18 months in Change in Control Period), COBRA for 12/18 months, pro-rated bonus (target in CIC), accelerated equity vesting in CIC.
• ·Severance subject to release execution, non-compete compliance, and potential reduction under IRC Section 4999.

16-04-2026

ESCO Technologies Inc. entered into a Purchase Agreement dated April 15, 2026, with TBG AG to acquire the share capital of Megger Group Limited, involving cash consideration partially financed by new debt facilities and the issuance of Consideration Shares exempt from registration under Section 4(a)(2). A related Shareholder Agreement grants TBG AG board designation rights, transfer restrictions during a 12-month Restricted Period, standstill limits at 24.5% ownership, and other protections while above the Minimum Ownership Threshold. Financing includes a Commitment Letter with JPMorgan Chase Bank, N.A. for up to $1,500 million in Best Efforts Facilities, with backstop and bridge options to ensure transaction funding.

• ·Seller Designee board seat continues while Seller Holders maintain at least 50% of Consideration Shares.
• ·50% of Consideration Shares released from transfer restrictions six months after closing.
• ·Standstill limits Seller Holders to 24.5% beneficial ownership without Board consent.
• ·Proceeds from financing to fund cash consideration, refinance existing debt, transaction costs, and general corporate purposes.
• ·Transaction subject to regulatory approvals and integration risks as noted in forward-looking statements.

16-04-2026

IP Strategy Holdings, Inc. (Nasdaq: IPST) announced the appointment of Brian C. Jun to its Board of Directors, effective April 16, 2026, to bolster expertise in cryptocurrency, tax, and AI. Mr. Jun, currently CFO of Gurufin Inc., has over 15 years of experience advising Web3 projects including Andreessen Horowitz portfolio companies and previously led blockchain taxation at Deloitte for clients like Uniswap, Aave, Solana, and OpenSea. The appointment supports IPST's $IP token treasury strategy and exposure to the $80 trillion programmable IP economy via the Story blockchain, backed by $136 million in funding.

• ·Story blockchain mainnet launched in February 2025
• ·Mr. Jun previously advised IP Strategy on digital asset tax matters as a contractor
• ·Mr. Jun holds J.D. and LL.M. in Taxation from Loyola Law School, Los Angeles, and B.A. from University of California, Berkeley; admitted to State Bar of California

16-04-2026

On April 13, 2026, GitLab Inc. Director Merline Saintil notified the Board of her decision to step down from the Board and the Compensation and Leadership Development Committee, effective April 15, 2026, with no disagreement on operations, policies, or practices. The Board appointed current Lead Independent Director Godfrey Sullivan to fill the committee vacancy and reduced the Board size from nine to eight members, also effective April 15, 2026.

• ·Filing signed by Robin Schulman on April 16, 2026
• ·Class A Common Stock trades as GTLB on Nasdaq

16-04-2026

On April 10, 2026, the Compensation Committee of Quanta Services, Inc. approved performance stock units (PSUs) to named executive officers Earl C. Austin, Jr. (17,759 target), Jayshree S. Desai (8,879), Karl W. Studer (12,431), and Gerald A. Ducey, Jr. (7,103), as strategic incentives aligned with the company's five-year business strategy. The PSUs may be earned up to 300% of target based on adjusted EPS CAGR and up to an additional 200% TSR multiplier by December 31, 2030, for a maximum of 600%, vesting after the performance period subject to continued service. These awards recognize leadership contributions and aim to drive long-term stockholder value creation.

• ·PSUs range from 0% to 600% of target based on performance goals, with vesting after Dec 31, 2030 subject to continued service.
• ·Accelerated vesting possible upon qualifying terminations or change in control.
• ·Awards filed under Exhibit 10.1: Form of PSU Award Agreement.

16-04-2026

HeartBeam, Inc. (NASDAQ: BEAT) announced a proposed underwritten public offering of common stock (or equivalents) by the company, with net proceeds intended for advancing commercialization of its FDA-cleared 12-lead synthesized ECG system, developing extended-wear patch and heart attack detection initiatives, enhancing AI capabilities, and general corporate purposes. Titan Partners, a division of American Capital Partners, is the sole bookrunner; the offering is subject to market conditions with no assurance of completion, size, or terms. The announcement references a shelf registration statement on Form S-3/A effective March 17, 2026.

• ·Shelf registration statement on Form S-3/A (File No. 333-293307) filed February 9, 2026, declared effective March 17, 2026.
• ·FDA clearance for arrhythmia assessment using 3D ECG technology in December 2024.
• ·FDA clearance for 12-Lead ECG synthesis software for arrhythmia assessment in December 2025.
• ·Over 20 issued patents related to technology enablement.

16-04-2026

Achieve Life Sciences announced a private placement of securities for gross proceeds up to $354 million, including $180 million upfront and up to an additional $174 million from milestone-driven warrants exercisable post-FDA approval of cytisinicline. The transaction is led by Frazier Life Sciences, TPG Life Sciences Innovations, venBio Partners, Paradigm BioCapital Advisors, and Marshall Wace, with participation from other investors. In connection, Andrew D. Goldberg, MD was appointed CEO and board member effective post-closing, with Richard Stewart transitioning to board director; proceeds will fund a Phase 3 trial for cytisinicline in e-cigarette cessation, commercialization, and general purposes.

• ·Private placement closing expected April 17, 2026, subject to customary conditions
• ·FDA PDUFA date for cytisinicline NDA: June 20, 2026
• ·NDA submitted June 2025, accepted September 2025
• ·Accompanying warrants expire on the later of 20th business day post-FDA approval announcement or company notice date

16-04-2026

WesBanco, Inc. held its Annual Meeting of Shareholders on April 15, 2026, where six directors were elected to the Board with majority support (for votes ranging 65.4M to 69.9M shares, withheld 1.7M to 6.2M). Shareholders approved the 2026 Equity Incentive Plan (68.0M for vs 2.8M against) and overwhelmingly ratified Deloitte & Touche LLP as auditors (81.7M for vs 1.1M against), but the advisory vote on 2025 named executive officer compensation passed narrowly with significant opposition (45.7M for vs 25.0M against).

• ·Annual Meeting held April 15, 2026; definitive proxy filed March 13, 2026
• ·Directors elected for terms expiring 2029 (five directors) or 2027 (Joseph R. Robinson)
• ·All proposals approved despite broker non-votes of 11,506,105 shares on most items