US Corporate Distress Financial Stress SEC Filings — April 14, 2026

14-04-2026

New Fortress Energy Inc.'s indirect subsidiary, NFE Brazil Holdings Limited, entered into the Brazil Bridge Credit Agreement providing a $50,000,000 senior secured multiple draw term loan facility maturing on the earliest of certain restructuring events or September 15, 2026 (potentially extended to December 2026). The facility bears 10% paid-in-kind interest per annum and is secured by substantially all assets of NFE Brazil, including equity interests in Hygo Energy Transition Ltd., with proceeds for general corporate purposes and operational expenditures, including repaying LNG payables at CoreCo. Amendments to the Restructuring Support Agreement and Letter of Credit Facility Forbearance Agreement obtained necessary consents for the transaction.

• ·Loan matures on earliest of: closing of refinancing of NFE Brazil Financing Limited’s 15% senior secured notes due 2029, RSA termination re PW/PWP AHG members, Restructuring Effective Date, or September 15, 2026 (extendable to December 14 or 31, 2026 per RSA)
• ·Obligations secured by pledge of equity interests held by NFE Brazil in Hygo Energy Transition Ltd.
• ·Standard covenants include limitations on indebtedness, liens, restricted payments, asset sales, affiliates transactions, and prepayments of other debt

14-04-2026

Avanos Medical, Inc. (NYSE: AVNS) has entered a definitive agreement to be acquired by affiliates of American Industrial Partners (AIP) in an all-cash transaction valuing the enterprise at approximately $1.272 billion, with stockholders to receive $25.00 per share, a 72.1% premium to the April 13, 2026 closing price and 82.8% to the 30-day VWAP. The deal, unanimously approved by Avanos' Board, is expected to close in the second half of 2026 subject to approvals, after which Avanos will become private and delist from NYSE. No financial performance declines or flat metrics are reported, though standard acquisition risks such as regulatory hurdles and potential termination fees are noted.

• ·Transaction unanimously approved by Avanos’ Board of Directors; not subject to financing condition.
• ·Expected close in second half of 2026, subject to stockholder approval, Hart-Scott-Rodino waiting period, and other regulatory approvals.
• ·Avanos has postponed its 2026 Annual Meeting of Stockholders, previously scheduled for April 21, 2026.
• ·Advisors: J.P. Morgan (lead financial), UBS (financial), Alston & Bird (legal) for Avanos; Sidley Austin (legal), Baker Botts (regulatory) for AIP.

14-04-2026

XCF Global, Inc. (Nasdaq: SAFX), DevvStream Corp. (Nasdaq: DEVS), and Southern Energy Renewables Inc. have signed a definitive Business Combination Agreement for a three-party merger to create a next-generation energy transition platform integrating SAF, green methanol, renewable products, environmental attribute monetization, and advanced infrastructure like SMRs. Post-closing ownership is expected to be approximately 66.7% for existing XCF shareholders, 23.3% for Southern shareholders, and 10.0% for DevvStream shareholders, with the transaction conditioned on milestones including annualized fuel-related revenues exceeding $1 billion and minimum annualized EBITDA of $100 million. The deal remains subject to customary closing conditions such as shareholder approvals, SEC registration, Nasdaq listing, financing, and fairness opinions, with no historical performance declines noted but forward-looking risks emphasized.

• ·Transaction structure: DevvStream to domesticate from Alberta to Delaware; XCF to acquire 100% of DevvStream and Southern via merger subsidiaries.
• ·XCF pipeline of potential expansion in Nevada, North Carolina, and Florida.
• ·Closing conditions include plant conversion, commercial milestones, state-supported bonds by Southern.

14-04-2026

DevvStream Corp. (NASDAQ: DEVS), XCF Global, Inc. (Nasdaq: SAFX), and Southern Energy Renewables Inc. have executed a definitive Business Combination Agreement for a three-party merger to create a next-generation energy transition platform integrating sustainable aviation fuel (SAF), green methanol, renewable products, environmental attribute monetization, and advanced infrastructure like small modular nuclear reactors. Post-closing ownership is expected to be 66.7% for existing XCF shareholders, 23.3% for Southern shareholders, and 10.0% for DevvStream shareholders, with targets including annualized fuel-related revenues exceeding $1 billion and minimum annualized EBITDA of $100 million. The transaction is subject to customary closing conditions such as shareholder approvals, SEC registration on Form S-4, Nasdaq listing, financing, operational milestones, and fairness opinions, with no current financial performance declines noted but forward-looking risks emphasized.

• ·XCF is advancing pipeline of expansion opportunities in Nevada, North Carolina, and Florida.
• ·Transaction structure involves DevvStream domestication from Alberta to Delaware, with XCF acquiring 100% of DevvStream and Southern via merger subsidiaries.
• ·Combined platform embeds environmental attribute monetization across the value chain and supports long-term offtake commercialization.

14-04-2026

urban-gro, Inc. entered into a Securities Purchase Agreement dated April 7, 2026, with Agile Hudson Partners LLC for an initial $500,000 First Tranche funding under a convertible Note and accompanying Warrants, exempt from registration under Section 4(a)(2) of the 1933 Act and Rule 506(b). A conditional Second Tranche of $500,000 may follow within 10 trading days of satisfying conditions including the filing of the 10-K for the period ended December 31, 2025, at which point the Note's principal would increase by $549,504.95 (including OID) and accrued interest by $65,940.60. As of April 7, 2026, the Company had 875,600 shares of Common Stock issued and outstanding out of 200,000,000 authorized shares.

• ·Buyer is an accredited investor purchasing Securities for investment, not resale.
• ·Second Tranche Funding Conditions include filing the 10-K with audited financials for fiscal years ended December 31, 2024 and 2025.
• ·Securities subject to restrictive legends until registered or exempt sale under Rule 144, Rule 144A, or Regulation S.

14-04-2026

Hydrofarm Holdings Group, Inc. entered into a Forbearance Agreement on April 8, 2026, with lenders and FEAC Agent, LLC following a Specified Event of Default for failing to pay interest due January 31, 2026, on its $125,000,000 senior secured Term Loan. The forbearance period runs until April 30, 2026 (extendable), during which the company must maintain at least $1,000,000 in average daily cash, provide budgets and asset sale term sheets, and adhere to strict covenants amid liquidity concerns. An accompanying Amendment No. 2 replaced JPMorgan with FEAC as administrative and collateral agent and imposed additional reporting requirements.

• ·Event of Default notice issued February 11, 2026
• ·Forbearance termination possible upon new Events of Default, non-compliance with requirements, or breaches of representations
• ·Company must present at least two asset valuation bids and a cash flow projection approved by Financial Advisor

14-04-2026

Lucid Group, Inc. (LCID) announces $550 million investment from Ayar Third Investment Company (PIF affiliate) in convertible preferred stock and Uber's additional $200 million commitment, increasing Uber's total investment to $500 million. Uber expands its purchase commitment to at least 35,000 Lucid vehicles, including Gravity and Midsize platforms, for a global robotaxi service in partnership with Nuro. This strengthens Lucid's capital position and builds on prior announcements from July 2025, with autonomous testing underway since December 2025.

• ·Lucid’s future Midsize vehicles expected to have starting price under $50,000.
• ·Autonomous on-road testing with Nuro began in December 2025; Lucid completed delivery of test vehicles in February 2026.
• ·Prior partnership announcement between Lucid, Nuro, and Uber in July 2025.

14-04-2026

CareCloud, Inc. closed a $50 million credit facility with Citizens Bank, N.A. (lead arranger) and Provident Bank on April 13, 2026, providing non-dilutive capital, enhancing liquidity, and lowering the cost of capital amid $30 million annualized adjusted EBITDA. The company will fully redeem its 1,511,372 outstanding shares of 8.75% Series B Preferred Stock (CCLDO) on May 15, 2026, at $27.52 per share ($25.25 redemption price plus $2.27 dividends), eliminating $3.2 million in annual preferred dividend obligations and simplifying its capital structure. No declines or flat metrics were reported, supporting strategic growth in AI-driven healthcare solutions serving over 45,000 providers.

• ·Redemption notice period: 30 days prior to May 15, 2026.
• ·Series B Preferred Stock to be delisted from Nasdaq Global Stock Market post-redemption.
• ·Filing date: April 14, 2026; facility closing: April 13, 2026.

14-04-2026

AgEagle Aerial Systems Inc. (dba EagleNXT) announced a $10.0 million strategic investment acquiring a stake in Israel’s ThirdEye Systems Ltd. and the launch of a U.S. joint venture, ThirdEye USA, LLC, where EagleNXT holds 51% ownership and appoints three of five managers. The JV, based in Allen, Texas, will produce counter-drone systems like Argus Shield and Meduza X for U.S. and Canadian markets, with operations expected by May 2026. This move expands EagleNXT’s defense offerings, complementing prior investments like Aerodrome Group Ltd., with no financial declines reported.

• ·ThirdEye USA to operate from EagleNXT’s headquarters in Allen, Texas
• ·Joint venture anticipated operational by May 2026
• ·EagleNXT entitled to appoint three of five managers in ThirdEye USA

14-04-2026

New Concept Energy, Inc. (GBR) entered into a Subscription Agreement on April 13, 2026, with Realty Advisors, Inc. to issue 2,000,000 shares of common stock at a minimum price of $1.00 per share, potentially raising at least $2,000,000 in cash. The transaction requires stockholder approval by majority vote and NYSE American listing approval, with no assurance of completion, and would result in a change of control as the Investor, already holding 400,000 shares and sharing a common director, becomes an affiliate. The shares would be issued as restricted securities under Section 4(2) exemption.

• ·Investor may be deemed a 'Related Party' and would become an 'Affiliate' upon completion
• ·Proxy materials for stockholder meeting in preparation, targeted before end of Q2 2026
• ·Issuance represents 20% or more of current outstanding shares, triggering NYSE American stockholder approval requirement under Company Guide Section 7.13

14-04-2026

Alpha Cognition Inc. entered into a settlement agreement with Galantos Pharma GmbH i.L. on April 10, 2026, agreeing to make a one-time payment of EUR 5,214,220 by April 15, 2026, in full satisfaction of all remaining royalty and milestone obligations under the 2013 Memogain Asset Purchase Agreement. The settlement provides an approximate 40% discount to the estimated market value of the remaining obligations based on management's assessment. Mutual releases extinguish future liabilities for both parties, with no further payments due.

• ·Galantos Pharma GmbH i.L. is in liquidation and winding up process.
• ·Approximately €5M of the settlement payment relates to royalty entitlements accrued during fiscal year 2025 for documentation purposes.
• ·Agreement includes mutual covenants not to sue, no disparagement, and confidentiality provisions.

14-04-2026

CERO Therapeutics Holdings, Inc. issued and sold a convertible promissory note to Keystone Capital Partners, LLC for a $350,000 purchase price with a $437,500 principal face value, bearing 10% annual interest and maturing on April 9, 2027. The facility allows additional borrowings up to a $1,000,000 aggregate maximum and is convertible into common stock at the lesser of $0.05 or 80% of the average of the five lowest intraday trading prices over the prior 20 trading days, subject to a 4.99% beneficial ownership limit. The transaction relies on exemptions from registration under the Securities Act and requires the company to file a resale registration statement.

• ·Note issued on April 8, 2026; filing dated April 14, 2026.
• ·Conversion price is the lesser of $0.05 or 80% of the average of the 5 lowest intraday trading prices during the 20 trading days prior to conversion request.
• ·Relies on Section 4(a)(2) and Rule 506(b) exemptions; future conversion shares under Section 3(a)(9) or 4(a)(2).

14-04-2026

Saratoga Investment Corp. entered into a Notes Purchase Agreement dated April 10, 2026, authorizing the issuance and sale of $25,000,000 aggregate principal amount of 7.25% Notes due 2029 in a private offering, with closing on the same date at 98.00% of principal amount. The agreement allows for additional Notes up to a maximum aggregate of $50,000,000 by July 10, 2026. No declines or flat metrics reported in this financing event.

• ·Transaction governed by base indenture dated May 10, 2013, and seventeenth supplemental indenture dated on or about Closing Date.
• ·Audited financial statements as of February 28, 2025, referenced as fairly presenting financial condition.

14-04-2026

New Era Energy & Digital, Inc. closed the full exercise of the $115 million underwriters’ option in its public equity offering, received $20 million initial funding from a $290 million senior secured term loan credit facility with Macquarie, and secured an additional $5 million equity investment from Macquarie at approximately $5 per share. These funds will support development of the Texas Critical Data Centers LLC (TCDC) project, including procurement of long-lead equipment and site development, and repay the outstanding SharonAI Holdings Inc. note to simplify the capital structure. No declines or flat metrics reported, marking a strengthened financial position.

• ·TCDC located in Ector County, outside Odessa, Texas; master planned as multi-phase development.
• ·Non-binding letter of intent with Stream Data Centers.
• ·Northland Capital Markets as lead book-running manager for Equity Offering and capital markets advisor for Term Loan; Texas Capital Securities as book-running manager.

14-04-2026

Beasley Broadcast Group, Inc. received a notice from Nasdaq on April 13, 2026, stating it fails to meet the $2,500,000 minimum stockholders’ equity requirement under Nasdaq Listing Rule 5550(b)(1), with a reported stockholders’ deficit of $49,330,431 in its Form 10-K for the year ended December 31, 2025. The company also does not satisfy alternative listing standards and must submit a compliance plan by May 28, 2026, with potential extension to October 10, 2026 if accepted, though there is no assurance of regaining compliance or avoiding delisting. The company's Class A Common Stock continues to trade on Nasdaq under 'BBGI' for now.

• ·Company does not meet either of the alternative continued listing standards under Nasdaq rules.
• ·Evaluating accounting impacts of Transactions (as defined in March 20, 2026 Form 8-K) to potentially regain compliance.
• ·Forward-looking statements highlight risks including failure to execute compliance plan, complete Transactions, or maintain listing.

14-04-2026

Quaker Houghton announced an amended credit agreement featuring a $550 million USD senior secured term loan, a $250 million euro-equivalent senior secured term loan, and an $800 million senior secured revolving credit facility, all with five-year maturities extending the nearest debt maturity to 2031. The agreement allows for an additional approximately $331 million in revolver capacity and used proceeds to repay existing loans, enhancing liquidity for strategic growth and M&A. CEO Joseph Berquist highlighted strengthened balance sheet and financial flexibility, with no quantitative declines reported.

• ·Operations in over 25 countries
• ·Customers include steels, aluminum, automotive, aerospace, offshore, can, mining, and metalworking companies
• ·Headquartered in Conshohocken, Pennsylvania

14-04-2026

Shoulder Innovations, Inc. entered into a 10-year lease agreement with Ventura Office Park Lot #8, LLC for a new 15,200 square foot commercial building in Byron Center, Michigan, to serve as its corporate headquarters, with two five-year extension options and expansion rights. Aggregate estimated rent payments over the initial term total approximately $4.4 million, including a $33.0 thousand security deposit and a $0.5 million down payment for construction costs. Possession is expected in the fourth quarter of 2027 upon issuance of the certificate of occupancy.

• ·Lease includes certain expansion rights.
• ·Full Lease Agreement to be filed as exhibit to Q2 2026 10-Q.

14-04-2026

Advanced Biomed Inc. entered into a Loan Agreement with Jie Wang on April 13, 2026, under which the lender provided an unsecured loan of $600,000 at 10% annual interest for a 6-month term, with proceeds intended for operations. The loan is repayable in full on the maturity date, allows prepayment without penalty, and may be extended by mutual agreement for an additional 6 months. No comparative financial metrics or performance data are reported in the filing.

• ·Loan is unsecured.
• ·Governed by the laws of the State of New York.
• ·Filing date: April 14, 2026; event date: April 13, 2026.

14-04-2026

Hepion Pharmaceuticals, Inc. entered into a separation agreement with former CEO Dr. Kaouthar Lbiati on April 13, 2026, following her resignation for personal reasons previously disclosed on March 16, 2026. Pursuant to the agreement, Dr. Lbiati will receive $225,000 severance payment, $30,625 pro-rata cash bonus, and reimbursement of COBRA payments for 6 months, in exchange for a general release and confidentiality. She also resigned as a director on April 13, 2026, with Gary Stetz serving as Interim Chief Executive Officer.

• ·Separation agreement includes reimbursement of COBRA payments for 6 months
• ·Company's principal executive offices: 34 Shrewsbury Ave., Suite 1D, Red Bank, NJ 07701
• ·Former address: 55 Madison Ave., Suite 400-PMB# 4362, Morristown, NJ 07960
• ·Trading symbol: HEPA on OTC QB

14-04-2026

SunPower filed its 2025 10-K reporting GAAP revenue of $300 million, down $8.8 million from prior unaudited quarterly reports due to audit corrections for double bookings, with GAAP gross margin declining to 43% from 49% and GAAP operating loss widening to $26.9 million. Non-GAAP operating income was $7.3 million, lower than the prior reports' $10.9 million amid balance sheet cleanup via 40 audit adjustments purging $20.7 million. The company completed three acquisitions expanding sales coverage from 22 to 46 states, turning previously unprofitable entities profitable, and targets over $400 million revenue in 2026.

• ·Will restate Q1'25-Q3'25 10-Q reports to align with 10-K.
• ·Q1 10K-based non-GAAP OpInc ($5.948M) vs prior $2.938M (decline).
• ·Q4 10K GAAP OpInc ($6.767M loss) reflects one-time M&A charges of $5.428M.

14-04-2026

FinTrade Sherpa, Inc. entered into an Interim Promissory Note dated April 8, 2026, with Lode Star Gold, Inc., acknowledging indebtedness of $74,811.50 plus additional amounts, accruing interest at 15.0015% per annum retroactive to April 1, 2026, with minimum monthly payments of $8,000 commencing June 1, 2026, and full repayment by May 31, 2028. The note is secured by a pledge of the company's intellectual property from the February 12, 2025 Asset Purchase Agreement with Tarka L'Herpiniere, with a UCC-1 filing already made in Texas on April 1, 2026. This follows a termination of financial support letter dated April 1, 2026, amid lack of funding from Alpha-Optimus project affiliates.

• ·Interest applies retroactively from April 1, 2026; all payments applied first to accrued interest.
• ·Prepayment allowed without penalty, applied first to interest then principal.
• ·Default triggers if payments >45 days late, insolvency, bankruptcy, or breach; accelerates full balance.
• ·Lender option to convert debt to shares at discount to market price if unpaid.
• ·Governing law: State of Nevada.

14-04-2026

CaliberCos Inc. amended its Certificate of Designation for Series A Convertible Preferred Stock, restructuring conversions into three equal tranches of 33.3% each of the total Preferred Shares, with Initial Conversion Price set at $2.50 per share, Second Tranche at $3.50 (1.4x initial), and Third Tranche at $4.50 (1.8x initial). The amendment removes Sections l(xiii), l(xiv), l(xv), and l(xix), adjusts the Conversion Amount to 33.3% of Stated Value, and restates Section 3 on conversion mechanics, including anti-dilution adjustments and notices. The changes were filed with the Delaware Secretary of State on April 9, 2026.

• ·Sections l(xiii), l(xiv), l(xv), and l(xix) of the original Series A Certificate of Designation removed.
• ·Company must reserve sufficient authorized Common Stock for conversions and deliver shares via DWAC if eligible.
• ·Beneficial ownership limited to 4.99% of Common Stock post-conversion to avoid excess ownership.
• ·Amendment effective April 9, 2026; 8-K filed April 14, 2026.

14-04-2026

Okmin Resources, Inc. terminated its January 29, 2026 Merger Agreement with BevPoint Capital LP after closing conditions were not met within the required timeframe, representing a setback for the planned transaction. Positively, the company appointed Andrew Glashow as a corporate advisor, issuing him 1,000,000 shares at a deemed price of $0.05 per share, and completed a private placement of 1,800,000 shares at $0.03 per share for gross proceeds of $54,000 to fund general working capital.

• ·Merger Agreement entered on January 29, 2026; termination event reported April 10, 2026; filing dated April 14, 2026
• ·Private placement completed on March 13, 2026

14-04-2026

On April 14, 2026, Eva Live Inc. (GOAI) entered into an Equity Distribution Agreement with Maxim Group LLC to offer and sell shares of its common stock having an aggregate offering price of up to $100,000,000 through an at-the-market offering. The Company agreed to pay a 3.0% commission on gross proceeds and reimburse the Agent up to $30,000 initially and $3,500 per Bringdown Date. Net proceeds will be used for working capital and general corporate purposes, with sales pursuant to an effective Form S-3 registration statement.

• ·EDA may be terminated by mutual agreement, 5 days' notice by either party, or automatically after 12-month anniversary, sale of all shares, or failure to deliver shares by Settlement Date.
• ·Sales pursuant to Form S-3 (File No. 333-294416) effective March 24, 2026, with prospectus supplement filed April 14, 2026.
• ·Registrant is an emerging growth company.

14-04-2026

Aditxt, Inc. entered into a Senior Unsecured Promissory Note on April 10, 2026, issued with Original Issue Discount (OID) and an unspecified Original Principal Amount (U.S. $[-]). The note accrues interest on a 360-day basis, payable in cash on Interest Dates, increasing to 18% per annum upon an Event of Default. Multiple Events of Default are defined, including acceleration of indebtedness or judgments exceeding $500,000, bankruptcy proceedings, or material adverse effects.

• ·Contact for OID information: Amro Albanna at (650) 870-1200.
• ·Note may not be prepaid except as specifically permitted.
• ·Holder has redemption rights upon Event of Default at Redemption Premium.
• ·Mandatory redemption upon Bankruptcy Event of Default at full outstanding amount times Redemption Premium.

14-04-2026

Amazon.com, Inc. (NASDAQ:AMZN) announced a definitive merger agreement to acquire Globalstar, Inc. (NASDAQ:GSAT), with Globalstar shareholders electing $90.00 cash or 0.3210 shares of Amazon stock per share (capped at $90.00), subject to a 40% cash election cap and potential $110 million downward adjustment for unmet milestones. Approximately 58% of Globalstar's combined voting power has approved via written consent, with closure expected in 2027 pending regulatory approvals and satellite milestones. The deal enables Amazon Leo to integrate Globalstar's satellites, spectrum, and D2D expertise, including continued Apple satellite services for iPhone and Apple Watch.

• ·Amazon Leo D2D system deployment beginning in 2028 with higher spectrum efficiency than legacy systems.
• ·Transaction risks include regulatory approvals, potential litigation, customer contract terminations on change of control, and key personnel retention challenges.
• ·Amazon Leo network designed to support hundreds of millions of customer endpoints globally.

14-04-2026

Repay Holdings Corporation (RPAY) announced its Board adopted a limited-duration stockholder rights plan effective April 14, 2026, expiring April 13, 2027, to protect stockholders from rapid stock accumulation without fair compensation. The plan issues one preferred share purchase right per Class A common share to record holders on April 24, 2026, triggering if any person or group reaches 12.5% beneficial ownership or an existing 12.5% holder increases stake. It includes a qualifying offer provision allowing 20% of stockholders to demand a vote if the Board does not act within 90 business days.

• ·Rights expire on April 13, 2027, unless redeemed or exchanged earlier; Board to seek stockholder approval for extension.
• ·Plan similar to those of other public companies; not intended to deter fair offers.
• ·No dead-hand, slow-hand, no-hand or similar features.
• ·Further details in upcoming Form 8-K with SEC.

14-04-2026

Nomadar Corp. (NOMA) signed a binding offer to exercise a purchase option for approximately 130,000 sqm of land at the JP Financial Arena site in El Puerto de Santa María, Cádiz, Spain, representing a significant portion of the total 291,000 sqm development footprint. This milestone advances the flagship European sports and entertainment platform, with formal purchase execution expected within 90 business days. It builds on recent momentum including commercial agreements for approximately $2 million in 2026 revenue, more than double 2025 total revenue, and $7.3 million in new strategic capital.

• ·Project located in El Puerto de Santa María (Cádiz, Spain), targeting sports, entertainment, tourism, MICE segment, and digital ecosystems.
• ·Nomadar is a subsidiary of Cádiz CF, a La Liga professional soccer club.
• ·Formal purchase execution expected within 90 business days per contractual terms.

14-04-2026

Galera Therapeutics, Inc. (GRTX) and Obsidian Therapeutics announced a definitive all-stock merger agreement, with the combined company operating as Obsidian Therapeutics, Inc. (Nasdaq: OBX) and backed by a concurrent $350 million private placement providing runway into 2H 2028 through key OBX-115 milestones. Pre-closing Galera stockholders will own ~1.8% of the combined company (subject to net cash adjustment), Obsidian stockholders ~53.2%, and new investors ~45%, representing heavy dilution for Galera shareholders despite CVRs tied to prior asset sale milestones.

• ·Transaction expected to close by Q3 2026, subject to stockholder approvals, SEC registration effectiveness, and customary conditions
• ·Galera stockholders receive one CVR per share for 95% of future milestones from October 2025 Biossil.ai Asset Purchase Agreement (up to 10 years)
• ·OBX-115 granted FDA Fast Track and RMAT designations for unresectable/metastatic melanoma resistant to checkpoint inhibitors

14-04-2026

On April 9, 2026, OneMeta Inc. issued a warrant to Avaya LLC to purchase up to 22,222,222 shares of common stock at $0.135 per share, exercisable on a cash or cashless basis from April 9, 2026, until April 8, 2036, with the exercise price subject to adjustment under certain circumstances. Avaya was also granted observer rights on the Company's Board of Directors meetings and entered into a registration rights agreement providing demand and piggyback registration rights for the underlying shares. The warrant was issued in reliance on exemptions from registration under Section 4(a)(2) of the Securities Act and/or Rule 506 of Regulation D.

• ·Warrant holder (Avaya LLC) granted observer rights with respect to Company Board of Directors meetings
• ·Registration Rights Agreement provides demand and piggyback registration rights for shares underlying the warrant
• ·Exhibits filed: 4.1 (Form of Warrant), 10.1 (Registration Rights Agreement)

14-04-2026

Perma-Pipe International Holdings, Inc. entered into a Credit Agreement dated April 8, 2026, with JPMorgan Chase Bank, N.A. as lender, providing for revolving loans based on a borrowing base and revolving commitment. Interest rates are tiered by leverage ratio: CBFR spreads of 1.50%-2.00%, SOFR spreads of 2.50%-3.00%, and commitment fees of 0.20%-0.30%. The agreement includes standard covenants, representations, and a BDC Priority Agreement involving Business Development Bank of Canada and Perma-Pipe Canada Ltd.

• ·SEC Filing Date: April 14, 2026
• ·Credit Agreement Effective Date: April 8, 2026
• ·8-K Items Reported: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Financial Statements and Exhibits)
• ·Applicable Rate changes effective 3 Business Days after delivery of financial statements
• ·Initial Applicable Rate: Category 3 until second full fiscal quarter financials post-Effective Date

14-04-2026

Glucotrack, Inc. entered into an Exchange Agreement dated April 13, 2026, partitioning a $600,000 promissory note from an original $3,600,000 note issued September 12, 2025, and exchanging the partitioned note for 895,000 shares of common stock to be delivered by April 23, 2026. The exchange shares will be issued free of restrictive legends pursuant to Rule 144 and Section 3(a)(9), with tacking of the holding period from the original note issuance date. The transaction includes a 19.9% beneficial ownership limitation to prevent excess ownership by the lender.

• ·Closing occurs via exchange of PDF documents, deemed at offices of Grossman & Grossman P.C. in New York, NY.
• ·Exchange Shares delivered via DWAC; Partitioned Note cancelled on Free Trading Date.
• ·Governed by New York law; parties waive jury trial.

14-04-2026

Fortress Credit Realty Income Trust disclosed entry into an Uncommitted Master Repurchase Agreement dated April 8, 2026, with Banco Santander, S.A. New York Branch as Buyer and affiliates FCR CRE Toro Facility Seller LLC and Dwight FCR-2025 LLC as Sellers via an 8-K filing on April 14, 2026 (Items 1.01, 2.03, 9.01). The agreement facilitates non-committal transactions for Sellers to sell eligible assets, such as mortgage loans, participation interests, and mezzanine loans, to Buyer on a servicing-released basis with a repurchase obligation, potentially providing financing liquidity. No specific transaction volumes, commitments, or fees are detailed in the filing.

• ·Agreement is uncommitted; Buyer has no obligation to enter into any Transactions.
• ·Governed by New York law; includes standard covenants, events of default, and representations/warranties.
• ·Annexes include forms for Confirmations, Margin Deficit Notices, and Asset Information.

14-04-2026

CoreWeave, Inc. (CRWV) entered into a Base Capped Call Transaction, a European-style call option on its Class A common stock, with a dealer on Trade Date April 9, 2026 (Effective Date April 14, 2026). Key terms include a Strike Price of USD 119.6001, Cap Price of USD 230.0000, and Final Termination Date of December 10, 2032, with Net Share Settlement as the default method and components detailed in Annex A. The transaction is governed by ISDA Definitions and a deemed 2002 ISDA Master Agreement under New York law.

• ·Cross-Default Threshold Amount: 3% of Dealer's shareholders’ equity
• ·Option Entitlement: One Share per Option
• ·Settlement Date: One Settlement Cycle after latest Expiration Date
• ·Exchange: Nasdaq Global Market

14-04-2026

Vireo Growth Inc. completed the acquisition of The Hawthorne Gardening Company from The Scotts Miracle-Gro Company, gaining US$35 million in cash, US$58 million in net working capital, and US$20 million in inventory over two years, totaling approximately US$110 million to strengthen its balance sheet. In exchange, it issued 213 million subordinate voting shares and 80 million warrants to Good Dog Holdings LLC at a deemed price of US$0.60 and strike price of US$0.85, respectively, resulting in Good Dog owning approximately 14% of Vireo (potentially 19% if warrants exercised). Vireo nominated Chris Hagedorn, EVP of Scotts Miracle-Gro, for its Board at the May 29, 2026 AGM.

• ·Warrants exercisable for 5 years from issuance date
• ·Transaction announced April 8, 2026; AGM for board election on May 29, 2026
• ·Securities not registered under U.S. Securities Act; subject to resale restrictions
• ·Good Dog to file early warning report on SEDAR+

14-04-2026

Commerce.com, Inc. (Nasdaq: CMRC) announced that its Board adopted a limited duration Stockholder Rights Plan (poison pill), effective immediately and expiring April 12, 2027, in response to an unsolicited acquisition proposal from Rezolve Ai PLC (NASDAQ: RZLV) on April 8, 2026, offering one RZLV share for every two CMRC shares, implying a 47% discount to CMRC's then-current share price based on RZLV's $2.88 closing price on April 7, 2026. The Board rejected the proposal, deeming it undervaluing and not attractive to stockholders. Rights will be distributed to stockholders of record on April 27, 2026, with an exercise price of $13.00 and triggers at 10% ownership (20% for passive investors).

• ·Rights become exercisable if a person or group acquires 10% (20% for Passive Institutional Investor) of common stock or announces a tender/exchange offer leading to such ownership.
• ·Rights held by an acquiring person become void upon trigger.
• ·Board can redeem rights at $0.01 per right before trigger event.
• ·Rights distribution is not taxable to stockholders.