US Corporate Distress Financial Stress SEC Filings — April 17, 2026

17-04-2026

QVC Group, Inc. and its debtor affiliates have filed a disclosure statement for a joint prepackaged Chapter 11 plan of reorganization in the U.S. Bankruptcy Court for the Southern District of Texas, Houston Division, soliciting votes from holders of RCF Claims (Class B3, >75% support), QVC Notes Claims (Class B4, >55% support), and LINTA Notes Claims (Class C3, >45% support). The debtors view the plan as the best option for restructuring, maximizing estate value amid financial distress, with no specific financial metrics provided but inherent risks of bankruptcy proceedings highlighted. Confirmation is not assured and subject to court approval and conditions.

• ·Case filed in U.S. Bankruptcy Court, Southern District of Texas, Houston Division (Case No. 26-[____]).
• ·Debtors' headquarters: 1200 Wilson Drive, West Chester, Pennsylvania 19380.
• ·Solicitation agent website: https://restructuring.ra.kroll.com/QVC.
• ·Solicitation contact: qvcBALLOTS@RA.KROLL.com or (888) 575-5337.

17-04-2026

Tri Pointe Homes, Inc. entered into a Seventh Modification Agreement dated April 16, 2026, with its lenders and U.S. Bank National Association as Administrative Agent, consenting to its pending merger with Sumitomo Forestry Co., Ltd. pursuant to a February 13, 2026 Merger Agreement at $47.00 per share in cash and waiving change-of-control defaults under its $850M revolving and $450M term credit facility. The agreement amends the Change in Control definition post-merger to permit Sumitomo's majority ownership while reaffirming all existing obligations; current balances show $0 outstanding revolving principal, $450M term principal, and $28,958,055.78 in outstanding LCs.

• ·Merger Agreement dated February 13, 2026
• ·Seventh Modification Agreement Effective Date: April 16, 2026
• ·Post-merger Change in Control definition requires Sumitomo to maintain >50% voting stock ownership
• ·Borrower must provide KYC/AML documentation within 30 days post-Transaction

17-04-2026

5E Advanced Materials, Inc. announced on April 16, 2026, its intention to voluntarily delist its CHESS Depositary Interests (CDIs) from the Australian Securities Exchange (ASX) effective from the close of trading on May 28, 2026, with suspension from quotation on May 26, 2026. The delisting is not expected to have any material impact on the company's financial position or operating results, except for savings in compliance and ancillary costs, while its common stock will continue trading on the Nasdaq Global Select Market under the symbol FEAM. The company plans to provide CDI holders with additional information regarding their rights post-delisting.

• ·CDIs currently trade on ASX under code 5EA
• ·Common stock: $0.01 par value per share, symbol FEAM
• ·Registrant is an emerging growth company and has elected not to use the extended transition period for new accounting standards
• ·Principal executive offices: 9329 Mariposa Road, Suite 210, Hesperia, California 92344

17-04-2026

Emergent BioSolutions Inc. closed a new $150 million term loan with OrbiMed to fully repay the prior term loan with Oak Hill Advisors, extending its maturity to April 16, 2031 from August 30, 2029 and reducing annual interest expense by 200 basis points. The company also amended its asset-based revolving loan (ABL) facility with Wells Fargo National Association, increasing borrowing capacity to $50 million and extending maturity to April 16, 2031 from September 30, 2029. These changes provide enhanced financial flexibility through less restrictive covenants and greater capacity for incremental debt to support the multi-year transformation plan.

• ·New term loan and ABL amendments include less restrictive covenants and expanded debt baskets for incremental debt, including a committed delayed draw term loan.
• ·Announcement dated April 16, 2026; details available in Form 8-K on investor page.

17-04-2026

InvenTrust Properties Corp. signed a definitive note purchase agreement for a private placement of $250 million senior unsecured notes, comprising $50 million 5.09% Series A due June 29, 2029, $100 million 5.32% Series B due June 29, 2031, and $100 million 5.60% Series C due June 29, 2033. The notes feature a weighted average tenor of 5.4 years and fixed interest rate of 5.44%, with issuance expected on June 29, 2026, subject to customary conditions. Proceeds will fund general corporate purposes, including repayment of indebtedness.

• ·Notes to be absolutely and unconditionally guaranteed by certain subsidiaries that guarantee primary credit facilities (none currently expected)
• ·Notes sold in reliance on Section 4(a)(2) exemption under Securities Act; not registered
• ·Filing date: April 17, 2026

17-04-2026

On April 15, 2026, Compass, Inc. entered a multi-party transaction to become a 51% holder of Parent’s common equity, which indirectly owns Sotheby’s International Realty franchisees, while restructuring Parent predecessor’s financial obligations via a 30-month installment payment plan for outstanding indebtedness owed to Compass. Compass and TPG (funds managed by Angelo, Gordon & Co., L.P.) also entered a Put Agreement granting TPG the optional right to require Compass to purchase 100% of Parent’s senior preferred equity at a formula-based price. Compass has not finalized the Put Right valuation or related accounting, expecting completion in its Q2 Form 10-Q.

• ·Put Agreement filed as Exhibit 10.1
• ·Transaction involves indirect wholly-owned subsidiaries of Compass
• ·Description of agreements qualified by reference to full exhibits

17-04-2026

QVC Inc and affiliates, including QVC Group, commenced Chapter 11 bankruptcy cases on April 16, 2026 (Petition Date), to implement restructuring transactions under a Restructuring Support Agreement and Plan, expecting to emerge within approximately 90 days while operating as debtors-in-possession and paying general unsecured claims in full in the ordinary course. The filing triggered events of default accelerating approximately $2.9 billion in credit agreement borrowings, $2.15 billion in senior secured notes, and $1.5 billion in Liberty LLC debentures. Equity interests in QVC Group are expected to be cancelled with no distributions to shareholders, and trading in securities is highly speculative with substantial risks.

• ·Cases administered jointly under caption 'In re QVC Group, Inc. et al.' in Bankruptcy Court.
• ·Debts stayed by Automatic Stay; enforcement subject to Bankruptcy Code.
• ·Expected delisting of 2067 Notes and 2068 Notes from New York Stock Exchange.
• ·Claims agent website: https://restructuring.ra.kroll.com/QVC; contact: +1 (888) 575-5337 or ProjectQuartzBallot@ra.kroll.com.

17-04-2026

On April 16, 2026, Global Interactive Technologies, Inc. received a Nasdaq Notification Letter for failing to timely file its Annual Report on Form 10-K for the year ended December 31, 2025, violating Nasdaq Listing Rule 5250(c)(1). The company has 60 calendar days from the notification date to submit a compliance plan and expects to file the overdue 10-K promptly to regain compliance. During this grace period, the company's common stock (GITS) will continue to trade on Nasdaq, subject to other listing requirements.

• ·Commission File Number: 001-41763
• ·I.R.S. Employer Identification No.: 88-1368281
• ·Principal executive offices: 160 Yeouiseo-ro, Yeongdeungpo-gu, Seoul, Republic of Korea 07231
• ·Registrant is an emerging growth company

17-04-2026

PMGC Holdings Inc. (Nasdaq: ELAB) announced entry into a $40 million equity purchase facility agreement with an institutional investor, providing approximately $10 million at initial closing and flexible draws over a 24-month period to fund its M&A strategy in aerospace, defense, and industrial manufacturing. The company has completed four acquisitions in the past twelve months, building a portfolio of ITAR-registered, AS9100D-certified precision CNC machining businesses and a specialty IT hardware packaging company. This facility supports scaling a vertically integrated precision manufacturing platform amid strong demand tailwinds.

• ·Closing anticipated on April 17, 2026
• ·Target end markets include data center and AI infrastructure
• ·Opportunistic pursuits outside aerospace and defense for cash flow positive businesses
• ·Full definitive agreements to be filed on Form 8-K

17-04-2026

OraSure Technologies appointed John D. Bertrand, a healthcare technology executive with AI diagnostics experience, to its Board as an independent director effective April 16, 2026. The company entered a Cooperation Agreement with Altai Capital Management, under which Altai withdraws its director nominations and will engage regularly on strategic matters; OraSure will seek shareholder approval for Board declassification at the 2026 Annual Meeting. No financial metrics or performance declines were reported, with leadership highlighting strengthened governance and transformation strategy progress.

• ·Cooperation Agreement includes customary standstill, voting, and other provisions; to be filed on Form 8-K.
• ·Advisors: Evercore (financial), Goodwin Procter LLP (legal), Joele Frank Wilkinson Brimmer Katcher (communications) for OraSure; McDermott Will & Schulte LLP (legal), ASC Advisors (communications) for Altai.
• ·2026 Proxy Statement to detail declassification proposal and be filed with SEC ahead of Annual Meeting.
• ·Current Board: Carrie Eglinton Manner (CEO), Steven K. Boyd, Nancy J. Gagliano, John P. Kenny, Lelio Marmora, Robert W. McMahon.

17-04-2026

HNO International, Inc. (HNOI), a metal mining company, filed an 8-K on April 17, 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 financial statements and exhibits attached (Item 9.01). The filing size is 31 MB, indicating potentially significant attachments. No specific financial metrics, improvements, declines, or period comparisons are available from the provided filing index.

• ·Filing Acc-no: 0001342916-26-000021
• ·Company CIK: 0001342916
• ·SIC: 1000 - METAL MINING
• ·State of Incorporation: NV
• ·Fiscal Year End: October 31
• ·Former names: American Bonanza Resources Corp., CLENERGEN Corp, Clenergen Corp

17-04-2026

Brookfield Asset Management Ltd. (BAM) completed an offering of US$550,000,000 aggregate principal amount of 4.832% senior notes due April 15, 2031, and US$450,000,000 aggregate principal amount of 5.298% senior notes due January 15, 2036, for a total of US$1,000,000,000 in new senior notes. The 2036 Notes supplement an existing US$400,000,000 issuance of the same series. The notes are issued under indentures with provisions for make-whole redemptions prior to specified dates, par redemptions thereafter, restrictions on liens, and a change of control repurchase offer at 101% of principal.

• ·2031 Notes interest payable semi-annually on April 15 and October 15, commencing October 15, 2026.
• ·2036 Notes interest payable semi-annually on January 15 and July 15, commencing July 15, 2026.
• ·Early redemption for 2031 Notes at make-whole price prior to March 15, 2031; at par thereafter.
• ·Early redemption for 2036 Notes at make-whole price prior to October 15, 2035; at par thereafter.
• ·Indenture restricts BAM's ability to incur liens and requires offer to repurchase Notes at 101% upon certain change of control events.

17-04-2026

Madison Air Solutions Corp priced its initial public offering of 82,692,308 shares of Class A common stock at $27.00 per share, with shares expected to begin trading on the NYSE under ticker 'MAIR' on April 16, 2026, and closing on April 17, 2026. Underwriters, led by Goldman Sachs & Co. LLC, Barclays, Jefferies, and Wells Fargo Securities, have a 30-day option to purchase up to an additional 12,403,846 shares. Concurrently, the company agreed to sell $100.0 million of Class B common stock in a private placement to an entity controlled by founder Larry Gies.

• ·A registration statement for the IPO securities has been declared effective by the SEC.
• ·The private placement of Class B shares is unregistered under the Securities Act of 1933.
• ·Madison Air provides air quality solutions for commercial and residential markets.

17-04-2026

T1 Energy Inc. completed a public offering of $184.0 million aggregate principal amount of 4.00% Convertible Senior Notes due 2031, including the full exercise of the $24.0 million underwriters' option for over-allotments. Net proceeds of approximately $174.7 million will fund construction, infrastructure development, and production line equipment for Phase 1 of its G2_Austin solar cell fab with 2.1 GW capacity, plus general corporate purposes, while targeting additional financing for remaining Phase 1 capex. The notes bear 4.00% annual interest, mature April 15, 2031, and have an initial conversion rate of 146.9724 shares per $1,000 principal (equivalent to $6.80 per share, a 40% premium over the $4.86 closing price on April 14, 2026).

• ·Convertible Notes not redeemable prior to April 20, 2029; redeemable thereafter if stock price >=130% of conversion price for specified periods.
• ·Holders may require repurchase upon fundamental change at principal plus accrued interest.
• ·Interest payable semi-annually on April 15 and October 15, commencing October 15, 2026.
• ·Base Indenture dated December 16, 2025; Second Supplemental Indenture dated April 17, 2026.

17-04-2026

PetVivo Holdings, Inc. received $600,000 as the final installment on April 15, 2026, under a Subscription Agreement dated March 13, 2026, completing a $1,000,000 equity financing for 1,250,000 units at $0.80 per unit, with 750,000 units issued for the final payment. Each unit consists of one share of restricted common stock and one warrant exercisable at $1.10 per share, immediately upon issuance, expiring in three years. The investor holds an option for an additional $1,500,000 investment (1,875,000 units) on similar terms by June 15, 2026.

• ·Securities issued in reliance on Section 4(a)(2) of the Securities Act and Regulation D; investor is an accredited investor.
• ·Shares, Warrants, and underlying shares are restricted securities under Rule 144.
• ·Subscription Agreement filed as Exhibit 10.1.

17-04-2026

Mustang Bio, Inc. received a Nasdaq notice on April 15, 2026, stating non-compliance with Listing Rule 5550(a)(2) due to its common stock (MBIO) closing below $1.00 per share for 30 consecutive business days, with no immediate delisting effect. The company has a 180-calendar day grace period until October 12, 2026, to regain compliance by maintaining a $1.00 closing bid for at least 10 consecutive business days. Failure to comply risks delisting, though a potential second 180-day period or hearing may be available, and the company intends to monitor and explore remedies without guaranteed success.

• ·Compliance requires closing bid price of at least $1.00 per share for a minimum of ten consecutive business days (generally not more than 20) during the grace period.
• ·Eligibility for second 180-day period requires meeting initial listing criteria, continued listing for market value of publicly held shares, and written notice of intent to cure via reverse stock split if needed.
• ·Timely hearing request before Nasdaq Hearings Panel would stay delisting pending outcome.

17-04-2026

Cumulus Media Inc. secured U.S. Bankruptcy Court approval for its prepackaged Chapter 11 Plan of Reorganization, enabling the elimination of approximately $600 million in debt and improved financial flexibility upon emergence pending FCC approval. The company continues normal operations amid the restructuring. While this strengthens the balance sheet, the ongoing bankruptcy process highlights prior financial distress.

• ·Court: United States Bankruptcy Court for the Southern District of Texas.
• ·Restructuring information available at www.cumulus.com/restructuring.
• ·Company reaches a quarter billion people monthly via audio content.

17-04-2026

BranchOut Food Inc. entered into an Amended and Restated Senior Secured Promissory Note with Kaufman Kapital LLC for a principal amount of $2,250,000, consisting of an initial $1,500,000 advance on January 28, 2026, and an additional $750,000 advance on April 17, 2026, maturing on January 28, 2027, with 8% annual interest. The note is secured by collateral under a July 23, 2024 Security Agreement and imposes strict affirmative and negative covenants, limiting dividends, additional indebtedness (except specific exceptions like a $34,500 SBA note), asset sales, liens, affiliate transactions, and requiring financial reporting. No operational or financial performance metrics are disclosed.

• ·Note permits optional prepayment without premium or penalty.
• ·Events of Default include non-payment, covenant breaches, bankruptcy, cross-defaults over $100,000, and security document failures.
• ·Permitted exceptions to negative covenants include SBA indebtedness, certain capitalized leases, purchase money debt, and specific liens.

17-04-2026

TransDigm Inc. and TransDigm Group Incorporated entered into Amendment No. 21 to their credit agreement dated April 17, 2026, assuming $1,000,000,000 in Incremental Tranche N Term Loans from lenders including KKR Capital Markets LLC and Goldman Sachs Bank USA. Proceeds, together with 6.125% Senior Subordinated Notes due 2034, will fund the acquisition of Stellant Systems, Inc., replenish cash for March 2026 share repurchases, general corporate purposes, and related fees. The transaction is conditioned on maintaining Consolidated Net Leverage Ratio ≤7.25:1.00 and Consolidated Secured Net Debt Ratio ≤5.00:1.00 post-closing.

• ·Loans amortize per Section 2.08(a)(v) of Amended Credit Agreement with Tranche N Maturity Date.
• ·Initial interest period per notice of borrowing.
• ·Transaction treated as fungible with existing Tranche N Term Loans for tax purposes.
• ·Solvency certificate required confirming solvency post-transaction.

17-04-2026

On April 15, 2026, Avalon GloboCare Corp. (ALBT) received a notification from Nasdaq indicating non-compliance with Listing Rule 5550(a)(2), as the closing bid price of its common stock fell below the $1.00 per share minimum for 30 consecutive business days from March 1 to April 14, 2026. The Company has 180 calendar days until October 12, 2026, to regain compliance by maintaining a $1.00 closing bid price for at least 10 consecutive business days, with trading continuing uninterrupted on Nasdaq Capital Market under 'ALBT'. Failure to comply could lead to a potential second 180-day period or delisting, and the Company may pursue a reverse stock split.

• ·Nasdaq Listing Rule 5810(c)(3)(A) defines the 30 consecutive business day deficiency period.
• ·Potential second 180-day compliance period available if market value of publicly-held shares and other initial listing standards are met.
• ·Company will have appeal opportunity to a Hearings Panel if delisting determination is issued.

17-04-2026

AMC Entertainment Holdings, Inc. subsidiary Odeon Finco PLC closed a $425 million first lien 10.50% term loan due 2031 with Deutsche Bank AG New York Branch, using proceeds to fully redeem its outstanding 12.750% Senior Secured Notes due 2027, extending debt maturities by four years and reducing annual cash interest expense. AMC Chairman and CEO Adam Aron stated this refinancing strengthens the company's financial position, enhances liquidity, and improves flexibility. The company expressed optimism about 2026 box office performance, noting the highest Q1 since pre-2020 pandemic closures.

• ·Odeon Term Loan collateral and guarantors substantially the same as prior Odeon Notes; AMC has not pledged any assets.
• ·Odeon Notes to be delisted from the Official List of The International Stock Exchange.
• ·Filing date: April 17, 2026

17-04-2026

California Resources Corporation entered into the Ninth Amendment to its Amended and Restated Credit Agreement (originally dated April 26, 2023) on April 14, 2026, with Citibank, N.A. as administrative agent and other lenders. The amendment revises the pricing grid to reduce the company's borrowing costs under the facility and includes other technical amendments. This is filed as Exhibit 10.1.

17-04-2026

Arq, Inc. entered into the Ninth Amendment to its Tax Asset Protection Plan (TAPP), originally dated May 5, 2017, with Computershare Trust Company, N.A. on April 15, 2026. The amendment extends the Final Expiration Date to the earlier of December 31, 2027, or December 31, 2026 if stockholder approval is not obtained prior to that date. This constitutes a material modification to the rights of security holders.

• ·Filing items reported: 1.01 (Entry into a Material Definitive Agreement), 3.03 (Material Modification to Rights of Security Holders), 9.01 (Financial Statements and Exhibits)
• ·Exhibit 4.1: Ninth Amendment dated April 15, 2026

17-04-2026

On April 17, 2026, VerifyMe, Inc. (VRME) received a notification from Nasdaq indicating that its common stock failed to satisfy Nasdaq Listing Rule 5550(a)(2) due to a closing bid price below $1 per share for 30 consecutive business days. The company has a 180-calendar-day compliance period until October 14, 2026, to regain compliance by achieving at least a $1 closing bid price for 10 consecutive business days, with no immediate effect on its Nasdaq listing. Failure to comply could lead to delisting, though the company may qualify for a second compliance period or appeal to a Nasdaq Hearings Panel.

• ·Nasdaq Listing Rule 5810(c)(3)(A) governs the 180-day compliance period.
• ·Company may be eligible for a second 180-day period if it meets market value of publicly held shares and other initial listing standards for Nasdaq Capital Market.
• ·Company must notify Nasdaq of intent to cure the deficiency for second period eligibility.
• ·Common stock par value: $0.001 per share; traded as VRME on The Nasdaq Capital Market.

17-04-2026

Soluna Digital Inc. (Purchaser), a Nevada corporation and manager of Soluna DVSL JVCo, LLC, agreed on April 15, 2026, to purchase 39,719,988 Class B Membership Interests (85.4% of Class B) from Soluna SLC Fund I Projects Holdco LLC (Seller) for a total Purchase Price of $16,500,000, consisting of $6,000,000 at closing and $10,500,000 due by July 1, 2026. Upon closing, the Purchaser will own 100% of both Class A (previously 100%) and Class B Membership Interests in the Company. The transaction includes termination of certain agreements and was consummated remotely on the Closing Date.

• ·LLC Agreement dated September 12, 2025.
• ·Purchaser approves the transfer and waives LLC Agreement transfer conditions.
• ·Closing occurred remotely via electronic exchange of signatures on April 15, 2026.
• ·Includes execution of Termination Agreement for agreements listed on Schedule I.

17-04-2026

Wellgistics Health, Inc. (NASDAQ: WGRX) executed a definitive joint venture agreement with Kare Rx Hub, LLC, integrating Wellgistics Hub (including EinsteinRx™ and HubRx AI™) with KareRx’s AI-driven digital hub to streamline pharmaceutical access, fulfillment, and commercialization, potentially reaching over 200,000 patient lives. The collaboration aligns clinical, operational, and commercial teams, enhancing capabilities like eligibility verification and prior authorizations across Wellgistics' 6,500+ pharmacy network and KareRx's 500 provider relationships. However, the joint venture remains subject to customary implementation steps with no assurance on the timing, extent of integration, or realization of anticipated benefits.

• ·Kare Pharmtech, LLC is controlled by Dr. Kiran Patel, who founded Medicaid provider WellCare in 1992 (sold in 2002 for $200M), and America’s 1st Choice Holdings in 2007 (sold to Anthem, Inc. in 2017).
• ·The joint venture formalizes a previously announced non-binding letter of intent.
• ·Additional details on the joint venture agreement to be provided in a forthcoming Form 8-K.

17-04-2026

XCel Brands, Inc. entered into the Seventh Amendment to its Loan and Security Agreement dated April 13, 2026, which introduces optional conversion rights for Term Loan A lenders (IPX and UTG) to convert outstanding principal and interest into common stock at $1.35 per share until Term Loan A repayment, with anti-dilution adjustments. The amendment permits issuance of new Senior Secured Notes totaling $3,005,780.35 due April 13, 2027 under a Securities Purchase Agreement with Quick Capital, LLC, IPX Capital, and Smithline Family Trust II, secured by liens on company assets including Halston IP. Additional changes include revised repayment schedules (Term Loan A due September 20, 2027), updated lien restrictions allowing Smithline liens, and modified payment waterfall prioritizing outgoing lenders (First Eagle funds).

• ·Conversion Termination Date: date Term Loan A is paid in full
• ·Term Loan A repayment date: September 20, 2027
• ·Outgoing Lenders: First Eagle Credit Opportunities Fund, First Eagle PEI Fund (Blocker) LLC, First Eagle Private Credit Fund
• ·Conversion Price: $1.35 per share, subject to adjustment for dividends, splits, distributions
• ·Reporting requirement: Quarterly Royalty Collections Report commencing Fiscal Quarter ending March 31, 2028

17-04-2026

Sow Good Inc. amended its Certificate of Incorporation to authorize a reverse stock split ranging from 1-for-2 to 1-for-99 shares. The Board of Directors determined a specific 1-for-15 reverse split ratio on April 10, 2026, effective at 5:00 p.m. Eastern Time on April 23, 2026, with cash payments for fractional shares instead of issuing new shares.

• ·Original Certificate of Incorporation filed February 15, 2024.
• ·Prior Certificate of Amendment filed March 30, 2026.
• ·Amendment adopted per Section 242 of the Delaware General Corporation Law (DGCL).

17-04-2026

Vera Bradley, Inc. announced that its Board unanimously approved an amendment to its existing Shareholder Rights Plan, accelerating the final expiration date from October 11, 2026, to April 17, 2026, effectively terminating the plan at the close of business today. The Board evaluated current circumstances, including risks of control accumulations, and concluded the plan is no longer required. The Board remains committed to shareholders' interests and may consider a new rights plan in the future.

• ·Company operates two reportable segments: Vera Bradley Direct (VB Direct: full-line/outlet stores, websites, annual outlet sale) and Vera Bradley Indirect (VB Indirect: specialty retailers, department stores, national accounts, third-party e-commerce, liquidators, licensing royalties).
• ·Investor Relations information posted at www.verabradley.com/investor-relations for Regulation FD compliance.
• ·Additional details on the Amendment to be included in a forthcoming Form 8-K.

17-04-2026

Revolution Medicines, Inc. issued $500,000,000 aggregate principal amount of 0.50% Convertible Senior Notes due 2033 on April 17, 2026, under an indenture with U.S. Bank Trust Company, National Association. The notes accrue interest at 0.50% per annum, payable semi-annually starting November 1, 2026, with an initial conversion rate of 5.0302 shares per $1,000 principal (approximately $198.80 per share), maturing on May 1, 2033. The issuance followed an underwriting agreement dated April 14, 2026, with J.P. Morgan Securities LLC, TD Securities (USA) LLC, and Guggenheim Securities, LLC.

• ·Notes are senior unsecured obligations, effectively subordinated to secured indebtedness and structurally subordinated to subsidiary liabilities.
• ·Conversion permitted before February 1, 2033 only upon certain events; thereafter at any time until close of business two trading days before maturity.
• ·Redemption possible on or after May 6, 2030 if stock price exceeds 130% of conversion price over specified periods.
• ·Fundamental Change allows noteholders to require repurchase at principal plus accrued interest.
• ·Events of Default include payment defaults (30-day cure for interest), conversion failures (5-day cure), covenant breaches (60-day cure), and cross-defaults on $100M+ indebtedness.

17-04-2026

Terra Innovatum Global N.V. (NKLR) received a Nasdaq deficiency notice on April 16, 2026, for failing to timely file its Form 10-K for the fiscal year ended December 31, 2025, violating Nasdaq Listing Rule 5250(c)(1). The notice has no immediate effect on the listing or trading of its ordinary shares on Nasdaq Global Select Market, but the company must submit a compliance plan by June 15, 2026, with potential extension to October 12, 2026, if accepted. The company intends to regain compliance as soon as practicable.

• ·Trading symbol: NKLR
• ·Commission File Number: 001-42901
• ·Fiscal year end: December 31
• ·Emerging growth company: Yes

17-04-2026

Fusemachines Inc. entered into a common stock purchase agreement with Roth Principal Investments, LLC on April 17, 2026, providing the company with the right to sell up to $20,000,000 of its common stock over a period of up to 36 months through various purchase mechanisms at its discretion. A related registration rights agreement covers the resale of up to 11,363,636 shares by the purchaser. No sales are obligated, and purchases are subject to conditions including a $0.50 threshold price and volume limits.

• ·Threshold price for purchases: $0.50 per share.
• ·Commitment Period: up to 36 months from Commencement Date.
• ·Purchases exclude certain opening/closing trades and may include limit order elections.

17-04-2026

On April 15, 2026, Faraday Future Intelligent Electric Inc. entered into a Purchase Agreement with Matthias Aydt to issue and sell one share of newly designated Series A Preferred Stock for $100. This share carries 10,000,000,000 votes exclusively on the Share Authorization Proposal (to increase authorized common stock) and Reverse Stock Split Proposal, cast proportionally to common stock votes excluding abstentions, provided quorum is met with at least one-third of common shares present. The issuance, via a filed Certificate of Designation, modifies voting dynamics by neutralizing the impact of abstentions and non-votes on these proposals.

• ·Series A Preferred Stock is non-convertible, receives no dividends, and has transfer restrictions until approval of the proposals.
• ·The share will be automatically redeemed for $100 immediately following stockholder approval of the proposals or at Board discretion.
• ·Sale was to an accredited investor, exempt under Section 4(a)(2) of the Securities Act.

17-04-2026

Lendway, Inc.'s subsidiaries, TULP 24.1, LLC and Tulipa Acquisitie Holding B.V. (dba Bloomia), entered into a Second Amendment to their Bridge Loan Agreement originally dated February 22, 2024, with principal of USD $12,750,275, allowing a discounted prepayment in full at USD $7,330,000, requiring an initial payment of at least USD $4,800,000 by April 15, 2026 without interest or penalties. Upon full prepayment by May 27, 2026, including 12% interim interest on the balance, all loans, guarantees, security interests, and related claims under the Share Purchase Agreement will be released and terminated. If not fully prepaid, the outstanding balance reduces to $15,097,053 multiplied by the unpaid ratio, accruing standard interest thereafter.

• ·Amendment effective April 15, 2026; full discounted prepayment eligibility requires initial payment on or before that date
• ·First Amendment to Bridge Loan Agreement dated January 19, 2026
• ·Payments to Lenders pro-rata based on their Proportion
• ·Release of Warranties and Indemnities under SPA effective upon initial payment

17-04-2026

Trevi Therapeutics, Inc. (Nasdaq: TRVI) announced the pricing of its underwritten public offering of 11,600,000 shares of common stock at $13.00 per share, expecting gross proceeds of approximately $150 million before underwriting discounts and expenses. The company granted underwriters a 30-day option to purchase up to 1,740,000 additional shares. The offering is expected to close on or about April 20, 2026, subject to customary conditions.

• ·Offered pursuant to shelf registration statement on Form S-3 (File No. 333-291517), filed November 13, 2025.
• ·Joint book-running managers: Morgan Stanley, Leerink Partners, Cantor, and Stifel.
• ·Lead manager: Oppenheimer & Co.

17-04-2026

Danaher Corporation entered into a new $5 billion 364-day revolving credit agreement on April 16, 2026, with Bank of America, N.A. as Administrative Agent and multiple major banks including Barclays Bank PLC, BNP Paribas Securities Corp., Citibank, N.A., and others as lenders, documentation agents, and joint lead arrangers/bookrunners. The facility offers borrowings at competitive rates tied to Danaher's debt ratings (e.g., Term SOFR margins from 0.585% at AA-/Aa3 to 1.085% at BBB/Baa2, with a flat 0.04% facility fee). No declines or flat performance noted in the agreement terms.

• ·Agreement effective as of April 16, 2026; filed with SEC on April 17, 2026
• ·CUSIP Numbers: Deal 235854BA3, Revolver 235854BB1
• ·Pricing determined by S&P/Moody’s senior unsecured debt ratings; initial rate based on certificate under Section 4.01(a)(vi)
• ·Availability Period from Closing Date to earliest of Scheduled Termination Date, commitment termination, or Lender commitment end

17-04-2026

Nauticus Robotics, Inc. adopted a Certificate of Amendment to its Second Amended and Restated Certificate of Incorporation, implementing a third 1-for-8 reverse stock split, effective at 8:01 p.m. Eastern Time on April 17, 2026, with no fractional shares issued and rounding up for uneven divisions. This follows prior amendments on July 18, 2024, and September 2, 2025, and was approved under DGCL Section 242. The action consolidates eight shares of Common Stock into one, potentially to meet exchange listing requirements, though reverse splits often signal underlying share price challenges.

• ·Original Certificate of Incorporation filed June 18, 2020
• ·Amended and Restated Certificate filed July 14, 2021
• ·Second Amended and Restated Certificate filed September 9, 2022
• ·Certificate signed April 16, 2026

17-04-2026

PureCycle Technologies, Inc. entered into the Second Supplemental Warrant Agreement after receiving consent from a majority of PCT Warrant holders (3,997,627 FOR, 7,433 AGAINST, 144,402 ABSTAIN) by the April 16, 2026 deadline. The amendment reduces the Redemption Trigger Price from $18.00 to $14.38 per share and extends the PCT Warrants' expiration from June 17, 2026, to March 17, 2027, effective June 17, 2026. This modifies rights of security holders by providing the Company greater flexibility for redemption.

• ·Consent deadline: 5:00 p.m. Eastern Time on April 16, 2026
• ·Amendments effective as of June 17, 2026
• ·Original Warrant Agreement dated May 4, 2020; First Supplemental dated February 25, 2026

17-04-2026

Vaxart, Inc. (OTCQX: VXRT) announced a Share Purchase Agreement (SPA) with Lincoln Park Capital Fund, allowing the company to sell up to $25 million in common stock over 24 months at its discretion, based on prevailing market prices, with no warrants, short selling, or participation rights. This provides flexible access to capital to advance oral vaccine programs for coronavirus, norovirus, influenza, and HPV while pursuing partnerships and grants. No negative financial metrics or declines were reported.

• ·Agreement effective over 24-month period
• ·Lincoln Park prohibited from short selling or hedging Vaxart stock
• ·Shares issued to Lincoln Park as consideration for SPA; SEC registration statement required prior to sales
• ·Filing date: April 17, 2026

17-04-2026

Lyra Therapeutics, Inc. entered into a Termination of Sublease agreement on April 13, 2026, with RVAC Medicines (US), Inc., ending its sublease for 23,704 rentable square feet at 880 Winter Street, Waltham, Massachusetts, effective March 31, 2026, with surrender required by May 31, 2026. The company agreed to a $2,100,000 termination payment, after which its $600,501.32 letter of credit security deposit will be returned; rent obligations ceased as of January 31, 2026. This termination incurs a net cash outflow for the company.

• ·Original sublease dated December 21, 2023.
• ·Company's principal executive offices: 480 Arsenal Way, Watertown, Massachusetts 02472.
• ·Trading symbol: LYRA on The Nasdaq Capital Market.

17-04-2026

iPower Inc. entered into a 25-month sublease agreement for approximately 85,000 square feet of its Rancho Cucamonga, California facility to a third-party logistics operator, commencing May 1, 2026, and extending through May 31, 2028. The agreement generates over $2.6 million in contracted, non-dilutive rental income, starting at approximately $62,500 per month, increasing to over $106,000 per month within the first three months, and reaching approximately $112,700 per month by the final stage. This transaction supports the company's asset-light strategy, enhances cash flow visibility, and monetizes underutilized infrastructure without additional capital investment.

17-04-2026

The York Water Company (YORW) closed its public offering of 1,521,739 shares of common stock at $28.50 per share, yielding net proceeds of approximately $41.4 million. The company plans to use the proceeds for general corporate purposes, including its capital investment program, repayment of outstanding indebtedness, and potential acquisitions. No declines or flat performance metrics were reported in the filing.

• ·Huntington Capital Markets acted as sole book-running manager
• ·Seaport Global Securities acted as co-manager
• ·Prospectus supplement filed with the SEC; available on EDGAR or from Huntington Securities, Inc.

17-04-2026

Marizyme, Inc. entered into an Assignment for the Benefit of Creditors on April 14, 2026, transferring all or substantially all of its assets to Assignee Peter Hurwitz, following Board approval on April 9, 2026. This action, deemed in the best interests of the Company, triggers a state-law insolvency proceeding with a petition to be filed in Florida's Circuit Court of the Fifteenth Judicial Circuit in Palm Beach County by April 17, 2026. No financial metrics or operational performance data were disclosed.

• ·Proceeding governed by Chapter 727, Florida Statutes.
• ·Company address: 1645 Palm Beach Lakes Drive, Suite 1200, West Palm Beach, Florida 33401.
• ·Exhibit 10.1: Assignment for the Benefit of Creditors dated April 14, 2026.