US Corporate Distress Financial Stress SEC Filings — April 21, 2026

21-04-2026

SoundHound AI, Inc. (Nasdaq: SOUN) announced a definitive agreement to acquire LivePerson, Inc. (Nasdaq: LPSN) for an equity value of $43M (22% premium), implying a $250M enterprise value after receiving $74M cash and retiring debt, resulting in a debt-free combined company with a $500M revenue opportunity from the existing customer base. The deal combines SoundHound's voice AI with LivePerson's digital messaging, serving 25 Fortune 100 companies and expanding omnichannel capabilities across key verticals. While forward-looking benefits are highlighted, risks include integration challenges, regulatory approvals, and potential failure to realize synergies.

• ·Transaction expected to close in second half of 2026, subject to regulatory approvals and LivePerson stockholder approval.
• ·Combined customers include 12 of top 15 global banks, 4 of top 5 global airlines, 4 of top 5 global automakers, 10+ leading telecom providers.
• ·SoundHound's fifth strategic acquisition, following Amelia and Interactions.
• ·Advisors: Barclays and Latham & Watkins (SoundHound); Lazard and Fried, Frank, Harris, Shriver & Jacobson (LivePerson).

21-04-2026

Onto Innovation announced a strategic partnership with Rigaku to advance X-ray process control solutions for advanced V-NAND, DRAM, logic, and memory, integrating its Ai Diffract™ software with Rigaku’s CD-SAXS platforms, which has been selected by two key customers targeting a market estimated in excess of $1 billion within five years. The company entered a definitive agreement to acquire 27% of Rigaku’s outstanding common stock for $710 million from an affiliate of The Carlyle Group, gaining board nomination rights, with the deal expected to close in H2 2026 and be accretive by December 31, 2026. No declines or flat metrics reported.

• ·Transaction subject to customary closing conditions including regulatory approvals
• ·Onto Innovation to account for investment under fair value option method without consolidation
• ·Right to nominate one director to Rigaku’s board upon closing
• ·Expected closure in second half of 2026
• ·Advisors: Greenhill (financial), Goldman Sachs (financing), Simpson Thacher & Bartlett LLP and Nishimura & Asahi (legal) for Onto

21-04-2026

Prelude Therapeutics Incorporated (Nasdaq: PRLD) announced the pricing of an underwritten public offering of 18,018,014 shares of common stock at $4.44 per share and pre-funded warrants to purchase up to 2,252,252 shares at $4.4399 per warrant, expecting gross proceeds of approximately $90.0 million before expenses. The offering, led by new investor RA Capital Management with participation from Soleus Capital and others, is anticipated to close on or about April 21, 2026, with net proceeds allocated to general corporate purposes including research, preclinical, and clinical development of product candidates. No declines or flat metrics were reported in this financing announcement.

• ·Registration statement on Form S-3 filed with SEC on May 30, 2024, declared effective June 10, 2024.
• ·Offering joint book-running managers: Goldman Sachs & Co. LLC, Evercore ISI, Citizens Capital Markets.

21-04-2026

Brady Corporation (NYSE: BRC) has entered a definitive agreement to acquire Honeywell’s Productivity Solutions and Services (PSS) business for $1.4 billion in cash, at approximately 8x EBITDA for the twelve months ended December 31, 2025. PSS generated approximately $1.1 billion in sales in 2025 with about 3,000 employees globally, and the acquisition is expected to be double-digit accretive to adjusted diluted EPS within the first year, with minimum $25 million in annual run-rate cost synergies within three years. The deal expands Brady's addressable market into the $9 billion productivity solutions sector and is anticipated to close in the second half of 2026, subject to regulatory approvals.

• ·Transaction funded with cash on hand and new debt financing; expected net debt-to-EBITDA of 2.5x post-transaction, deleveraging to below 2.0x within two years
• ·PSS based in Fort Mill, South Carolina, with operations in North America, Europe, Latin America, and Asia
• ·Conference call held April 20, 2026, at 8:30 a.m. ET; presentation materials on Brady’s investor website
• ·Unanimously approved by boards of both companies; subject to regulatory approvals and customary closing conditions

21-04-2026

Sow Good Inc. (SOWG) announced a transformative acquisition of the Nachu Graphite Project in Tanzania from Ryzon Materials Ltd for AUD$150M (approx. $107M USD) in shares, gaining a reported 174Mt mineral resource, 76Mt ore reserve, and potential 236,000 tpa graphite concentrate production at 98.5%-99.0% purity, with a binding offtake from a Tier-1 EV manufacturer. The deal positions the company as a critical minerals developer alongside its freeze-dried treats business, but all technical and economic data from the 2022 JORC BFS is unverified by Sow Good, not S-K 1300 compliant, and subject to re-verification. The transaction requires stockholder approval, Tanzanian regulatory clearances, and other conditions, with no assurance of closing.

• ·Project fully permitted with Special Economic Zone license and 15.5-year mine life.
• ·Binding offtake agreement with U.S. Tier-1 EV/ESS manufacturer; terms and status unverified.
• ·Closing conditions include Nasdaq Rule 5635 stockholder approval, Tanzanian FCC/Mining Commission approvals, no material adverse change.
• ·Consideration shares subject to lock-up, dribble-out, and registration rights.
• ·Escrow via 222,767 contingent value rights releasing shares at 12- and 18-month indemnification milestones.
• ·10-day VWAP US$0.3209; AUD/USD 0.7149 as of announcement.

21-04-2026

AXT, Inc. announced its intention to conduct a public offering of common stock, subject to market conditions, with underwriters granted a 30-day option to purchase up to an additional 15% of the shares. Net proceeds will primarily support the capacity expansion of its subsidiary Beijing Tongmei Xtal Technology Co., Ltd. for indium phosphide substrates, along with R&D, working capital, and general corporate purposes. Northland Capital Markets serves as sole bookrunner, with Needham & Company, B. Riley Securities, Inc., Craig-Hallum Capital Group LLC, and Wedbush Securities Inc. as co-managers; a shelf registration on Form S-3ASR was filed with the SEC on April 20, 2026.

• ·Manufacturing facilities in three locations in China; partial ownership in ten Chinese raw materials companies.
• ·End markets: 5G infrastructure, data center connectivity (silicon photonics), passive optical networks, LED lighting, lasers, sensors, power amplifiers for wireless devices, satellite solar cells.
• ·Headquarters: Fremont, California (worldwide); Beijing, China (Asia).
• ·Shelf registration: Form S-3ASR filed April 20, 2026; preliminary prospectus supplement available on SEC website.

21-04-2026

Modular Medical, Inc. (NASDAQ:MODD) announced the pricing of a registered direct offering of 750,000 shares of common stock at $4.50 per share, expected to generate gross proceeds of approximately $3.4 million before fees and expenses. The offering is expected to close on or about April 21, 2026, with Maxim Group LLC acting as the sole placement agent. No other comparative financial metrics were provided in the announcement.

• ·Shelf registration statement on Form S-3 (File No. 333-287313) declared effective by SEC on May 22, 2025.
• ·Press release dated April 19, 2026; 8-K filing dated April 21, 2026.

21-04-2026

Goldman Sachs Private Credit Corp. entered into a Sixth Supplemental Indenture with Computershare Trust Company for the issuance of $750,000,000 aggregate principal amount of 6.150% notes due June 16, 2031. The Notes Offering closed on April 21, 2026, yielding net proceeds of approximately $732.55 million, to be used for repaying a portion of outstanding credit facility indebtedness and general corporate purposes. The notes are general unsecured senior obligations with semi-annual interest payments starting December 16, 2026, subject to covenants including asset coverage requirements and change of control repurchase provisions.

• ·Notes may be redeemed at Company's option at prices set forth in the Indenture.
• ·Company entered into a Registration Rights Agreement obligating it to file a registration statement for an exchange offer or shelf registration, with additional interest penalties for delays.
• ·Notes rank senior to subordinated debt, pari passu with other unsecured unsubordinated debt, effectively junior to secured debt, and structurally junior to subsidiary indebtedness.

21-04-2026

Rigetti & Co, LLC, a wholly-owned subsidiary of Rigetti Computing, Inc., entered into a sublease agreement on April 17, 2026, for approximately 12,543 rentable square feet of office and laboratory space at 740 Heinz Avenue, Berkeley, California, from Chinook Therapeutics, Inc. The sublease term commences on the later of June 1, 2026, master landlord consent, and delivery of premises, expiring November 30, 2029, with monthly base rent starting at $38,111.91 and escalating annually to $41,645.91 by year four, plus an 11.19% proportionate share of taxes, insurance, and operating expenses, and a $50,000 security deposit. The agreement is subject to consent from the master landlord, Seventh Street Properties VII, LLC, within 60 days, or it may be terminated.

• ·Sublease rent payable in advance on the first day of each month starting from Commencement Date
• ·Sublease effectiveness contingent on Master Landlord consent within 60 days of April 17, 2026, or terminable by either party
• ·Portion of master lease totaling 112,088 rentable square feet from September 11, 2015

21-04-2026

CoreWeave, Inc. (Nasdaq: CRWV) announced its intention to offer $1,000 million aggregate principal amount of 9.750% senior notes due 2031 in a private offering, subject to market conditions. These notes will be additional under the April 14, 2026 Indenture, following the prior issuance of $1,750 million of the same notes, and guaranteed by certain wholly-owned subsidiaries. Proceeds are intended for general corporate purposes, including repayment of outstanding indebtedness and related fees.

• ·Notes offered only to qualified institutional buyers under Rule 144A or non-U.S. persons under Regulation S; not registered under Securities Act.
• ·Company established in 2017; completed Nasdaq public listing (CRWV) in March 2025.
• ·Forward-looking statements subject to risks including market conditions and ability to complete offering.

21-04-2026

Eli Lilly and Company notified Rigel Pharmaceuticals, Inc. on April 16, 2026, of its election to terminate the License and Collaboration Agreement dated February 18, 2021, covering ocadusertib (previously R552) and other RIPK1 inhibitors for non-CNS and CNS diseases, with termination effective June 15, 2026. Rigel will regain full rights to the licensed compounds post-termination, providing potential for independent development. However, following this and the prior CNS program termination in November 2025, Rigel expects no future milestone payments or royalties under the agreement.

• ·Agreement granted Lilly exclusive worldwide license for non-CNS diseases and collaboration on CNS diseases.
• ·Rigel is evaluating the impact of the termination.

21-04-2026

On April 17, 2026, Expensify, Inc. received a Nasdaq deficiency notice stating that its Class A common stock (EXFY) closed below the $1.00 minimum bid price for 30 consecutive business days, violating Listing Rule 5450(a)(1). The stock continues to trade on Nasdaq Global Select Market with no immediate delisting, but the company has 180 calendar days until October 14, 2026, to achieve $1.00 closing prices for 10 consecutive business days. Expensify plans to seek stockholder approval for reverse stock splits (1-for-15, 1-for-20, or 1-for-25) at its May 22, 2026 annual meeting, though compliance is not guaranteed and further extension would require transfer to Nasdaq Capital Market.

• ·Nasdaq Listing Rule 5810(c)(3)(A) governs the 180-day compliance period
• ·Potential transfer to Nasdaq Capital Market for additional 180 days if initial compliance fails
• ·Stockholders to vote on three alternative reverse stock split ratios at annual meeting

21-04-2026

National Health Investors, Inc. (NHI) announced the sale of its portfolio of 32 skilled nursing facilities and three independent living facilities to National HealthCare Corporation (NHC) for $560.0 million, expected to close on July 1, 2026, generating net proceeds after $6.0-$8.0 million in costs but resulting in the loss of $39.7 million in 2025 cash lease revenue from these 35 properties. The transaction strengthens the balance sheet with pro forma net debt-to-annualized EBITDA at 2.3x and $1.4 billion in liquidity, while increasing SHOP concentration to 22.0% of total investments (13.8% of NOI) and reducing SNF exposure to 12.2% of investments (16.5% of NOI).

• ·Transaction approved by Special Committee of Non-Interested Directors.
• ·Subject to Hart-Scott-Rodino Antitrust waiting period expiration.
• ·Investor presentation available on NHI website.

21-04-2026

ENZON PHARMACEUTICALS, INC. (ENZN) filed an 8-K on April 21, 2026, disclosing Exhibit 10.1: the Seventh Amendment to Credit Agreement dated April 16, 2026, for Viskase Companies, LLC (Borrower), subsidiary guarantors, lenders, and Bank of America, N.A. as Administrative Agent, amending the original Credit Agreement from October 9, 2020. The amendment requires payment of a $682,000 Seventh Amendment Fee, fully earned and non-refundable upon effectiveness, along with other closing conditions such as no Default or Event of Default, officer's certificates, and legal opinions. All obligations under the Loan Documents are reaffirmed, with a general release of claims by the Loan Parties.

• ·Amendment effective upon satisfaction of closing conditions including executed amendment by all parties, officer’s certificates, good standing certificates, legal opinion from Jenner & Block LLP, and payment of fees/expenses to McGuireWoods LLP and Ankura Consulting Group, LLC.
• ·Loan Parties provide general release of all claims against Administrative Agent, Lenders, and affiliates related to the Credit Agreement and Loan Documents.

21-04-2026

Rayonier Advanced Materials Inc. (RYAM) announced a formal strategic alternatives review process to maximize shareholder value after receiving unsolicited indications of interest, with Morgan Stanley & Co. LLC as financial advisor and Wachtell, Lipton, Rosen & Katz as legal counsel. President and CEO Scott M. Sutton resigned effective immediately, prompting the Board to establish an interim Office of the Chief Executive Officer led by four senior executives including CFO Marcus J. Moeltner. RYAM generated $1.5 billion of revenue in 2025, but there is no assurance the review will result in any transaction.

• ·Announcement dated April 20, 2026; no set timetable for strategic review completion.
• ·Board committee to support the interim OFC during the strategic review process.

21-04-2026

Aligos Therapeutics, Inc. entered into a License Agreement with Xiamen Amoytop Biotech Co., Ltd. on April 16, 2026, granting exclusive rights to develop, manufacture, and commercialize pevifoscorvir sodium for Hepatitis B (and co-infection with Hepatitis D) in mainland China, Taiwan, Hong Kong, and Macau, in exchange for a $25M upfront payment, up to $420M in milestones, and tiered high single-digit royalties on net sales. The agreement's effectiveness is conditioned on Amoytop's shareholder approval within 45 days of signing. Amoytop assumes all development, regulatory, manufacturing, and commercialization costs and responsibilities in the territory.

• ·Royalties apply until the later of 10 years after first commercial sale, patent expiration, or loss of regulatory exclusivity in each region.
• ·Amoytop has right of first negotiation for 7 years on novel formulations or compounds with the same active ingredient in the territory.
• ·Agreement includes joint steering and development committees; technical transfer at Amoytop's cost.

21-04-2026

IP Strategy Holdings, Inc. (related to Heritage Distilling Holding Company, Inc., ticker IPST) filed an 8-K announcing the First Amendment to its Third Amended and Restated Certificate of Incorporation, authorizing 985,000,000 shares of Common Stock (par value $0.0001) and 10,000,000 shares of Preferred Stock (par value $0.0001), for a total of 995,000,000 shares. The amendment also implements a 1-for-20 reverse stock split effective at 12:01 a.m. ET on April 23, 2026, with cash payments in lieu of fractional shares based on the April 22, 2026 Nasdaq closing price. The amendment was approved by the Board of Directors and stockholders at a special meeting.

• ·Reverse stock split effective at 12:01 a.m. Eastern Time on April 23, 2026
• ·Cash for fractional shares based on Nasdaq closing sales price on April 22, 2026
• ·Filed pursuant to Section 242 of the Delaware General Corporation Law (DGCL)
• ·Stockholder special meeting held in accordance with Section 222 of the DGCL

21-04-2026

Howard Hughes Holdings Inc. (NYSE: HHH) appointed Marc Grandisson, former CEO of Arch Capital Group Ltd., to its Board of Directors effective May 7, 2026, as a Pershing Square appointee replacing Ben Hakim. In connection with the appointment, Grandisson is investing $10 million to purchase 1,131,273 five-year warrants with a $100 strike price, which cannot be sold, transferred, or hedged for four years. The appointment occurs ahead of the expected closing this quarter of HHH's acquisition of Vantage Group Holdings, positioning the company as a diversified holding company.

• ·Grandisson will join Pershing Square as a partner in March 2027.
• ·Arch Capital delivered 23.2% annualized TSR under Grandisson vs. 14.4% for S&P Insurance Index (Mar 2, 2018 to Oct 11, 2024).
• ·Grandisson's background includes actuarial science degree from Université Laval and MBA from Wharton.

21-04-2026

NeoVolta Inc. amended agreements for its joint venture NeoVolta Power, LLC, removing NPJV MANAGER LLC as a member, increasing NeoVolta's authorized Class A Units to 80 and reducing Can Current Corporation's (CCC) Class B Units to 20, with NeoVolta designating all three Board managers. NeoVolta Power entered an Asset Purchase Agreement to acquire battery manufacturing equipment from CCC for $9,000,000 payable in milestone installments of $2,000,000, $3,000,000, and $4,000,000, plus tariffs. NeoVolta also issued 1,200,000 shares of common stock to PotiSedge Technology Pte Ltd. for sales and marketing services, vesting semi-annually over 24 months.

• ·Management Services Agreement effective April 20, 2026, with 24-month initial term and termination provisions for breach.
• ·Share Grant to PotiSedge retains voting/dividend rights on unvested shares; repurchase at $0.001 per share upon forfeiture.
• ·CCC granted right to designate up to two non-voting observers to NeoVolta Power Board meetings.
• ·Agreements filed as Exhibits 10.1 (A&R Operating Agreement), 10.2 (First Amendment to Contribution Agreement), 10.3 (Asset Purchase Agreement), 10.4 (Management Services Agreement).

21-04-2026

On April 17, 2026, Atlantic American Corporation received a notice from Nasdaq indicating non-compliance with Listing Rule 5250(c)(1) due to failure to file its Form 10-K for the year ended December 31, 2025. The company has 60 calendar days to submit a plan to regain compliance, with potential extension up to 180 days from the 10-K due date if accepted by Nasdaq; failure could lead to appeal or delisting proceedings. There is no immediate impact on the listing of its common stock (AAME) on The Nasdaq Global Market, and the company is working to file the 10-K promptly.

• ·Nasdaq Listing Rule 5250(c)(1) requires timely filing of periodic financial reports with the SEC.
• ·Opportunity to appeal to a Nasdaq Hearings Panel if compliance plan is rejected.
• ·Press release issued on April 21, 2026, attached as Exhibit 99.1.

21-04-2026

Fly-E Group, Inc. received a Nasdaq deficiency letter on April 17, 2026, notifying failure to comply with Listing Rule 5620(a) by not holding an annual shareholder meeting within 12 months of its fiscal year ended March 31, 2025. The company has 45 days until June 1, 2026, to submit a compliance plan, potentially granting an extension until September 28, 2026; there is no immediate effect on listing or trading. While the delay was administrative and the company intends to hold the meeting promptly, compliance is not assured and could lead to further risks.

• ·Company CIK: 0001975940
• ·Commission File Number: 001-42122
• ·Fiscal Year End: March 31
• ·Trading Symbol: FLYE (Common stock, $0.01 par value per share) on Nasdaq Capital Market
• ·Principal Executive Offices: 136-40 39th Avenue, Suite 202, Flushing, New York 11354

21-04-2026

Surf Air Mobility Inc. (SRFM) closed a registered direct offering on April 21, 2026, selling 13,318,181 shares of common stock to institutional investors including LamVen LLC at $1.10 per share and 257,353 shares to directors and officers at $1.36 per share, expecting gross proceeds of approximately $15 million before fees. As of April 17, 2026, the company had 84,315,976 shares outstanding. The offering includes a 30-day restricted period prohibiting new Common Stock issuances.

• ·Offering conducted pursuant to shelf registration statement on Form S-3 (File No. 333-291485), effective November 19, 2025
• ·Restricted period of 30 days after closing during which Company cannot issue additional Common Stock or equivalents (except Form S-8 for equity incentive plans)
• ·Common stock par value $0.0001 per share, traded on NYSE under SRFM

21-04-2026

Allied Gaming & Entertainment Inc. received a Nasdaq deficiency letter on April 16, 2026, notifying non-compliance with Listing Rule 5250(c)(1) due to failure to file its Form 10-K for the fiscal year ended December 31, 2025, by the extended due date of April 15, 2026. The company has 60 days, until June 15, 2026, to submit a compliance plan and expects to file the 10-K prior to this deadline, though Nasdaq may grant an extension to October 12, 2026, with no assurance of acceptance or full compliance. There is no immediate effect on the listing or trading of its common stock (AGAE) on Nasdaq.

• ·Company filed Form 12b-25 on March 31, 2026, extending 10-K due date to April 15, 2026.
• ·Press release issued on April 21, 2026, in accordance with Nasdaq Listing Rule 5810(b), attached as Exhibit 99.1.

21-04-2026

Driven Brands provided preliminary unaudited results for Q4 and FY 2025 showing Driven SSS growth of 0.3%-0.5% (flat) in Q4 but 3.5%-3.7% for FY, with Take 5 SSS at 0.95%-1.0% Q4, 6.1%-6.2% FY, and 1.9%-2.1% / 4.3%-4.5% respectively in Q1 2026; revenue of $450-$460M Q4, $1,850-$1,860M FY2025, $475-$485M Q1 2026; and Adjusted EBITDA of $100-$110M Q4, $440-$450M FY (expected lower than prior year due to restatement expenses). The company reported net unit growth (Driven: 81 Q4/175 FY/29 Q1; Take 5: 60/161/29) and reduced net debt to ~$1.6B end Q1 2026 from $2.1B end FY2025. However, it disclosed delays in filing 2025 Form 10-K (now expected by June 15, 2026 compliance plan deadline) and Q1 2026 10-Q due to restatement of prior financials and material weaknesses in internal controls.

• ·Results exclude US and International Car Wash businesses (discontinued operations).
• ·Revolving credit facility and securitization variable funding notes currently undrawn.
• ·Nasdaq compliance plan due June 15, 2026 for delinquent 10-K; expects to file 2025 10-K by then.
• ·Material weaknesses identified in internal control over financial reporting and disclosure controls.
• ·Restatement impacts FY2024, FY2023, and certain 2025 quarterly periods.

21-04-2026

Laird Superfood, Inc. (Buyer) has entered into a Securities Purchase Agreement dated April 21, 2026, to acquire all membership interests of Terrasoul Superfoods, LLC from Superfoods Seller LLC for a base Cash Payment of $48,000,000, subject to adjustments for Closing Cash, Closing Debt, Transaction Expenses, and Working Capital Adjustment Amount, plus a potential earn-out based on 2026 Contribution Profit. The transaction includes an Adjustment Escrow Amount of $1,500,000 and concurrent execution of an Advisory Agreement with Dennis J. Botts and Restrictive Covenant Agreements with the sellers. No negative financial impacts or declines are disclosed in the agreement.

• ·Balance Sheet Date: January 31, 2026
• ·Reorganization structured as tax-free under Section 368(a)(1)(F) of the Code and IRS Revenue Ruling 2008-18
• ·Earn-Out based on 2026 Contribution Profit (Gross Profit less Credit Card Fees, Platform Fees, and Advertising, Promotion, and Marketing Expenses per Exhibit A)

21-04-2026

On April 20, 2026, Laser Photonics Corporation received a Nasdaq notice for non-compliance with Listing Rule 5250(c)(1) due to the delayed filing of its Form 10-K for the year ended December 31, 2025, triggering a potential delisting risk. The company promptly filed the overdue 10-K, and Nasdaq confirmed compliance and closed the matter on April 21, 2026. A related press release was issued on April 22, 2026.

• ·Company has 60 calendar days from notice (until June 22, 2026) to submit compliance plan if needed.
• ·Nasdaq could grant up to 180 calendar days exception from original due date (until October 12, 2026) for filing.
• ·Delay attributed to resolving accounting issues with newly engaged independent registered public accounting firm.

21-04-2026

Reborn Coffee, Inc. entered into an Amended and Restated Forbearance Agreement with Arena Investors (ASOOM and ASOP) on April 15, 2026, waiving prior defaults under 10% OID Secured Convertible Debentures issued in 2025 and restructuring repayment amid payment delays. The agreement requires an initial $400,000 payment to investors plus $25,000 to counsel by April 30, 2026, followed by $400,000 monthly payments starting May 30, 2026, and full repayment by September 30, 2026, with 70% of proceeds from any securities sales applied to the debt. No operational or financial performance metrics were reported, highlighting ongoing liquidity challenges.

• ·Agreement requires filing a registration statement within 20 business days after the 10-K for shares underlying warrants issued December 31, 2025, and prior Forbearance Agreement.
• ·Prior Forbearance Agreement dated March 31, 2026; Debentures issued February 10, 2025, February 26, 2025, March 28, 2025, and July 31, 2025.
• ·Forbearance terminates upon default, insolvency, or bankruptcy events.

21-04-2026

Digital Brands Group, Inc. entered into an At-the-Market Issuance Sales Agreement with Aegis Capital Corp. on April 15, 2026, enabling the issuance and sale of common stock with an aggregate offering price of up to $100,000,000 through at-the-market offerings. The sales agent will receive a 2.0% commission on gross proceeds from any sales. The offering is subject to limitations, including not exceeding one-third of the aggregate market value of non-affiliate held common stock in any 12-month period if below $75,000,000.

• ·Agreement dated April 15, 2026; prospectus supplement filed same day.
• ·Pursuant to effective shelf registration on Form S-3 (No. 333-291361), filed November 7, 2025, effective November 26, 2025.
• ·Opinion on validity of shares by Lucosky Brookman LLP filed as Exhibit 5.1.

21-04-2026

LivePerson, Inc. filed an 8-K on April 21, 2026, announcing an amendment to its Fourth Amended and Restated By-Laws, effective the same date, adding new Article X. This designates the Delaware Court of Chancery as the sole and exclusive forum for derivative actions, fiduciary duty breach claims, internal corporate claims under Delaware law, and related disputes, with U.S. federal district courts for Securities Act claims. Shareholders acquiring stock are deemed to consent to these forum provisions.

21-04-2026

Antares Strategic Credit Fund, acting as Collateral Manager, entered into a Credit Agreement dated April 15, 2026, with Antares CLO 2026-2, LLC as Borrower, enabling revolving Class A-R Loans from Class A-R Lenders and term Class A-T Loans from Class A-T Lenders to acquire Collateral Loans and fund Exposure Amounts. PNC Bank serves as Administrative Agent, PNC Capital Markets LLC as Structuring Agent, and U.S. Bank entities as Collateral Agent, Collateral Administrator, Custodian, and Collateral Custodian. The Loans are secured by a first-priority security interest in extensive Pledged Collateral, including Collateral Loans, Related Contracts, accounts, and proceeds.

21-04-2026

NKGen Biotech, Inc. and NKGen Operating Biotech, Inc. entered a Secured Convertible Loan Agreement dated April 15, 2026, with AlpineBrook Capital GP I Limited, refinancing multiple existing loans (including EWB Note, 2024/2025 Convertible Notes, and 2026 Secured Note) into a single $39,922,134.22 principal secured convertible note, incorporating $350,000 new funding and a $3,629,284.93 facilitation fee added to principal. In exchange, NKGen Bio issues 11,807,380 shares of common stock and a warrant to the lender, along with an Investor Rights Agreement. While providing liquidity and extending maturities, the deal consolidates substantial debt and introduces equity dilution risk with conversion rights and no voluntary prepayment option.

• ·EWB Note originally issued June 20, 2023, for $5,000,000 principal.
• ·BDW Note issued April 5, 2024, up to $5,000,000 principal, matures October 4, 2026.
• ·2024 Convertible Note issued December 31, 2024, matured December 31, 2025.
• ·2025 Convertible Note issued March 10, 2025.
• ·2026 Secured Note issued January 5, 2026 (with multiple amendments), matured March 5, 2026.
• ·Lender has right to convert outstanding principal, interest, fees into Common Stock at any time.
• ·No voluntary prepayment allowed without Lender consent; mandatory prepayment on default or certain collateral sales.

21-04-2026

Society Pass Incorporated received a delinquency notification from Nasdaq on April 16, 2026, for failing to timely file its Form 10-K for the fiscal year ended December 31, 2025, violating Listing Rule 5250(c)(1). The notice has no immediate effect on the company's Nasdaq listing (SOPA), but non-compliance could lead to delisting. The company has 60 days until June 15, 2026, to submit a compliance plan and expects to file the 10-K within that period, potentially avoiding further action.

• ·Nasdaq may grant up to 180 calendar days from the 10-K due date (until October 12, 2026) if compliance plan is accepted.
• ·Company issued required press release on April 21, 2026 (Exhibit 99.1).
• ·Emerging growth company status confirmed.

21-04-2026

Liberty Star Uranium & Metals Corp. entered into a Securities Purchase Agreement on April 17, 2026, with 1800 Diagonal Lending LLC, issuing a convertible promissory note with an aggregate principal amount of $73,700, bearing 8% interest and a 10% Original Issue Discount, maturing on January 15, 2027. The note is convertible into shares of the company's common stock. No period-over-period financial metrics or performance comparisons are provided in the filing.

• ·Note issued effective January 15, 2025, per agreement terms.
• ·Exhibits filed: 3.81 (Convertible Promissory Note dated April 15, 2026), 3.82 (Securities Purchase Agreement dated April 15, 2026).

21-04-2026

Tri-State Generation and Transmission Association, Inc. entered into a Second Amended and Restated Credit Agreement dated April 21, 2026, amending and restating its prior agreement from April 25, 2022, to increase the Aggregate Commitments from $520,000,000 (expandable to $620,000,000) to $650,000,000 and extend the Maturity Date. The facility is administered by National Rural Utilities Cooperative Finance Corporation as Administrative Agent, Sole Lead Arranger, Swing Line Lender, and L/C Issuer, with U.S. Bank National Association as an additional L/C Issuer. Applicable Rates as of the Closing Date are based on Pricing Level 5 (e.g., 0.175% Commitment Fee, SOFR Loans +1.250%).

• ·Applicable Rate determined by Debt Ratings from S&P/Moody’s/Fitch, with changes effective upon public announcement.
• ·Alternate Base Rate defined as greatest of Prime Rate, Federal Funds Rate +0.50%, or Term SOFR (1-month) +1.00%, not less than Floor.
• ·Availability Period from Closing Date to earliest of Maturity Date, commitment termination, or default.

21-04-2026

Lightwave Logic, Inc. entered into an amendment to its Sales Agreement with Roth Capital Partners, LLC on April 20, 2026, increasing the aggregate value of common stock that may be sold to $51,404,500. The company has already sold 8,079,319 shares under the agreement for gross proceeds of approximately $35 million. These shares are registered under the company's effective shelf registration statement on Form S-3 (File No. 333-281059).

• ·Amendment dated April 20, 2026; filing dated April 21, 2026
• ·Prospectus supplements filed August 9, 2024 and April 21, 2026
• ·Legal opinion attached as Exhibit 5.1

21-04-2026

Churchill Capital Corp IX terminated its previously disclosed Merger Agreement with Plus Automation, Inc. (PlusAI), along with subsidiaries AL Merger Sub I, Inc. and AL Merger Sub II, LLC, by mutual consent effective April 20, 2026, citing market conditions. The company cancelled its extraordinary general meeting of shareholders scheduled for April 24, 2026, and the related redemption deadline. This development halts the planned business combination originally entered on June 5, 2025.

• ·Merger Agreement originally entered into on June 5, 2025
• ·Registrant is an emerging growth company
• ·Principal executive offices: 640 Fifth Avenue, 14th Floor, New York, NY 10019
• ·Telephone: (212) 380-7500

21-04-2026

CitroTech Inc. and Hexion Inc. formed HexiTech LLC, a 50/50 joint venture, to develop, manufacture, and commercialize fire-retardant products using CitroTech's FR IP licensed royalty-free within a defined field of use and Hexion's manufacturing capabilities. Hexion agreed to provide CitroTech with advances of up to $6.0 million prior to December 31, 2027, to fund capital contributions, subject to interest and repayment terms. Distributions are pro rata after priority repayments, with performance-based reallocations favoring Hexion until commercialization targets are met; no operational or financial performance metrics were reported.

• ·HexiTech managed by a board with one designee from each member plus an independent manager; fundamental actions require approval from both designees.
• ·If CitroTech fails to fund capital contributions, Hexion can advance as interest-bearing loan; unrepayment within 180 days accelerates Hexion's call option on CitroTech's interest.
• ·IP license becomes perpetual with high-teens to low-twenties percentage royalty on net sales if CitroTech exits the JV.
• ·Event date: April 17, 2026; Filing date: April 21, 2026.

21-04-2026

ENDRA Life Sciences Inc. received a Nasdaq notice on April 20, 2026, indicating that its stockholders' equity of $2,260,120 as reported in its Form 10-K for the year ended December 31, 2025, falls below the $2,500,000 minimum required under Nasdaq Listing Rule 5550(b)(1), resulting in non-compliance and potential delisting. The company intends to request a hearing before the Nasdaq Hearings Panel, which would stay delisting pending a decision, and is evaluating options to regain compliance. No assurance exists that the company will succeed in regaining or maintaining compliance.

• ·Previous compliance: Regained on November 18, 2025, subject to ongoing monitoring after extension to November 24, 2025.
• ·Initial deficiency notice: May 27, 2025; compliance plan submitted July 11, 2025.
• ·Company address: 3600 Green Court, Suite 350, Ann Arbor, MI 48105.
• ·Trading symbol: NDRA on The Nasdaq Stock Market LLC; common stock par value $0.0001 per share.

21-04-2026

Aimei Health Technology Co., Ltd. received a Nasdaq notice on April 17, 2026, for non-compliance with Listing Rule 5250(c)(1) due to failure to file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025, due March 31, 2026, after submitting a late filing notification on Form 12b-25 on April 1, 2026. The notice has no immediate effect on trading but risks delisting if unresolved, with 60 days to file the report or submit a compliance plan, potentially extendable to 180 days. The Company expects to regain compliance but provides no assurances on timing.

• ·Notification of Late Filing on Form 12b-25 filed April 1, 2026
• ·Press release issued April 21, 2026 (Exhibit 99.1)
• ·Company is an emerging growth company

21-04-2026

Celularity Inc. (Nasdaq: CELU) closed a transaction with NexGel, Inc., under which NexGel acquired certain commercial assets and an exclusive license to Celularity’s biomaterials product portfolio for $13.3 million in aggregate consideration, including $8.3 million cash and a $5.0 million convertible note. Celularity also retired nearly $13.0 million of debt, strengthening its balance sheet, while remaining eligible for up to $20.0 million in milestone payments and royalties. The deal enables Celularity to focus resources on its longevity-focused therapeutic pipeline.

• ·Transaction announced as closing on April 21, 2026
• ·NexGel received exclusive license to develop and commercialize specified products

21-04-2026

Newmark Group, Inc. amended its senior unsecured revolving credit facility on April 17, 2026, increasing its size by 50% to $900 million from $600 million and extending the maturity to April 17, 2030 from April 26, 2027, with potential to expand to $1.1 billion subject to conditions. Borrowings bear interest at Term SOFR plus a 1.625% margin (approximately 5.27% as of April 17, 2026) or base rate plus 0.625%. For the twelve months ended December 31, 2025, Newmark generated nearly $3.3 billion in revenues, operating from approximately 175 offices with over 9,300 professionals across four continents.

• ·BofA Securities, Inc. acted as active lead arranger and bookrunner; Bank of America, N.A. as Administrative Agent.
• ·Interest rate on Term SOFR borrowings approximately 5.27% as of market close on April 17, 2026.
• ·Margins vary based on company's credit rating.

21-04-2026

On April 16, 2026, Greenpro Capital Corp. closed its acquisition of a 0.99% minority interest (10 ordinary shares) in Greenophene Technologies Limited from Lim Chee Yin by issuing 800,000 restricted shares of its common stock valued at $1.50 per share, for total consideration of $1,200,000. Post-closing, the Company has 17,925,813 shares outstanding, with the seller holding approximately 4.5%. No other performance metrics or declines were reported in the filing.

• ·Acquisition Agreement originally entered on November 18, 2025.
• ·Share issuance exempt under Rule 506 of Regulation D; shares are restricted securities under Rule 144.
• ·Filing references prior 8-K on November 20, 2025, with Exhibit 2.1 (Acquisition Agreement).

21-04-2026

Milestone Scientific Inc. (NYSE: MLSS) completed a $2.15 million private placement of 7,962,963 units at $0.27 per unit, generating $1.80 million in cash proceeds and $351,000 from convertible bridge note conversions by directors and officers. The transaction, backed by long-term investors including CEO Eric Hines and the Chairman, strengthens the balance sheet to support sales, inventory, and digital marketing investments, with potential for an additional $2.69 million if cash warrants are fully exercised. No placement agent fees were incurred.

• ·Private placement closed on April 20, 2026, in accordance with NYSE American rules.
• ·Bridge notes converted were previously issued to directors and officers in 2025.
• ·No placement or underwriting discounts, commissions, or other fees paid.

21-04-2026

On April 21, 2026, Toyota Auto Receivables 2026-B Owner Trust issued asset-backed notes totaling $1,900,000,000 backed by motor vehicle retail installment sales contracts (Receivables) transferred from Toyota Auto Finance Receivables LLC. The issuance includes Class A-1 notes of $400,600,000, Class A-2a notes of $537,900,000, Class A-2b notes of $134,400,000, Class A-3 notes of $672,300,000, Class A-4 notes of $107,300,000, and Class B notes of $47,500,000. Multiple agreements were executed, including the Sale and Servicing Agreement, Indenture, and Receivables Purchase Agreement, with no performance comparisons or declines reported as this is a new securitization.

• ·Final Prospectus dated April 14, 2026
• ·Underwriting Agreement dated April 14, 2026, among TAFR LLC, TMCC, and underwriters including Mizuho Securities USA LLC as representative
• ·Depositor Certification dated April 14, 2026, previously filed on Form 8-K on April 16, 2026