US Corporate Distress Financial Stress SEC Filings — May 04, 2026

04-05-2026

Global Net Lease, Inc. (GNL) announced a definitive all-stock merger agreement to acquire Modiv Industrial, Inc. (MDV) in a transaction valued at an enterprise value of approximately $535 million, expected to be immediately 4% accretive to GNL's AFFO per share while remaining leverage-neutral with no external capital required. Modiv shareholders will receive 1.975 GNL shares per Modiv share, equating to $18.82 per share (17% premium to May 1, 2026 closing price), resulting in GNL shareholders owning 89% of the combined company. The acquisition adds high-quality industrial net-lease assets with 15.0-year weighted average lease term and 45% investment-grade tenants, extending GNL's portfolio lease term to 7.0 years pro forma from 6.1 years.

• ·Transaction expected to close in Q3 2026, subject to Modiv stockholder approval (no GNL stockholder approval required).
• ·Modiv's portfolio adjusted for previously disclosed dispositions of Northrop Grumman and Kalera properties as of Dec 31, 2025.
• ·GNL to repay all Modiv debt and preferred stock using Revolving Credit Facility and cash on hand.

04-05-2026

Ameresco reported Q1 2026 revenue of $401.5 million, up 14% YoY, driven by 16% growth in Projects to $290.5 million and 22% in O&M to $30.2 million, while Awarded Project Backlog grew 20% to $2.8 billion; however, net loss attributable to common shareholders widened to $18.3 million from $5.5 million YoY due to higher net interest expenses and adverse weather impacts on RNG sites, with Adjusted EBITDA flat at $40.5 million. The company announced a $400 million strategic investment by HASI in its biogas business, forming Neogenyx Fuels JV, and updated 2026 guidance with revenue at $2.0-2.2 billion and Adjusted EBITDA $250-270 million reflecting 70% ownership. Total Revenue Visibility stands at $10.6 billion.

• ·Gross margin of 14% impacted by adverse weather at RNG sites.
• ·Non-GAAP Adjusted Cash from Operations Q1 2026: $62.0 million.
• ·8-quarter rolling average Non-GAAP Adjusted Cash from Operations: $57.0 million.
• ·Corporate Debt Leverage Ratio: 3.2X.
• ·Energy Debt Advance Rate: 73%.
• ·Q2 2026 guidance: Adjusted EBITDA $58-62 million, Non-GAAP EPS $0.18-0.23.
• ·FY 2026 expected capex: $300-350 million.

04-05-2026

WEX Inc. announced a cooperation agreement with activist investor Impactive Capital Master Fund LP, under which the company will nominate three new independent directors—Kurt Adams, Ellen Alemany, and Lauren Taylor Wolfe—for election at the 2026 Annual Meeting of Stockholders, now rescheduled to May 14, 2026. The board will expand to 11 members, including existing nominees Daniel Callahan, Aimee Cardwell, David Foss, James Groch, Derrick Roman, Melissa Smith, Stephen Smith, and Susan Sobbott, and post-meeting, the roles of Chair and CEO will separate with Melissa Smith continuing as CEO. Impactive will withdraw its competing nomination and support the company's slate amid customary standstill and voting commitments.

• ·New Directors will serve on the Board’s Nominating and Governance, Leadership Development and Compensation, Technology and Cybersecurity, and Finance and Audit Committees.
• ·Impactive will withdraw its nomination notice and support the revised Board slate.
• ·Additional proxy materials reflecting the revised slate of 11 nominees to be filed with the SEC; shareholders previously voting on Impactive’s white proxy card must submit new instructions on WEX’s blue proxy card.

04-05-2026

Lisata Therapeutics, Inc. entered into an Amendment and Waiver to its March 6, 2026 Merger Agreement with Kuva Labs Inc. (Parent) and Kuva Acquisition Corp. (Purchaser), extending the tender offer commencement deadline from 26 to 59 business days due to Parent's delay, which highlights execution risks in the acquisition process. Parent will make non-refundable Interim Operating Payments totaling $1.1 million to cover Lisata's expenses during the delay, while Lisata waives related claims upon payment and offer commencement. The waiver period runs until May 29, 2026, with cooperation required to avoid further delays.

• ·Waiver Period: From May 3, 2026, until May 29, 2026
• ·Offer commencement extended to 59 Business Days after March 6, 2026
• ·Lisata may terminate waiver sections if Parent misses payments or commits material breach uncured within 2 Business Days
• ·Interim payments terminate upon Offer commencement or Merger Agreement termination

04-05-2026

TG-17, Inc. (OBAI), through its CEO Doron Kempel, filed Amendment No. 1 to the Certificate of Designations, Preferences and Rights of its Series C Convertible Preferred Stock, originally filed on September 16, 2025. The amendment, approved by the Board of Directors and requisite shareholders on May 4, 2026, adds a new Section 4(f) imposing a leak-out restriction: holders collectively cannot sell more than 10% of daily trading volume in conversion shares, unless sold at or above 115% of the prior day's closing sale price. All other provisions remain unchanged.

• ·Amendment executed pursuant to Nevada Revised Statutes Section 78.1955
• ·Original Certificate of Designations filed September 16, 2025

04-05-2026

Global Net Lease, Inc. (GNL) has entered into a definitive merger agreement to acquire Modiv Industrial, Inc. in an all-stock transaction with an enterprise value of approximately $535 million, offering Modiv common stockholders 1.975 GNL shares per Modiv share, equating to $18.82 per share—a 17% premium to Modiv's May 1, 2026 closing price and 28% to its unaffected price. The transaction is expected to be immediately 4% accretive to GNL's AFFO per share, leverage-neutral with $6 million in annual synergies, and extend GNL's weighted average lease term from 6.1 years to 7.0 years pro forma, while providing Modiv stockholders a 25% dividend increase. Closing is anticipated in Q3 2026, subject to Modiv stockholder approval, with GNL stockholders owning 89% of the combined entity.

• ·Transaction structured as all-stock, leverage-neutral; GNL to repay Modiv debt and preferred stock using revolver and cash on hand.
• ·Modiv portfolio: 45% investment-grade tenants (23% actual, 22% implied), geographically diversified across U.S. industrial markets.
• ·No changes to GNL executive management or Board; Modiv stockholder approval required, no GNL approval needed.
• ·Advisors: BMO Capital Markets (GNL financial), Truist Securities (Modiv financial).

04-05-2026

Apimeds Pharmaceuticals US, Inc. entered into a Settlement Agreement on April 24, 2026, resolving disputes from a prior Merger Agreement, under which Lokahi Therapeutics retains the Apitox program and provides a $4M working capital contribution plus forgiveness of a $750k advance, while the Company forms Newco and distributes 51% of Lokahi stock. Concurrently, a Forbearance Agreement with Alto Opportunity Master Fund grants temporary relief from defaults on an $11M convertible note until June 30, 2026, subject to strict conditions including timely 10-K filing and NYSE compliance. However, the Side Letter allows potential merger unwind if the 10-K is delayed past April 30, 2026 or receives a qualified audit opinion, and board changes introduce interim uncertainty with Mr. Koo's resignation and planned transition to new directors.

• ·Irrevocable proxy granted by Inscobee Parties to Dr. Vin Menon and Captain Sandeep Singh Yadav until the later of NYSE approval, Preferred Stock Conversion, NYSE denial, or July 30, 2026.
• ·Newco to receive 10% of net financing proceeds from Company's existing investor arrangement; spin-off expected within 12 months, extendable by another 12 months.
• ·Forbearance Conditions include 10-K filing by April 30, 2026, registration statement effective by June 30, 2026, 1-for-10 reverse stock split, and NYSE compliance by June 30, 2026.
• ·Stockholder Consents purporting to remove directors declared void; board temporarily reduces to three members during Interim Period until 10-K filing.

04-05-2026

Cabaletta Bio, Inc. (CABA) announced the pricing of an underwritten public offering of 51,725,000 shares of common stock at $2.90 per share, expected to generate approximately $150 million in aggregate gross proceeds before expenses. The offering includes participation from Bain Capital Life Sciences, Adage Capital Management, Cormorant Asset Management, Eli Lilly and Company, and other investors, with TD Cowen, Guggenheim Securities, and Cantor as joint book-running managers. The offering is expected to close on or about May 5, 2026, subject to customary conditions.

• ·Offering priced at $2.90 per share, representing the at-the-market price under Nasdaq rules.
• ·All shares sold by Cabaletta; pursuant to shelf registration on Form S-3-ASR (File No. 333-278126), effective March 31, 2025.
• ·Headquarters and labs located in Philadelphia, PA.

04-05-2026

CNS Pharmaceuticals, Inc. entered into a private placement with institutional investors for 650,000 shares of common stock at $2.30 per share and pre-funded warrants to purchase 9,143,479 shares at $2.299 per warrant, expecting gross proceeds of approximately $22.5 million before fees for acquiring new assets and general corporate purposes. Jerzy (George) Gumulka resigned from the Board without any disagreements, and Michal Fisher was appointed as an independent director with extensive life sciences experience. The offering includes a 120-day lock-up on equity sales and restrictions on variable rate transactions for one year.

• ·Closing of offering expected on May 5, 2026, subject to customary conditions.
• ·Registration statement for resale of shares to be filed within 15 days of closing, effective within 60 days (or 90 days if reviewed).
• ·No equity sales or variable rate transactions for 120 days post-registration effectiveness (with exceptions), and no variable rate transactions for one year post-closing.

04-05-2026

Ecovyst Inc., as Purchasers’ Guarantor, along with its subsidiaries New Structure Subco Inc. (US Purchaser) and EV Industrial Chemical Subsidiary Holdings Inc. (Canadian Purchaser), entered into a Share Purchase Agreement dated May 1, 2026, to acquire the entire issued share capital of INEOS Calabrian Holdings Corp. and INEOS Calabrian Corporation Canada, Inc. from INEOS sellers, including INEOS Calabrian Holdings Limited and INEOS Calabrian Canada Holdings Limited. The transaction involves the business of developing, manufacturing, marketing, distributing, and selling on-purpose SO2 and derivatives (SMBS, SBS, STS), subject to conditions including warranties and a MAC condition, with completion arrangements outlined but no purchase price disclosed in the filing. INEOS Enterprises Holdings Limited acts as Sellers’ Guarantor.

• ·Agreement dated May 1, 2026; SEC filing date May 4, 2026.
• ·Accounts Date: 31 December 2025.
• ·Conditions include Warranty Condition and MAC Condition (incomplete in excerpt).

04-05-2026

Track Group, Inc. completed a comprehensive recapitalization and debt refinancing, reducing net debt by ~$27 million (~63% decrease) and net leverage from 7.2x to 2.6x through a $21 million 5-year term loan, $10.3 million PIPE financing (29,471,429 shares at $0.35/share), and discounted debt settlements. Debt maturity extended to 5 years with anticipated annual cash interest savings of ~$200,000. The board was reconstituted with new directors including Denver Smith as Chairman, representing ~75% of go-forward ownership for enhanced alignment.

• ·New credit facility includes 0% mandatory amortization in years 1-2, 5% thereafter.
• ·PIPE participants: TRCK Management (1.5%), CRC (49.25%), JCP (49.25%).
• ·Legal counsel: Disclosure Law Group and Winston & Strawn LLP (Company); Olshan Frome Wolosky LLP and Steptoe & Johnson PLLC (CRC/JCP).

04-05-2026

SilverBox Corp IV, a SPAC, entered into a First Amendment to its Business Combination Agreement originally dated August 6, 2025, with Parataxis Holdings LLC, Parataxis Holdings Inc., and related merger subs and representatives. The amendment extends the Outside Date for terminating the agreement if closing conditions are not met from the original date to August 6, 2026, providing additional time to complete the transaction. No financial terms or other provisions of the original agreement were modified.

• ·Original Business Combination Agreement dated August 6, 2025
• ·First Amendment dated as of May 1, 2026
• ·Amendment filed as Exhibit 2.1 in 8-K on May 4, 2026 under Items 1.01 and 9.01

04-05-2026

G-III Apparel Group's Compensation Committee awarded performance share units (PSUs) to five Named Executive Officers under the 2023 Long-Term Incentive Plan, totaling 259,115 PSUs, with vesting tied to three-year performance metrics for fiscal 2027-2029. Vesting is weighted 75% on cumulative Adjusted EBIT and 25% on average ROIC (after 28.5% hypothetical tax), adjustable from 0% to 150% of target based on achievement levels. Settlement of vested PSUs will occur on or within 90 days after April 15, 2029, subject to continued service.

• ·PSU vesting requires achievement of minimum thresholds for each metric; none vest if below minimum.
• ·Adjustments to GAAP results may apply for Adjusted EBIT and ROIC calculations in specified situations.
• ·PSU share count adjustable for stock splits, dividends, and other extraordinary corporate events.

04-05-2026

Allied Gaming & Entertainment Inc. entered into a Share Issuance and Reimbursement Agreement with CEO Yangyang Li, providing for conditional issuance of shares equal to 25% of the company's estimated maximum exposure under a $5,936,738.36 guaranty to Knighted Pastures, LLC (at $0.30/share) in recognition of his personal guaranty, plus unconditional reimbursement of any payments made by him at 8.75% interest. Separately, the company agreed to grant General Counsel Xiao Yundan up to 3,000,000 shares worth $900,000 under the 2019 Equity Incentive Plan as compensatory equity to address compensation gaps and promote retention, subject to vesting and conditions. Both issuances are contingent on special committee approval, fairness opinion, stockholder vote, Plan amendment, and Nasdaq compliance, with no shares issued yet.

• ·CEO share issuance conditioned on Special Committee approval with independent counsel and financial advisor fairness opinion.
• ·GC Award requires stockholder approval of Plan share reserve increase at next annual or special meeting.
• ·6-month lock-up on GC Award shares post each vesting date.
• ·Reimbursement obligation to CEO effective immediately and survives agreement termination.
• ·Guaranty dated April 10, 2026.

04-05-2026

Senseonics Holdings, Inc. entered into a Second Amendment to its Loan and Security Agreement on May 1, 2026, providing up to $140.0 million in senior secured term loans, including a $10.0 million Tranche 2 Loan to be funded at closing on May 6, 2026, and an expected $10.0 million Tranche 3A Loan, with additional tranches up to $95.0 million available subject to milestones. Loans mature on September 3, 2029, bear interest at the greater of prime rate plus 2.40% or 9.90%, and include issuance of warrants for 2.0% of funded amounts. The amendment involves prepayment fees of 3.0%-1.0% and various fees totaling $200,000 at closing plus tranche-specific fees.

• ·Interest-only payments through October 1, 2028, or Maturity Date if 2025 Tranche 3B Milestone met
• ·Additional Warrants exercisable through seventh anniversary or certain acquisitions
• ·Exercise price for warrants based on three-day VWAP prior to issuance

04-05-2026

Ekso Bionics Holdings, Inc. (EKSO) filed a Form 8-K on May 04, 2026, disclosing entry into a material definitive agreement (Item 1.01), unregistered sales of equity securities (Item 3.02), material modifications to rights of security holders (Item 3.03), and amendments to articles of incorporation or bylaws (Item 5.03). Exhibit 3.1 was attached, referencing an exhibit document (ex3-1.htm). No quantitative financial metrics or period-over-period comparisons were detailed in the provided content.

• ·Filing Items: 1.01, 3.02, 3.03, 5.03, 9.01
• ·Subcategory: Material Agreement Entry

04-05-2026

MacroGenics, Inc. (Nasdaq: MGNX) entered into an expanded royalty purchase agreement with Sagard Healthcare Partners, receiving a $60 million upfront cash payment and eligibility for an additional near-term 2026 sales-based milestone of up to $20 million on future global net sales of ZYNYZ® (retifanlimab-dlwr). Under the terms, Sagard's capped royalty interest will revert to MacroGenics once Sagard receives total payments of 1.7x its investment by September 30, 2032, or 2.0x thereafter. MacroGenics retains its other economic interests in ZYNYZ, which is licensed to Incyte Corporation.

• ·Initial ZYNYZ royalty purchase agreement entered in June 2025.
• ·ZYNYZ is a PD-1 inhibitor indicated for specific cancer treatments including squamous cell carcinoma of the anal canal (SCAC) and Merkel cell carcinoma (MCC).

04-05-2026

Lattice Semiconductor reported Q1 2026 revenue of $170.9 million, up 42.2% YoY from $120.2 million and 17.2% QoQ from $145.8 million, with record Compute & Communications revenue and Industrial & Embedded growth exceeding 20% QoQ. Non-GAAP gross margin reached 70.0% (up 100 bps YoY), non-GAAP EPS of $0.41 (up 86.2% YoY), and adjusted EBITDA margin of 39.6% (up 620 bps YoY); however, operating cash flow margin fell to 29.4% QoQ from 39.5%, and non-GAAP free cash flow margin declined to 23.2% QoQ from 30.2%. The company signed a definitive agreement to acquire AMI for $1.65 billion ($1.0 billion cash + $650 million stock), expected to close in Q3 2026 and be accretive to non-GAAP gross margin, FCF, and EPS.

• ·Q2 2026 revenue guidance: $175M to $195M (~50% YoY growth expected).
• ·Q2 2026 non-GAAP gross margin expected: 70% +/- 1%.
• ·Q2 2026 non-GAAP operating expenses expected: $64M to $67M.
• ·Q2 2026 non-GAAP EPS expected: $0.42 to $0.46.
• ·AMI acquisition expected accretive to non-GAAP gross margin, FCF, and EPS; supports $1B+ annual revenue run rate by Q4 2026.

04-05-2026

Rein Therapeutics, Inc. (RNTX) announced the pricing of a $50 million underwritten public offering of 50 million shares of common stock at $1.00 per share, with gross proceeds of $50 million before expenses, and a 45-day underwriter option for an additional 7.5 million shares. The offering, expected to close on or about May 4, 2026, will fund the ongoing Phase 2 trial of LTI-03 in idiopathic pulmonary fibrosis (IPF) through completion, working capital, and general corporate purposes, with net proceeds and existing cash sufficient into 2028. No declines or flat metrics reported.

• ·Offering closes on or about May 4, 2026, subject to customary conditions.
• ·Konik Capital Partners, LLC acting as sole book-running manager.
• ·LTI-03 has Orphan Drug Designation in the U.S.; LTI-01 has Orphan Drug Designation in U.S. and E.U., and Fast Track Designation in U.S.
• ·Registration statement on Form S-1 (File No. 333-295390) effective April 30, 2026.

04-05-2026

Alcoa Corporation and borrower Alcoa Nederland Holding B.V. executed Amendment No. 3 to their Revolving Credit Agreement dated September 16, 2016 (as previously amended), extending the Initial Scheduled Maturity Date from its prior date to June 27, 2028, with reaffirmation of security obligations by Loan Parties. JPMorgan Chase Bank, N.A. acted as Administrative Agent and lead arranger, with all Lenders consenting. A consent fee of 0.05% of each Lender's aggregate outstanding Commitment is payable on the effective date.

• ·Amendment No. 3 Effective Date upon satisfaction of conditions including signatures, officer certificate confirming no Default, organizational documents, legal opinions, KYC/AML compliance, and payment of fees/expenses.
• ·Post-closing: Certain Subsidiary Guarantors to take actions per Schedule 1 within specified periods.

04-05-2026

Reliance Global Group, Inc. (Nasdaq: EZRA), through its biotech arm LifeSci Global, completed a strategic $2.0 million investment in Innervate Radiopharmaceuticals, acquiring 421,053 shares at $4.75 per share with $500,000 funded at closing and the right to accelerate further funding. The investment targets Innervate's late-stage 18F-mFBG PET imaging agent for neuroblastoma, presenting a $250 million initial market opportunity, with potential expansion into cardiovascular and neurodegenerative markets each exceeding $1 billion, alongside Priority Review Voucher upside. While offering transformative exposure to high-growth radiopharmaceuticals (U.S. sales >$2 billion, global >$5 billion), success depends on regulatory approval and commercialization, with no assurances provided.

• ·Investment approved by independent board members; interested directors recused.
• ·Innervate's neuroblastoma program advancing toward pivotal efficacy/safety study and regulatory submission.
• ·Potential for Rare Pediatric Disease Priority Review Voucher, though no assurance of receipt or monetization.

04-05-2026

Aura Biosciences entered into a stock purchase agreement on April 30, 2026, to repurchase up to 6,922,870 shares of common stock from Matrix Capital Management Master Fund, LP at $5.64 per share, funded by net proceeds from an equity offering exceeding $200 million; Matrix previously held approximately 10.8% of outstanding shares. The transaction was approved by the audit committee and board, with closing conditioned on the equity offering. Preliminary cash, cash equivalents, and marketable securities were $114.7 million as of March 31, 2026, subject to final accounting.

• ·Repurchase price per share equals underwriters' purchase price in equity offering announced May 4, 2026.
• ·Closing of repurchase expected no earlier than two business days after equity offering closing, subject to conditions.
• ·Repurchase agreement to be filed as exhibit to Q2 2026 Form 10-Q.

04-05-2026

SAB Biotherapeutics, Inc. entered into a Master Manufacturing Services Agreement (MSA) with Emergent BioSolutions Canada Inc. on April 28, 2026, for clinical and commercial manufacturing services of SAB-142 at Emergent’s facility in Canada. The MSA has a 5-year term commencing upon FDA approval of SAB-142, with a minimum aggregate spend of $36 million post-approval. Emergent holds exclusive manufacturing rights during the term, though SAB may establish limited alternative sources.

• ·MSA term may be extended by mutual amendment prior to expiration.
• ·Termination possible by either party for insolvency, material breach (30-90 day cure), non-payment (by Emergent), mutual agreement, or force majeure (90 days).
• ·Upon certain terminations by Emergent, SAB must pay minimum annual spend for remaining years less saved costs.
• ·Pricing for commercial batches and development services to be set in future amendments or statements of work, with annual adjustments.

04-05-2026

Hubbell Incorporated (NYSE: HUBB) announced a definitive agreement to acquire NSI Industries, a leading manufacturer of electrical fittings, connectors, components, and wire management products, for $3.0 billion in cash, representing ~15.5x anticipated 2026 EBITDA. The acquisition is expected to be accretive to Hubbell's adjusted EPS in 2026 and enhance its Electrical Solutions portfolio, with NSI anticipating ~$570 million in 2026 revenue; Hubbell's 2025 revenues were $5.8 billion. The deal is set to close mid-2026, financed by cash on hand, debt, and committed bridge financing, subject to regulatory approvals.

• ·Transaction anticipated to close mid-2026, subject to customary closing conditions including regulatory approvals.
• ·Financing via cash on hand, debt, and fully committed bridge from JPMorgan Chase Bank, N.A., Bank of America, N.A., and HSBC Bank USA, N.A.
• ·Advisors: Harris Williams (financial, Hubbell), Wachtell, Lipton, Rosen & Katz (legal, Hubbell), Lincoln International LLC (financial, NSI/Sentinel), Kirkland & Ellis LLP (legal, NSI/Sentinel).

04-05-2026

Mobile Global Esports Inc. entered into a Securities Purchase Agreement dated May 1, 2026, for the issuance and sale of a 6% convertible redeemable note with an aggregate principal amount of $130,000 (purchase price of $117,000 after a $13,000 original issue discount) to an accredited investor, convertible into shares of common stock. The closing occurred on or about April 29, 2026, in reliance on exemptions from securities registration under the 1933 Act. The company acknowledges the potentially dilutive effect of conversion shares on existing shareholders, with no other performance metrics reported.

• ·Agreement relies on exemptions from registration under the Securities Act of 1933
• ·Buyer represents as an accredited investor with no present intent for public resale
• ·Company headquartered at 500 Post Road East, Westport, CT 06880
• ·Note issuance authorized by Board of Directors; no shareholder approval required
• ·Closing via wire transfer of immediately available funds

04-05-2026

Turtle Beach Corporation (Nasdaq: TBCH) closed a restructured credit facility replacing its prior $150 million agreement with an $80 million revolving ABL facility from Bank of America, N.A., and an $85 million term loan from Blue Torch Capital LP, enhancing flexibility for its capital return program. The company has repurchased approximately $49 million of common stock since 2024 under its $75 million share repurchase authorization from May 2025, leaving about $56 million remaining. This new structure includes covenants designed to support ongoing opportunistic share repurchases.

• ·ABL interest: SOFR plus 150 to 200 basis points; maturity 3 years
• ·Term loan interest: SOFR plus 675 to 750 basis points; maturity 3 years
• ·New facilities include financial covenants designed to accommodate active share repurchase program
• ·Filing date: May 04, 2026

04-05-2026

On May 4, 2026, CBRE Services, Inc., a wholly-owned subsidiary of CBRE Group, Inc., completed a $750,000,000 offering of 5.250% Senior Notes due June 1, 2036, fully and unconditionally guaranteed by CBRE Group, Inc. The notes bear interest at 5.250% per annum, payable semi-annually starting December 1, 2026, and the net proceeds will be used to repay borrowings under the company's commercial paper program. The issuance is governed by the Thirteenth Supplemental Indenture with Computershare Trust Company, National Association as trustee.

• ·Underwriting agreement dated April 27, 2026, with Wells Fargo Securities, LLC, BofA Securities, Inc., Citigroup Global Markets Inc., and Scotia Capital (USA) Inc.
• ·Indenture includes covenants limiting liens, sale/leaseback transactions, and mergers/consolidations, with exceptions.
• ·Notes rank equal with existing senior indebtedness and senior to future subordinated indebtedness, but effectively subordinated to secured debt.

04-05-2026

Phreesia, Inc. and its affiliates, including AccessOne Funding, LLC (Seller), AccessOne MedCard, Inc. (Servicer), and AccessOne Holdings, Inc. (Performance Guarantor), entered into Amendment No. 9 to the Receivables Purchase and Administration Agreement with PNC Bank, National Association (Purchaser and Administrative Agent) and PNC Capital Markets LLC (Structuring Agent), effective April 30, 2026. Concurrently, an Amended and Restated Fee Letter and Amended and Restated Performance Guaranty were executed, with Phreesia directly participating in the Performance Guaranty. The parties confirmed no Events of Termination or defaults, ratifying the agreement with representations of ongoing compliance and binding obligations.

• ·Original Receivables Purchase and Administration Agreement dated March 31, 2020
• ·Effectiveness conditions include payment of Upfront Fee (per Fee Letter), fees/expenses (including Mayer Brown LLP invoices dated December 30, 2025, March 12, 2026, and April 29, 2026), and delivery of specified documents
• ·Governed by New York law with jurisdiction in New York courts

04-05-2026

Regional Management Corp. entered into amendments on April 28, 2026, to its Senior Revolving Credit Facility and multiple warehouse facilities (RMR IV, V, VI, VII), extending revolving periods (e.g., to May 2027 for RMR IV, October 2027 for RMR VII) and maturities (e.g., to May 2028 for RMR IV, April 2029 for RMR VI), while incorporating provisions for pledging bank-originated receivables. Positive changes include a reduced interest margin to 2.1% per annum for RMR VII; however, the advance rate for RMR VII was reduced from 76.0% to 72.5% under certain conditions post-securitization trigger holiday.

• ·RMR IV: revolving period extended to May 2027, maturity to May 2028.
• ·RMR V: revolving period extended to November 2027, maturity to November 2028.
• ·RMR VI: revolving period extended to April 2028, maturity to April 2029; removed minimum credit score for Eligible Receivables.
• ·All amendments add subsidiaries to 'Originator' definition and incorporate bank partner receivable pledge terms upon conditions.

04-05-2026

On April 28, 2026, SG Echo LLC, a wholly-owned subsidiary of Olenox Industries Inc. (formerly Safe & Green Holdings Corp., ticker SGBX), filed a voluntary Chapter 11 bankruptcy petition in the U.S. Bankruptcy Court for the Eastern District of Oklahoma to pursue a court-administered reorganization plan. The filing triggered an event of default, accelerating approximately $4 million (plus accrued interest) in obligations under the Loan and Security Agreement with Enhanced Capital Oklahoma Rural Fund, LLC, though enforcement is automatically stayed. While the parent company and other affiliates continue normal operations, and the debtor plans to operate as debtor-in-possession during the process.

• ·Bankruptcy case number: 26-80385
• ·Court: United States Bankruptcy Court for the Eastern District of Oklahoma, Muskogee, OK
• ·Creditors' meeting: June 1, 2026 at 10:00 AM (telephonic)
• ·Proof of claim deadlines: July 12, 2026 (non-governmental), October 29, 2026 (governmental)
• ·Deadline for complaint to except debt from discharge: July 31, 2026

04-05-2026

XCF Global's subsidiary New Rise Renewables Reno entered a forbearance agreement dated April 27, 2026, with landlord Twain GL XXVIII, LLC, for the Reno facility ground lease, extending through January 1, 2027, subject to compliance including payments, amid alleged events of default. The facility, commissioned in February 2025 with commercial operations starting March 2025, has produced more than 2.5 million gallons of renewable fuels including SAF, renewable diesel, and renewable naphtha, and holds a permitted capacity of 38 million gallons per year, targeting a return to operations in June 2026 following upgrades. However, ongoing disputes with the landlord and primary lender, along with operational interruptions, pose risks to stability.

• ·Forbearance agreement filed as Exhibit 99.1 on Form 8-K
• ·Facility upgrades focus on operating stability, equipment readiness, quality systems, and start-up procedures
• ·Forward-looking statements highlight risks including disputes with landlord and lender, Nasdaq compliance, and financing needs

04-05-2026

NKGen Biotech, Inc. and NKGen Operating Biotech, Inc. entered into an omnibus amendment to their secured convertible loan agreement with AlpineBrook Capital GP I Limited, effective April 28, 2026, securing an additional $607,200 convertible loan (net proceeds of $552,000 after a $55,200 facilitation fee). In connection, NKGen Bio will issue 12,009,780 shares of common stock in five installments over 25 months and an additional warrant to purchase common stock. The amendment also expands capacity for up to $15,000,000 in aggregate additional loans, building on the original $39,922,134.22 note, but introduces significant equity dilution.

• ·Amendment allows Lender discretion for additional loans up to $15M aggregate principal
• ·Shares issuable following increase of authorized capital stock per Section 3.1.22 of Loan Agreement
• ·Original agreements dated April 15, 2026; amendment effective April 28, 2026; SEC filing May 04, 2026

04-05-2026

Hoth Therapeutics, Inc. received a notification letter from Nasdaq on April 30, 2026, stating non-compliance with Nasdaq Listing Rule 5550(a)(2) due to the common stock's closing bid price falling below $1.00 per share for 30 consecutive business days from March 18 to April 29, 2026. The stock continues to trade on the Nasdaq Capital Market under symbol 'HOTH' with no immediate delisting effect, and the company has 180 calendar days until October 27, 2026, to regain compliance by achieving a $1.00 closing bid price for at least 10 consecutive business days. The company intends to monitor the bid price and may implement a reverse stock split if needed.

• ·Nasdaq Listing Rule 5810(c)(3)(A) defines deficiency as continuing for 30 consecutive business days.
• ·Potential second 180-day compliance period if other Nasdaq Capital Market listing requirements are met (except bid price).
• ·Company's principal executive offices: 720 Monroe Street, Suite E514, Hoboken, NJ 07030.

04-05-2026

Global Business Travel Group, Inc. (NYSE: GBTG), operating as American Express Global Business Travel (Amex GBT), has agreed to be acquired by Long Lake Management in an all-cash transaction valued at approximately $6.3 billion, or $9.50 per share, representing a 65.1% premium to the 30-day VWAP and 60.2% to the May 1, 2026 closing price. Major shareholders holding 69% of shares, including American Express, Expedia, Qatar Investment Authority, and BlackRock, have entered voting agreements in support, with the American Express brand licensing agreement to remain in place. The deal, approved by a Special Committee and full Board, is expected to close in the second half of 2026, subject to stockholder approval and regulatory clearances, with no financing condition.

• ·Transaction financed by equity from Long Lake’s existing investors and Koch Equity Development LLC, plus committed debt from JPMorgan, Bank of America, Citi, and MUFG.
• ·Rothschild & Co. financial advisor and Kirkland & Ellis legal counsel to Special Committee; Citi lead financial advisor to Long Lake.
• ·No financing condition; potential rollover discussions with significant stockholders authorized by Special Committee.

04-05-2026

Rallybio Corporation (RLYB) executed a waiver on May 1, 2026, to its March 1, 2026 merger agreement with Candid Therapeutics, Inc., allowing Candid to pursue acquisition proposals from UCB S.A. without notice periods or breach claims, effectively paving the way for termination of the Rallybio deal. Upon termination and entry into a UCB agreement, Candid must pay Rallybio a $50,000,000 Parent Termination Fee plus $375,000 reimbursement by May 4, 2026. No other financial impacts or ongoing obligations are noted post-payment.

• ·Waiver permits termination via Section 9.1(h) without concurrent fee payment requirement, but fee still obligatory
• ·Waiver also releases restrictions under Company Stockholder Support Agreement Section 1.7 for UCB proposals
• ·Post-payment, all parties released from further claims related to the agreement or contemplated transactions
• ·Original merger agreement dated March 1, 2026

04-05-2026

1606 Corp. (OTC: CBDW) signed a definitive agreement to acquire a majority controlling interest in Sim Agro Inc., a global power-plant operations company with $2.5M in inventory and a team spanning the U.S., India, South Korea, Europe, and the Middle East offering 40+ years of combined experience. The deal supports 1606's strategy for captive power and data center infrastructure for AI and high-performance computing, including operation of a previously announced 132-acre Texas power property, with a lien restructuring reducing its net acquisition cost by $4.2M. Transactions are subject to closing conditions, with the Texas property scheduled to close on May 22, 2026.

• ·Sim Agro global team spans U.S., India, South Korea, Europe, and Middle East.
• ·Dr. Karthik Raghavan to be appointed to 1606 Board and enter employment contract at closing.
• ·Transaction consideration: combination of shares and cash.
• ·Texas property PSA closing scheduled for May 22, 2026.

04-05-2026

Jaguar Health, Inc. received a Nasdaq notice on May 1, 2026, stating that post a 1-for-35 reverse stock split on April 30, 2026, the company has only approximately 401,226 publicly held shares of common stock, falling short of the 500,000 minimum required by Nasdaq Listing Rule 5550(a)(4). This deficiency provides an additional basis for delisting and will be considered by the Nasdaq Hearings Panel, with the company required to respond in writing by May 8, 2026. The company is working to regain compliance, including achieving a $1.00 closing bid price for 10 consecutive business days, but there is no assurance of success, risking delisting.

• ·Nasdaq Listing Rule 5810(c)(3)(A): Company remains non-compliant with $1 bid price and Publicly Held Shares requirements until cured and $1.00 closing bid price for 10 consecutive business days achieved.
• ·Nasdaq Hearings Panel to consider this in decision on continued listing on The Capital Market.

04-05-2026

Assertio Holdings, Inc. (Nasdaq: ASRT) entered into an Amended and Restated Merger Agreement with Garda Therapeutics on May 1, 2026, increasing the all-cash tender offer to $21.80 per share, totaling $153.2 Million, a 21.1% premium to the prior April 8, 2026 offer and 63.1% premium to the unaffected stock price on March 20, 2026. The transaction, approved by Assertio's Board as the most favorable for stockholders, is expected to close in Q2 2026 subject to majority tender and customary conditions, after which Assertio's stock will delist from Nasdaq. This follows the April 8, 2026 sale of non-Rolvedon assets to Cosette Pharmaceuticals, with 2026 guidance withdrawn and no Q1 conference call.

• ·Assertio completed sale of non-Rolvedon assets to Cosette Pharmaceuticals on April 8, 2026.
• ·Transaction subject to customary closing conditions including tender of majority of outstanding shares.
• ·Assertio withdrawing 2026 guidance and not hosting Q1 2026 conference call; Form 10-Q expected by May 11, 2026.
• ·Advisors: Moelis & Company LLC (financial), Gibson, Dunn & Crutcher LLP (legal), Longacre Square Partners (strategy and communications).

04-05-2026

VPR Brands, LP filed an 8-K announcing the Third Amendment to its Limited Partnership Agreement, effective April 28, 2026, by General Partner Soleil Capital Management L.L.C., which amends the previously unissued Class A Preferred Units originally created in 2020. The amendment authorizes 250,000,000 Class A Units with a $1.00 stated value each, featuring no voting or dividend rights, non-transferability without consent, and convertibility into Common Units at a $1.15 conversion price once the Common Units' closing price exceeds $1.15 for 20 consecutive trading days. No Class A Units are currently issued or outstanding.

• ·Class A Units rank pari passu with Common Units on liquidation and have no preferential rights.
• ·Class A Units have no mandatory dividend or distribution rights.
• ·Conversion requires notice by 11:59 p.m. New York time; Partnership delivers Common Units within 3 business days.
• ·Conversion Units may bear restrictive legends until registered or eligible under Rule 144.
• ·Previous creation of Class A Units via Second Amendment dated January 23, 2020.

04-05-2026

Flex (NASDAQ: FLEX) completed its acquisition of Electrical Power Products, Inc. (EP²) on May 4, 2026, expanding its Critical Power portfolio with engineered-to-order electrical power control and protection capabilities for utility, power generation, and data center customers. The deal strengthens Flex’s market presence through EP²’s deep engineering expertise, U.S. manufacturing scale in the Midwest, and over 35 years of experience, supporting growth from grid modernization, electrification, data center demand, and U.S. reshoring. EP²’s employees, leadership, and facilities will integrate into Flex’s Embedded and Critical Power business.

• ·EP² headquartered in Des Moines, Iowa
• ·Filing Items: 1.01, 2.03, 7.01, 9.01

04-05-2026

Sturm, Ruger & Company, Inc. (NYSE: RGR) entered a Strategic Cooperation Agreement with Beretta Holding S.A., its largest shareholder, permitting Beretta to increase its ownership to up to 25% through a partial tender offer at a minimum price of $44.80 per share (~20% premium to the 60-day VWAP), subject to regulatory approvals. Beretta gains the right to nominate up to two independent directors post-2026 Annual Meeting, commits to a three-year standstill without proxy contests, and will vote shares in line with the Ruger Board. The agreement promotes stability, long-term value creation, and potential commercial cooperation while maintaining Ruger's independence.

• ·Beretta Holding has withdrawn its director nominations for the 2026 Annual Meeting.
• ·Beretta Holding standstill includes no proxy contests or similar actions for three years, with voting aligned to Ruger Board recommendations (except ISS/Glass Lewis adverse votes or certain extraordinary transactions).

04-05-2026

Trio-Tech International, through its subsidiary Trio-Tech (Malaysia) SDN BHD, entered into a lease agreement with Skygate Technology (M) SDN. BHD. for approximately 104,000 square feet of manufacturing space in Perai, Pulau Pinang, effective June 1, 2026, for a two-year term ending May 30, 2028, with an option for one additional year. Monthly base rent is approximately $115,000, accompanied by a $539,000 security deposit refundable without interest under certain conditions. The agreement requires payment of Malaysian Sales and Service Tax, with landlord termination rights upon default.

• ·Lease premises address: 2481, Tingkat Perusahaan 4, Kawasan Perusahaan Perai, 13600 Perai, Pulau Pinang
• ·Agreement signed April 28, 2026; earliest event reported April 30, 2026; filing date May 4, 2026

04-05-2026

Global Water Resources, Inc. entered into a Seventh Modification Agreement with The Northern Trust Company effective April 30, 2026, extending the Scheduled Maturity Date of its revolving loan facility (original $10M, increased to $20M maximum principal) from May 18, 2027, to May 18, 2028; the unpaid principal balance stands at $0.00. The agreement ratifies all existing Revolver Documents and Security Documents, with consents from subsidiary guarantors including Global Water, LLC, West Maricopa Combine, LLC, and Global Water Holdings, Inc. No material adverse changes or defaults were reported.

• ·Previous modifications: First on April 30, 2021; Second on July 26, 2022; Letter Agreement on August 25, 2022; Third on June 28, 2023; Fourth on October 26, 2023; Fifth on July 1, 2024; Sixth on April 10, 2025.
• ·Security provided by Pledge and Security Agreements from Global Water, LLC (April 30, 2020), West Maricopa Combine, LLC (April 30, 2020), and Global Water Holdings, Inc. (April 30, 2021).