Global High-Priority Regulatory Events — August 28, 2026

28-08-2026

Jatalia Global Ventures Ltd, under CIRP, held its first Monitoring Committee meeting on August 27, 2026, following NCLT approval of its resolution plan by Norfolk Technology Services Limited. The meeting was conducted online and concluded successfully, marking progress in the insolvency resolution process.

• · NCLT New Delhi Bench (Court-II) approved the resolution plan on 09.07.2026 in CP No. IB-263/ND/2023.
• · Monitoring Committee constituted on 16.07.2026.
• · Meeting held via online AV conference, commenced at 05:39 PM and concluded at 7:49 PM.
• · Scrip Code: 519319.

28-08-2026

Strategic Storage Trust VI, Inc. filed an S-4 registration statement on August 28, 2026, primarily related to a potential merger with Strategic Storage Growth Trust III, Inc. The filing details the company's debt portfolio, including multiple loans secured by self-storage properties in the U.S. and Canada, with several loans repaid and terminated in early 2025. The company has entered into interest rate swap agreements to fix variable rates on certain loans, with the SOFR swap rate improving from 2.29% to 1.54% between December 2025 and June 2026, while the CORRA swap remained at 3.03%.

• · Several loans were repaid and terminated in early 2025 without fees or penalties: National Bank of Canada – Burlington Loan, Cambridge Loan, North York Loan, Ontario Loan, First National Loan, and Bank of Montreal Loan.
• · As of June 30, 2026, the Huntington Credit Facility variable rate loan encumbers 11 properties (Phoenix I, Las Vegas, Phoenix II, Surprise, Apopka, Portland, Newark, Levittown, Chandler, St. Johns and Oxford) with an interest rate swap fixing SOFR at 1.54%.
• · As of December 31, 2025, the same Huntington loan had a swap fixing SOFR at 2.29%.
• · The National Bank of Canada four-property loan (Burlington, Cambridge, North York, Edmonton) has a swap fixing CORRA at 3.03% as of both December 31, 2025 and June 30, 2026.
• · The QuadReal seven-property fixed rate loan (Mississauga, Mississauga II, Burlington II, Hamilton, Vancouver, Woodbridge, Toronto) amounts are in USD based on the foreign exchange rate in effect as of the balance sheet date.
• · The Etobicoke, ONT development property is encumbered by a variable rate loan.
• · Interest rate derivatives were terminated during the first quarter of 2025.
• · A notional amount denominated in USD, designated as a cash flow hedge, was terminated during the first quarter of 2026.

28-08-2026

Netcapital Inc. received a Nasdaq delinquency notice on August 24, 2026, for failing to file its Annual Report (Form 10-K) for the fiscal year ended April 30, 2026, violating Listing Rule 5250(c)(1). The company has 60 days (until October 23, 2026) to submit a compliance plan, with a possible extension to February 9, 2027. While the notice has no immediate effect on trading, non-compliance will be publicly broadcast, and there is no assurance Nasdaq will accept the plan or that compliance can be regained.

• · The delinquency notification was received on August 24, 2026, and the 8-K was filed on August 28, 2026.
• · The company's common stock (NCPL) and warrants (NCPLW) are listed on Nasdaq.
• · If the compliance plan is not accepted, the company can appeal to a Nasdaq Hearings Panel under Rule 5815(a).
• · A press release announcing the notice was issued on August 28, 2026, and is attached as Exhibit 99.1.

28-08-2026

Sun Granite Export Ltd has disclosed its list of creditors as of August 27, 2026, and the Interim Resolution Professional has constituted the Committee of Creditors under the Corporate Insolvency Resolution Process. The company does not maintain a functional website, so the list is being submitted to the stock exchange. No financial figures or creditor amounts are provided in this filing.

• · The list of creditors is filed under Regulation 30 of SEBI LODR and Regulation 13(2) of IBBI CIRP Regulations.
• · The Committee of Creditors has been constituted based on verified and admitted claims.
• · The report certifying constitution of CoC is being filed with the Hon'ble National Company Law Tribunal.
• · The list of creditors is subject to revision/updation from time to time.

28-08-2026

S V Global Mill Limited announced a scheme to cancel 10,91,187 unclaimed physical shares (6% of paid-up capital) to reduce administrative costs and move all shares to demat mode. Promoter holdings will rise from 69% to 73% post-cancellation, while non-promoter holdings shrink. The scheme requires approval from stock exchange, SEBI, shareholders, and NCLT.

• · Face value per share remains Rs 5/-; no reduction due to accumulated losses.
• · Continuing shareholders not diluted or written down in value.
• · No benefit accrues to promoter or promoter group from restructuring.

28-08-2026

BioXcel Therapeutics has filed for Chapter 11 bankruptcy and entered into a stalking horse asset purchase agreement with Teva Pharmaceuticals. Teva will acquire substantially all of the company's assets for $57.5 million upfront cash plus assumption of liabilities, with additional contingent milestone payments of up to $67.5 million for the pending sNDA for IGALMI® at-home use and up to $20 million in commercial milestone payments. The company has appointed Samir Saleem as Chief Restructuring Officer to oversee the restructuring process, and the transaction is subject to court approval and higher bids.

• · The stalking horse bid serves as the minimum floor bid, and the transaction is subject to higher or otherwise better bids in an auction process.
• · The transaction must be consummated by October 30, 2026, or either party may terminate the agreement.
• · The company has appointed a Strategic Process Committee of the Board to evaluate and implement restructuring or sale transactions.
• · Teva has agreed to serve as the stalking horse bidder, and the company has filed a motion under Section 363 of the Bankruptcy Code to sell assets.

27-08-2026

Siren ETF Trust's Siren DIVCON Leaders Dividend ETF (LEAD) is being voluntarily delisted from Cboe BZX Exchange, Inc. The security was suspended from trading on July 15, 2026, and liquidated on August 4, 2026, with the delisting effective September 7, 2026. This filing is a routine notification under SEC Rule 12d2-2(a)(2) and does not indicate any regulatory action against the issuer.

• · Suspension date: July 15, 2026
• · Liquidation date: August 4, 2026
• · Delisting effective date: September 7, 2026
• · Filing is a voluntary delisting, not a forced removal

28-08-2026

Gayatri Highways Limited has completed the acquisition of a 23% equity stake (10,67,729 shares of INR 10 each) in HKR Roadways Limited from Kotak Special Situations Fund on August 27, 2026. The target company, which operates a BOT toll road project in Andhra Pradesh/Telangana, reported total revenue of INR 26,402.61 Lakhs in FY 2024-25, up from INR 24,578.30 Lakhs in FY 2023-24 and INR 22,539.75 Lakhs in FY 2022-23. The acquisition was initially expected to close by June 30, 2026, then extended to September 30, 2026, and was ultimately completed on August 27, 2026.

• · The acquisition was completed on August 27, 2026, after two deadline extensions (originally June 30, 2026, then September 30, 2026).
• · The target company was incorporated on August 9, 2010, and operates a PPP BOT toll road project in Andhra Pradesh/Telangana.
• · The acquisition is not a related party transaction and the promoter/promoter group has no interest in the target.
• · Approval from the Roads & Buildings Department, Government of Telangana was obtained.
• · Consideration is cash-based, with the final price to be determined at consummation of the Securities Purchase Agreement.

28-08-2026

ACC Limited has published newspaper advertisements regarding a meeting of equity shareholders to consider a Scheme of Amalgamation with Ambuja Cements Limited, as ordered by the NCLT Ahmedabad Bench on July 29, 2026. The meeting is scheduled for September 29, 2026, via video conferencing. The filing also includes a newspaper clipping about the personal insolvency proceedings of Subhash Chandra, which is unrelated to ACC Limited.

• · The meeting of equity shareholders is scheduled for Tuesday, September 29, 2026 at 10:30 a.m. IST.
• · The notice was published in the Indian Express (all editions) in English and Financial Express (Ahmedabad edition) in Gujarati on August 28, 2026.
• · The NCLT order was dated July 29, 2026.
• · The amalgamating company is ACC Limited and the amalgamated company is Ambuja Cements Limited.

28-08-2026

Ambuja Cements Limited has published newspaper advertisements convening a meeting of equity shareholders on September 29, 2026, to consider and approve the Scheme of Amalgamation of ACC Limited with Ambuja Cements, pursuant to an order dated July 29, 2026 from the Hon'ble National Company Law Tribunal, Ahmedabad Bench. The meeting will be held via video conferencing/other audio visual means. No financial figures or performance metrics are disclosed in this filing.

• · The NCLT order was dated July 29, 2026.
• · The shareholder meeting is scheduled for Tuesday, September 29, 2026 at 12:30 p.m. IST.
• · Newspaper advertisements were published on August 28, 2026 in Indian Express (English, all editions) and Financial Express (Gujarati, Ahmedabad edition).
• · Documents are available on the company's website at www.ambujacement.com.

28-08-2026

NorthStrive Acquisition Corp I. consummated its initial public offering (IPO) on August 19, 2026, issuing 10,000,000 units at $10.00 per unit for gross proceeds of $100,000,000. Simultaneously, the company completed a private placement of 231,750 units to its sponsor for $2,317,500, bringing total proceeds to $102,317,500, of which $100,000,000 is held in trust. However, the auditor's report includes a going concern explanatory paragraph, noting the company lacks sufficient capital to fund operations for one year from the balance sheet date, and the company has an accumulated deficit of $2,908,777.

• · The company is a blank check company (SPAC) incorporated in the Cayman Islands on April 27, 2026, and has not yet commenced any operations.
• · The company has not selected any specific business combination target and has not engaged in any substantive discussions with any target.
• · The auditor's report includes an explanatory paragraph about substantial doubt regarding the company's ability to continue as a going concern, as it lacks capital resources to fund operations for one year from the balance sheet date.
• · Total shareholders' deficit is $2,908,271, driven by an accumulated deficit of $2,908,777.
• · The company has 4,829,998 Class B ordinary shares issued and outstanding, of which 629,998 are subject to forfeiture if the over-allotment option is not exercised.
• · The deferred underwriting fee of $3,500,000 is a non-current liability.
• · The company's sponsor is NorthStrive Sponsor I LLC.

28-08-2026

Cupid Limited's Board has given in-principle approval to establish a South African manufacturing venture for male condoms and related products, with Cupid holding up to 49% equity and providing technical expertise while the local partner arranges capital expenditure and funding. The approval is subject to final definitive agreements, and no financial figures, timelines, or partner details have been disclosed yet.

• · The venture is driven by South Africa's increasing emphasis on domestic manufacturing, localisation, and local value addition.
• · Cupid will provide technical and manufacturing expertise, know-how, technology-transfer support, quality-control systems, and training.
• · The South African partner is responsible for arranging capital expenditure, working capital, and operating funding.
• · The in-principle approval is subject to finalisation of definitive agreements and arrangements.
• · Further disclosures will be made upon material developments, incorporation of the entity, and execution of definitive arrangements.

28-08-2026

KALA BIO, Inc. received a Staff Determination Letter from Nasdaq on August 27, 2026, notifying the company that its common stock has failed to meet the minimum bid price requirement of $1.00 per share for 30 consecutive business days (July 16, 2026 through August 26, 2026). Because the company had already effected a 1-for-50 reverse stock split on May 11, 2026, Nasdaq has determined that KALA is not eligible for the standard 180-day compliance period. The company intends to appeal the determination by requesting a hearing before the Nasdaq Hearings Panel, which will stay any suspension or delisting pending the Panel's decision, though there is no assurance of a favorable outcome.

• · The company's common stock trades under the symbol KALA on The Nasdaq Capital Market.
• · The non-compliance period ran from July 16, 2026 through August 26, 2026.
• · The company had previously effected a 1-for-50 reverse stock split on May 11, 2026, which disqualified it from the standard 180-day compliance period.
• · A timely request for a hearing will stay any suspension or delisting action pending the Panel's decision.

28-08-2026

Hero MotoCorp Limited has completed the purchase of 1,18,80,000 equity shares in Ather Energy Limited for a total consideration of approximately Rs. 1,758 crore. Following this transaction, Hero MotoCorp's shareholding in Ather has increased to about 32.8% on a fully diluted basis. The acquisition strengthens Hero MotoCorp's strategic investment in the electric vehicle space, though no prior-period comparison or performance metrics are provided in this filing.

• · The purchase was approved by the Committee of Directors of the Board on August 27, 2026.
• · The filing is made under Regulation 30 of the SEBI Listing Regulations.
• · No prior-period shareholding percentage or comparison is disclosed.

28-08-2026

Dhoot Transmission Ltd has acquired 75,000 equity shares of its wholly-owned subsidiary, Dhoot Transmission UK Limited, for an aggregate consideration of GBP 24,00,000 (₹31,31,57,799) on August 27, 2026. The capital infusion is intended to repay or prepay the subsidiary's outstanding borrowings, enabling further investment in business growth and expansion. While the subsidiary's turnover in FY2025-26 was GBP 74,08,346 (₹87,74,14,126), this represents a decline of approximately 3.1% from the prior year's GBP 76,48,383, indicating a slight contraction in the subsidiary's revenue.

• · The subsidiary was incorporated on January 23, 2007, under the Companies Act, 1985 in the United Kingdom.
• · The acquisition is a related party transaction, done at arm's length, with no promoter/promoter group/group companies interest except for the subsidiary being a related party.
• · The shares were acquired at a face value of GBP 1 each with a premium of GBP 31 per share.
• · The capital infusion is intended to repay/prepay outstanding borrowings of the subsidiary, as disclosed in the Prospectus dated August 12, 2026.
• · No governmental or regulatory approvals were required for the acquisition.

28-08-2026

Excelsoft Technologies Limited has incorporated a wholly owned subsidiary (WOS), Excelsoft Technologies Canada Ltd., in Canada on August 27, 2026, to support its business expansion in the Canadian and broader North American markets. The WOS will serve as a Business Development and Sales hub and provide software development services. The subsidiary has nil charter capital and nil turnover as it is newly incorporated and has not yet commenced operations.

• · The WOS was incorporated on August 27, 2026, in Canada.
• · Charter capital of the WOS is nil.
• · The WOS has common directors with the company: Mrs. Shruthi Sudhanva (Promoter and Whole-time Director) and Mr. Doreswamy Palaniswamy (CEO).
• · The transaction was reviewed and approved by the Audit Committee and Board of Directors and is on an arm's length basis.
• · The company will update the stock exchanges on completion of the acquisition within 12 months.
• · Consideration will be in cash; cost details will be updated upon completion.
• · Excelsoft Technologies Limited will hold 100% shareholding in the WOS.

28-08-2026

Aspect Global Ventures Private Limited's open offer to acquire up to 25,62,872 equity shares (26% voting capital) of Duke Offshore Limited at ₹30 per share, aggregating ₹7,68,86,160, closed on August 19, 2026, with zero shares tendered. The acquirer, which had already acquired 70.61% via an underlying transaction, will retain its 70.61% stake, while public shareholding remains at 29.39%.

• · Open offer opened August 6, 2026 and closed August 19, 2026; payment date was August 26, 2026.
• · No shares were tendered in the open offer, resulting in zero consideration paid.
• · Acquirer's pre-offer shareholding was nil; it acquired 69,59,800 shares (70.61%) via the underlying transaction on July 21, 2026.
• · Public shareholding remained at 28,97,400 shares (29.39%) post-offer, unchanged.
• · Post-offer, Acquirer holds 69,59,800 shares (70.61%) of voting capital.
• · Post Offer Advertisement published in Financial Express (English), Jansatta (Hindi), and Navshakti (Marathi) on August 28, 2026.

28-08-2026

SEBI issued an adjudication order against Dilip Kumar Gupta HUF for trading in illiquid stock options on the BSE. The order, dated August 28, 2026, is part of SEBI's enforcement actions in the matter of illiquid stock options trading.

• · The order is an adjudication order, not a show-cause notice or interim order.
• · The entity involved is Dilip Kumar Gupta HUF, a Hindu Undivided Family.
• · The matter concerns trading in illiquid stock options at BSE.

28-08-2026

Power Grid Corporation of India Limited (POWERGRID) has completed the acquisition of Fatehgarh II Transmission Limited, a project special purpose vehicle (SPV), under the tariff-based competitive bidding (TBCB) route for a cash consideration of about ₹19.11 Crore. The acquisition includes 10,000 equity shares at par value of ₹10 each, giving POWERGRID 100% control of the SPV, which will establish an interstate transmission system for installing two synchronous condensers at the Fatehgarh-II substation. The target entity has no operating history or turnover in the last three years, as it was incorporated only on May 6, 2026, and has yet to commence commercial operations.

• · Fatehgarh II Transmission Limited was incorporated on May 6, 2026, by Bid Process Coordinator PFC Consulting Limited (PFCCL) under the 'Guidelines Encouraging Competition in Development of Transmission Projects' and 'Tariff based Competitive-bidding Guidelines for Transmission Service' notified by the Ministry of Power.
• · The acquisition is not a related-party transaction; POWERGRID had no prior interest in the target entity.
• · Post-acquisition, the SPV must obtain approvals for a Transmission License and adoption of transmission charges from the Central Electricity Regulatory Commission (CERC).
• · The acquisition price is subject to adjustment based on audited accounts of Fatehgarh II Transmission Limited as of the acquisition date.
• · The project will be executed on a build, own, operate and transfer (BOOT) basis.

28-08-2026

Aster DM Quality Care Limited (formerly Aster DM Healthcare Limited) announced that its subsidiary, Chemistry Intermediate Holdings Limited, has acquired a 14.21% stake in STS Holdings Limited, a Bangladesh-based healthcare company, for a cash consideration of USD 44,114,339 (approximately ₹3,675 Cr). The acquisition is in line with a Merger Framework Agreement executed on 29 November 2024 and a Scheme of Amalgamation approved by the NCLT Hyderabad Bench on 19 June 2026. While the target company has shown consistent revenue growth over the past three years, the acquisition represents a minority stake and does not provide control.

• · The acquisition is a further investment transaction, not a change in control.
• · The target company, STS Holdings Limited, was incorporated on 28 August 1997.
• · The price per share is USD equivalent of BDT 273.45 per equity share (face value BDT 10).
• · The acquisition does not fall under related party transactions.
• · No governmental or regulatory approvals are required for the acquisition.

28-08-2026

AXISCADES Technologies Limited has approved the acquisition of 90% of Cloud Wave Technologies Private Limited for a cash consideration of approximately INR 234 Crore at an enterprise valuation of approximately INR 260 Crore. Cloud Wave is an AS9100D-certified precision manufacturing company with seven units and an audited turnover of INR 107.78 Cr for FY 25-26, showing strong growth from INR 36.98 Cr in FY 23-24. The acquisition marks a strategic shift from engineering services toward aerospace manufacturing, though it is an adjacency to the company's core historical line of business.

• · Cloud Wave was incorporated on August 13, 2014, and is headquartered in Bengaluru, India.
• · The acquisition is not a related party transaction and is at arm's length.
• · The company will acquire 90% shareholding by September 30, 2026, with the remaining 10% to be acquired subsequently.
• · The acquisition is expected to be earnings accretive over the medium term and is not expected to adversely impact existing operations.
• · Cloud Wave serves customers in Aerospace & Defence and Semiconductor sectors, in both domestic and export markets.

28-08-2026

Indo Borax and Chemicals Limited, along with PAC Zenrock Chemicals Private Limited, has launched an open offer to acquire equity shares of Kronox Lab Sciences Limited under SEBI (SAST) Regulations. The Detailed Public Statement dated August 27, 2026 was published on August 28, 2026 in multiple newspapers. The offer is managed by IIFL Capital Services Limited.

• · Detailed Public Statement dated August 27, 2026 published on August 28, 2026 in Financial Express (English, All Edition), Jansatta (Hindi, All Edition), Navshakti (Marathi, Mumbai Edition), and Loksatta – Jansatta (Gujarati, Vadodara Edition).
• · Offer is pursuant to Regulations 3(1) and 4 of SEBI (SAST) Regulations, 2011.
• · IIFL Capital Services Limited is the manager to the offer, with SEBI Merchant Banking Registration Number INM000010940.

28-08-2026

South West Pinnacle Exploration Ltd (SWPE), along with promoters Mr. Vikas Jain and Mr. Piyush Jain, has subscribed to the rights issue of Alara Resources Ltd (ARL), increasing their aggregate shareholding from 10.83% to 12.66%. SWPE acquired 1,87,91,597 shares at AUD 0.032 per share via cash consideration. While the investment is in the same line of business and expected to yield operational synergies, ARL's turnover has grown significantly from AUD 5,462,901 in 2024 to AUD 55,122,260 in 2025, though it had nil turnover in 2023.

• · The investment is under the automatic route of Foreign Exchange Management (Overseas Investment) Rules, 2022, requiring no governmental approval.
• · SWPE has two joint ventures in Oman with ARL's subsidiary: Alara Resources LLC and Al Hadeetha Mining LLC.
• · Mr. Vikas Jain is also a director on the board of ARL.
• · ARL was incorporated on December 6, 2006, and is based in Perth, Australia.
• · ARL had nil turnover in 2023, indicating a significant ramp-up in operations by 2025.

28-08-2026

McNally Bharat Engineering Company Ltd received final trading approval from BSE and NSE for 3,33,33,334 equity shares issued pursuant to its NCLT-approved Resolution Plan, with listing effective September 01, 2026. The share capital increased from ₹17,21,51,750 to ₹33,33,33,340, and the shares will trade in the Trade-to-Trade segment under T Group. The resolution plan extinguishes erstwhile promoter holdings and reduces public shareholding to 5%, with the Successful Resolution Applicant receiving 3,00,00,000 shares.

• · Trading approval granted by BSE and NSE on August 28, 2026, with listing effective September 01, 2026.
• · Shares will be traded in T Group under Trade-to-Trade segment.
• · Lock-in details: 10,000 shares no lock-in, 28,128 shares lock-in till 30-Mar-2027, 16,28,539 shares no lock-in, 16,66,667 shares lock-in till 29-Aug-2027, 3,00,00,000 shares lock-in till 29-Aug-2027.
• · The resolution plan was approved by NCLT Kolkata Bench on December 19, 2023, with further orders on December 3, 2024, and September 23, 2025.
• · Record date for the resolution plan was February 21, 2025.
• · The entire shareholding of erstwhile promoters is extinguished, and public shareholders' holding is reduced to 5%.
• · ISIN: INE748A01024, Scrip Code: 532629, Market Lot: 1.

29-08-2026

Max Estates Limited's Board approved a composite transaction to acquire nine Land Owning Companies holding an approximately 84.7-acre land platform in Sector 3, Najafgarh, Delhi, for a total consideration of ₹4,20,23,14,295 (Rupees Four Hundred Twenty Crore Twenty-Three Lakh Fourteen Thousand Two Hundred and Ninety-Five only), to be discharged via a preferential share swap of up to 70,33,162 equity shares at ₹597.50 per share. The acquisition is a related party transaction, with several Land Owning Companies and their shareholders being part of the promoter/promoter group. The transaction is subject to shareholder approval at an EGM on September 24, 2026, and other regulatory approvals, with a tentative completion date of October 9, 2026.

• · The acquisition is a related party transaction, with several Land Owning Companies and their shareholders (including Max Ventures Investment Holdings Private Limited, Terra Planet Estates Private Limited, Mr. Analjit Singh, Ms. Piya Singh, Mrs. Tara Singh Vachani, and Mr. Sahil Vachani) being part of the promoter/promoter group.
• · The share-exchange ratios for each Land Owning Company range from 0.007 to 39.713 Max Estates shares per share/CCD.
• · The land platform has an estimated development potential of 4-6 million sq. ft.
• · The Board meeting started at 17:00 hrs and concluded at 21:30 hrs on August 28, 2026.
• · The EGM is proposed for September 24, 2026, and the transaction is tentatively expected to close by October 9, 2026.

28-08-2026

Jupiter Neurosciences received a delisting notice from Nasdaq on August 27, 2026, because its market value of listed securities remained below the $35 million minimum for over 30 consecutive trading days and it failed to regain compliance by the August 25, 2026 deadline. The company intends to appeal the determination and request a hearing before the Nasdaq Hearings Panel, which would stay further action pending a final decision. However, the company did regain compliance with the $1.00 minimum bid price requirement as of August 26, 2026, though it cannot assure it will maintain that compliance.

• · The delisting notice was received on August 27, 2026, and the compliance deadline was August 25, 2026.
• · The company had previously been notified on February 26, 2026, of the market value deficiency.
• · The company regained compliance with the minimum bid price rule ($1.00 per share) for the 10 consecutive business days ending August 26, 2026.
• · There is no assurance that the appeal will be successful or that the company will maintain bid price compliance.

28-08-2026

GeoVax Labs, Inc. received a Staff Determination Letter from Nasdaq on August 27, 2026, notifying the company that its common stock will be delisted due to non-compliance with the minimum $1.00 bid price requirement. The closing bid price remained below $1.00 for 30 consecutive business days from July 16, 2026 through August 26, 2026, and the company is ineligible for a customary compliance period because it effected a 1-for-25 reverse stock split on January 12, 2026. GeoVax also faces a separate deficiency regarding the minimum $2,500,000 stockholders' equity requirement. The company plans to request a hearing before the Nasdaq Hearings Panel by September 3, 2026, which will stay any suspension; however, there is no assurance that continued listing will be granted.

• · Trading suspension expected at the opening of business on September 8, 2026 if no timely hearing request is made.
• · Deadline to request a hearing is September 3, 2026.
• · Company also faces non-compliance with the minimum $2,500,000 stockholders' equity requirement under Nasdaq Listing Rule 5550(b).

28-08-2026

Offerpad Solutions Inc. filed Form 25 with the SEC to voluntarily withdraw its Class A common stock from listing and registration on the New York Stock Exchange, effective August 28, 2026. The delisting is voluntary and follows compliance with exchange rules and SEC regulations. This action will remove the company's shares from public trading on the NYSE.

• · The delisting is voluntary, not initiated by the exchange.
• · The filing was signed by CFO Peter Knag on August 28, 2026.
• · The company's principal executive offices are located at 433 S. Farmer Avenue, Suite 500, Tempe, Arizona, 85281.
• · The delisting will also withdraw the securities from registration under Section 12(b) of the Securities Exchange Act of 1934.

28-08-2026

Envirotech Vehicles, Inc. (now Azio AI Holdings) received a Nasdaq deficiency notice on August 28, 2026, for failing to obtain shareholder approval before completing a change-of-control merger on July 2, 2026, which triggered the appointment of five Azio AI-affiliated executives. However, the company remediated the issue by removing four of those executives (Simon Yu, David Shiue, Gary Chen, Jenny Yang) effective August 27, 2026, and Nasdaq has closed the matter. Chris Young remains CEO, and the delisting notice has no immediate effect on listing, though the company must still comply with other continued listing requirements.

• · The deficiency was under Nasdaq Listing Rule 5635(b) regarding shareholder approval for change-of-control issuances.
• · The merger closed on July 2, 2026, and the deficiency was remediated by August 27, 2026.
• · Simon Yu remains employed by the company but is no longer an executive officer or Section 16 officer.
• · The company's common stock trades under the symbol AZIO on the Nasdaq Capital Market.

28-08-2026

My Size, Inc. received a Nasdaq deficiency letter on August 25, 2026, for failing to meet the minimum stockholders' equity requirement of $2,500,000, reporting only $2,347,000 as of June 30, 2026. The company has 45 days (until October 9, 2026) to submit a compliance plan and may receive up to 180 additional days to regain compliance. There is no immediate impact on listing, but failure to regain compliance could lead to delisting.

• · The deficiency letter was received on August 25, 2026, and the 8-K was filed on August 28, 2026.
• · The company has until October 9, 2026, to submit a compliance plan.
• · If the compliance plan is accepted, Nasdaq may grant an extension through February 21, 2027.
• · If the compliance plan is not accepted or compliance is not regained, the Staff would issue a delisting determination, and the company could request a hearing to stay delisting.

28-08-2026

Rainier Acquisition Corporation, a SPAC focused on the global life sciences industries, priced its $75,000,000 initial public offering of 7,500,000 units at $10.00 per unit. The units are expected to begin trading on Nasdaq under the ticker 'RNAQU' on August 27, 2026, with the offering closing on August 28, 2026. The company, led by CEO Gbola Amusa and CFO Guy Barudin, intends to search for a merger target in therapeutics, diagnostics, genomics, and related subsectors.

• · The company is a SPAC formed for a business combination with one or more businesses.
• · The company's search focus is the global life sciences industries, including therapeutics, diagnostics, genomics, precision medicine, life science tools, research services, biomanufacturing, and related subsectors.
• · Each unit consists of one Class A ordinary share and one-quarter of one redeemable warrant.
• · Each whole warrant entitles the holder to purchase one Class A ordinary share at $11.50 per share.
• · The underwriter has a 45-day option to purchase up to an additional 1,125,000 units to cover over-allotments.
• · The registration statement was declared effective by the SEC on August 26, 2026.
• · The offering is expected to close on August 28, 2026.

28-08-2026

Shuttle Pharmaceuticals Holdings, Inc. (SHPH) received a Nasdaq notice on August 28, 2026, for failing to timely file its Quarterly Report on Form 10-Q for the period ended June 30, 2026, violating Nasdaq Listing Rule 5250(c)(1). The company has 60 days (until October 27, 2026) to submit a compliance plan, and if accepted, Nasdaq may grant an exception until February 22, 2027. While the notice does not immediately affect trading, failure to regain compliance could lead to delisting, and there is no assurance the plan will be accepted.

• · The company's common stock trades under the symbol SHPH on Nasdaq.
• · If Nasdaq does not accept the compliance plan, the company may appeal to a hearings panel.
• · Nasdaq will broadcast a noncompliance indicator over its market data network.
• · The company is working diligently to complete and file the Form 10-Q as soon as practicable.

28-08-2026

Gulf Resources, Inc. (GURE) received a Nasdaq notice on August 24, 2026, for failing to timely file its Q2 2026 Form 10-Q, violating Listing Rule 5250(c)(1). The company had previously been granted an extension until August 31, 2026, to file its delinquent Q1 2026 Form 10-Q, but as of this report, both the Q1 and Q2 2026 Form 10-Qs remain unfiled. While the notice has no immediate effect on listing, the company must submit an updated compliance plan by August 28, 2026, and the ongoing delinquency poses a continued risk to its Nasdaq listing.

• · The company filed its delinquent 2025 Form 10-K on August 17, 2026, and is no longer delinquent on that filing.
• · Amendments to the 2024 Form 10-K were filed on July 27, 2026, and August 24, 2026.
• · The company remains delinquent in filing both the Q1 2026 Form 10-Q and the Q2 2026 Form 10-Q as of the press release date.
• · The company's common stock trades on the Nasdaq Capital Market under the symbol GURE.

28-08-2026

Indivior PLC and Supernus Pharmaceuticals have entered into a definitive merger agreement under which Indivior will acquire Supernus in an all-stock transaction. Each Supernus share will be exchanged for 1.5401 Indivior shares, valuing Supernus at approximately $1.6 billion based on Indivior's closing price of $40.01 on July 31, 2026. The combined company will be renamed Supernus, Inc. and will create a diversified neuroscience leader with Indivior's opioid use disorder treatments and Supernus's CNS portfolio. The merger is expected to close in late 2026, subject to shareholder and regulatory approvals.

• · Indivior's common stock trades on Nasdaq Global Select Market under ticker 'INDV'.
• · Supernus common stock trades on Nasdaq Global Market under ticker 'SUPN'.
• · The merger is structured as a reverse triangular merger with Artemis Merger Sub Inc. merging into Supernus.
• · No appraisal rights are available for either Indivior or Supernus shareholders under Delaware law.
• · Indivior's board unanimously recommends voting 'FOR' the share issuance proposal and adjournment proposal.
• · The United States accounted for 85% of Indivior's net revenues for the year ended December 31, 2025.
• · Indivior changed its corporate domicile to the United States effective January 23, 2026.
• · Supernus equity awards will be assumed by Indivior and converted using the exchange ratio of 1.5401.
• · Indivior PSUs will be deemed earned based on actual performance and converted into RSUs.
• · The merger is subject to HSR Act waiting period expiration, Nasdaq listing approval, and no material adverse effect on either party.

28-08-2026

Energy Fuels Inc. completed the acquisition of Australian Strategic Materials Limited (ASM) on August 28, 2026, for total consideration of approximately US$243.4 million. The consideration consisted of 0.053 Energy Fuels common shares (or CHESS Depositary Interests) plus A$0.13 in cash per ASM share, along with A$0.50 per ASM option. The transaction was executed via a scheme of arrangement under a Scheme Implementation Deed dated January 21, 2026.

• · ASM option holders received A$0.50 per option under a separate concurrent scheme of arrangement.
• · The Share Consideration was issued in reliance on an exemption under Section 3(a)(10) of the Securities Act of 1933.
• · Holders of ASM shares in certain jurisdictions will receive net proceeds from a nominee sale of Energy Fuels common shares instead of the Share Consideration.

28-08-2026

Oragenics Inc. received a notice from NYSE American on August 26, 2026, for non-compliance with continued listing standards due to stockholders' equity of $3.7M at June 30, 2026 (below the $4M/$6M thresholds) and net losses in its last five fiscal years. The company must submit a compliance plan by September 25, 2026, and has until February 25, 2028 to regain compliance; if unsuccessful, it faces potential delisting, which could reduce liquidity, market price, and access to capital.

• · Equity shortfall: $3.7M vs. $4M (Section 1003(a)(ii)) and $6M (Section 1003(a)(iii)).
• · Common stock will trade with '.BC' designation (below compliance) but remains listed during the review period.
• · Plan deadline: September 25, 2026; compliance deadline: February 25, 2028.
• · Net losses reported in last five fiscal years ended December 31, 2025.

28-08-2026

Socket Mobile, Inc. received a Nasdaq deficiency notice on August 24, 2026, for failing to meet the minimum stockholders' equity requirement of $2.5 million, reporting equity of only $2,382,624 as of June 30, 2026. The company also does not meet alternative listing standards based on market value of listed securities ($35 million minimum) or net income from continuing operations ($500,000 minimum). While the notice has no immediate effect on trading, Socket Mobile must submit a compliance plan by October 8, 2026, and faces potential delisting if it cannot regain compliance within a possible 180-day extension.

• · The company also failed alternative listing standards under Rule 5550(b)(2) (market value of listed securities at least $35 million) and Rule 5550(b)(3) (net income from continuing operations at least $500,000 in the most recent fiscal year or two of the last three).
• · If Nasdaq does not accept the compliance plan, the company may appeal to a Nasdaq Hearings Panel.
• · The notice has no immediate effect on trading; shares continue to trade on Nasdaq under symbol SCKT.

28-08-2026

AiRWA Inc. received a delisting notice from Nasdaq on August 24, 2026, for failing to file its Annual Report on Form 10-K for the period ended April 30, 2026, due to delays in consolidating financial results from a significant acquisition. The company has 60 days to submit a compliance plan and potentially up to 180 days from the filing due date to regain compliance, but there is no assurance of success. The company issued a press release on August 28, 2026, disclosing the notice.

• · The delisting notice was triggered by failure to file the Annual Report on Form 10-K for the period ended April 30, 2026.
• · The delay was attributed to the time-consuming consolidation of financial results from a significant acquisition.
• · If Nasdaq accepts the compliance plan, the company has until January 25, 2027, to regain compliance.
• · The company expects to file the Form 10-K before the October 23, 2026, deadline for plan submission.
• · There is no assurance that the company will be able to satisfy Nasdaq's continued listing requirements.

28-08-2026

Andretti Acquisition Corp. II entered into non-redemption agreements with unaffiliated investors to retain up to 1,000,000 public shares in trust, in exchange for up to 250,000 Pubco shares if a business combination closes by June 9, 2027 (or 83,333 Pubco shares if after that date). The company also adjourned its special meeting to September 8, 2026 to seek shareholder approval for a one-year extension of its business combination deadline to September 9, 2027. The sponsor intends to convert 5,749,999 Class B shares into Class A shares upon approval of the extension.

• · Special meeting adjourned from August 28, 2026 to September 8, 2026 at 10:00 a.m. Eastern Time.
• · Deadline for public shareholders to submit redemption requests extended to 5:00 p.m. Eastern Time on September 3, 2026.
• · Record date for the special meeting remains July 27, 2026.
• · Non-redemption agreements terminate upon failure to approve extension, company decision not to proceed, fulfillment of obligations, liquidation, mutual agreement, or if investor exercises redemption rights.
• · The non-redemption agreements are not expected to increase the likelihood of extension approval but are expected to increase trust account funds.

28-08-2026

Constellation Acquisition Corp I drew $5,000 from an unsecured promissory note with Constellation Sponsor LP to fund its seventh one-month extension, pushing the deadline for its initial business combination from August 29, 2026 to September 29, 2026. The company has now used seven of eleven permitted monthly extensions, indicating continued difficulty in completing a merger. The note is non-interest bearing and will only be repaid from funds outside the trust account if no business combination occurs.

• · The extension is the seventh of eleven one-month extensions permitted under the company's amended and restated memorandum and articles of association.
• · The promissory note was dated January 30, 2024.
• · The note does not bear interest and matures upon closing of the initial business combination.
• · If no business combination is consummated, the note will be repaid only from amounts remaining outside the trust account, if any.

28-08-2026

Alternative Investment Partners Absolute Return Fund STS has commenced an issuer tender offer to repurchase its own shares, in parallel with offers by the Offshore Fund and Master Fund, with the Master Fund limited to purchasing up to 15% of its net assets. Shareholders may tender shares by September 28, 2026, with withdrawals allowed until October 7, 2026, and payment based on net asset value as of December 31, 2026. The Fund's aggregate net asset value was $178,876,818 as of June 30, 2026, with a per-share NAV of $2,574.66. The offer includes an initial cash payment of at least 90% of unaudited NAV, with a potential post-audit adjustment, but the Fund may suspend or delay the offer if underlying investment funds restrict redemptions.

• · The Fund is a closed-end, non-diversified management investment company registered under the Investment Company Act of 1940, organized as a Delaware statutory trust.
• · The offer is an issuer tender offer under Rule 13e-4, not a third-party or going-private transaction.
• · Key dates: Commencement Date August 28, 2026; Initial Notice Date September 28, 2026; Initial Expiration Date October 7, 2026; Acceptance Date October 27, 2026; Valuation Date December 31, 2026.
• · Payment will be made via a non-interest bearing, non-transferable promissory note, with an initial cash payment of at least 90% of unaudited NAV due within 30 days after the Valuation Date (or 10 business days after receiving 90% of capital withdrawals from the Master Fund).
• · A Post-Audit Payment may be made after the Fund's next annual audit, based on audited NAV adjustments.
• · The Fund may suspend or delay the offer if underlying investment funds restrict redemptions, and may compulsorily repurchase all shares of a shareholder if the aggregate value falls below the minimum initial investment.
• · There is no established trading market for the Shares; transfers are strictly limited by the Declaration of Trust.
• · The Fund's principal executive office is at 100 Front Street, Suite 400, West Conshohocken, PA 19428-2881.
• · The investment adviser of the Master Fund is Morgan Stanley AIP GP LP.

28-08-2026

Alternative Investment Partners Absolute Return Fund has launched an issuer tender offer to repurchase up to 15% of its net assets (approximately $44.7M based on the $298.2M NAV as of June 30, 2026). Shareholders may tender shares by September 28, 2026, with payment via a promissory note providing an initial cash payment of at least 90% of unaudited NAV and a post-audit contingent payment. However, the offer is subject to potential delays or suspension if underlying investment funds restrict redemptions, and the final purchase price depends on the audited NAV as of December 31, 2026, creating uncertainty for shareholders.

• · The Fund is a closed-end, non-diversified, management investment company registered under the Investment Company Act of 1940, organized as a Delaware statutory trust.
• · There is no established trading market for the Shares; transfers are strictly limited by the Declaration of Trust.
• · Shareholders may withdraw tenders until October 7, 2026 (Initial Expiration Date), and withdrawn shares may be re-tendered before the Notice Date.
• · The Fund reserves the right to compulsorily repurchase all of a shareholder's Shares if the aggregate value falls below the minimum initial investment.
• · The Fund may cancel, amend, or postpone the Offer at any time before the Initial Expiration Date.
• · The investment adviser is Morgan Stanley AIP GP LP, located at 100 Front Street, Suite 400, West Conshohocken, PA 19428-2881.

28-08-2026

NYSE Arca filed a Form 25-NSE with the SEC to delist and deregister the entire class of securities of AdvisorShares Trust, specifically the AdvisorShares Hotel ETF and AdvisorShares Vice ETF, effective September 8, 2026. The delisting is based on Rule 12d2-2(a)(3), as the underlying instruments were replaced by other securities representing only the right to receive an immediate cash payment. Trading of these securities was suspended on August 24, 2026.

• · The delisting is effective at the opening of business on September 08, 2026.
• · The securities were suspended from trading on August 24, 2026.
• · The delisting is pursuant to 17 CFR 240.12d2-2(a)(3), meaning the instruments now represent only the right to receive an immediate cash payment.

28-08-2026

Advisor Managed Portfolios filed Form 25 with the SEC on August 28, 2026, to voluntarily withdraw the Miller Value Partners Appreciation ETF from listing and registration on NYSE Arca, Inc. The delisting is effective upon filing, with the issuer certifying compliance with exchange rules and SEC requirements.

• · The delisting is voluntary under 17 CFR 240.12d2-2(c).
• · The filing was signed by Ryan Charles, Secretary of Advisor Managed Portfolios.
• · The issuer's principal executive offices are located at 615 E. Michigan St., Milwaukee, WI 53202.

28-08-2026

Fidelity Private Credit Company LLC announced an issuer tender offer to repurchase up to 1,966,575 of its common units (approximately 2.50% of outstanding units as of July 31, 2026), at a price equal to net asset value as of September 30, 2026. The offer expires on September 28, 2026, and is part of a quarterly repurchase program recommended by the Adviser, though the Fund is not required to conduct tender offers. The Fund recently completed a merger with Fidelity Private Credit Company LLC on July 31, 2026, and all outstanding units are held by Fidelity funds; no directors or officers intend to tender.

• · The Fund merged with Fidelity Private Credit Company LLC on July 31, 2026, with each outstanding unit converted into newly issued units based on an exchange ratio.
• · The tender offer expires on September 28, 2026, at 4:00 p.m. Eastern Time, unless extended.
• · The purchase price will be the net asset value as of September 30, 2026 (or later if extended).
• · 100% of outstanding Units are held by Fidelity funds; no directors or officers own any Units.
• · The Fund is not required to conduct tender offers; the Adviser expects to recommend quarterly purchases.
• · No solicitation or recommendation fees are being paid in connection with the offer.

28-08-2026

BioAtla, Inc. (BCAB) received a final delisting determination from Nasdaq's Listing Council on August 26, 2026, affirming the earlier Panel decision to delist its common stock due to non-compliance with the $1.00 bid price requirement and failure to demonstrate compliance with the $2.5 million stockholders' equity requirement. Trading on Nasdaq is expected to be suspended at the opening of business on August 31, 2026, unless the Nasdaq Board calls the matter for review. The company expects its shares to be eligible for quotation on the OTC Markets system under the same symbol BCAB, but warns this may materially adversely affect trading price and volume. The company's ongoing strategic process to explore options to maximize shareholder value, initiated in March 2026, continues with no assurance of any resulting agreements or transactions.

• · The company had previously received a delisting determination on February 6, 2026, and had requested a review by the Listing Council, which stayed the suspension pending its review.
• · The Listing Council's decision to affirm the delisting was issued on August 26, 2026.
• · Unless the Nasdaq Board calls the matter for review, trading will be suspended at the opening of business on August 31, 2026, and a Form 25-NSE will be filed with the SEC.
• · The company expects its common stock to be immediately eligible for quotation on OTC Markets under the symbol BCAB, but there is no assurance a market will develop or be maintained.
• · The company's strategic process to explore options to maximize shareholder value, initiated in March 2026, is ongoing with no assurance of any resulting agreements or transactions.

28-08-2026

Allegro Merger Corp., SeeQC, Inc., and Merger Sub have mutually terminated their January 16, 2026 merger agreement effective August 25, 2026, abandoning the proposed transaction. The parties have entered into a comprehensive settlement and release agreement, with Allegro receiving up to $2,000,000 in documented third-party transaction expenses upon the occurrence of a future Trigger Event (e.g., a change of control, public offering, or equity raise of at least $100 million). The NDA between the parties has been amended to continue for four years. No financial figures for the terminated deal or any termination fee are disclosed.

• · The Merger Agreement was originally entered into on January 16, 2026.
• · The NDA between Allegro and SeeQC was entered into on August 11, 2025.
• · The NDA is amended to continue for four years from the Effective Date (August 25, 2026).
• · The parties have granted broad releases of all claims, including unknown claims, and waived California Civil Code Section 1542.
• · Allegro must indemnify the Company Releasing Parties against third-party claims arising from the terminated transaction.
• · The Company has a holdback right to withhold from the expense payment or stock issuance to cover pending third-party claims.

28-08-2026

FT Vest Total Return Income Fund: Series A3 has commenced an issuer tender offer to repurchase up to 100% of its outstanding shares (approximately $20.2 million or 933,479 shares) at net asset value, in connection with the expiration of its initial Designated Period. The offer expires on September 29, 2026, with the NAV calculated on October 9, 2026, and the board has waived the standard 2.00% early repurchase fee for all shareholders. The fund will pay for repurchased shares entirely in cash within about 5 business days of the valuation date.

• · The net asset value per share as of July 31, 2026 was $21.67.
• · Shareholders must tender by 11:59 p.m. Eastern Time on September 29, 2026 (Initial Notice Due Date).
• · The valuation date for NAV calculation is October 9, 2026, subject to extension.
• · Payment for repurchased shares will be made within approximately 5 business days from the Valuation Date.
• · The board has waived the 2.00% early repurchase fee uniformly for all share classes.
• · If a shareholder's remaining balance would fall below $25,000, the board may reduce the repurchase or buy out the entire position.
• · Shares are repurchased on a first-in, first-out basis.
• · The fund expects its fiscal year-end audit (for the period ending December 31, 2026) to be completed by the end of February 2027.
• · There is no established trading market for the shares; transfers are strictly limited.