US Corporate Distress Financial Stress SEC Filings — June 03, 2026

03-06-2026

Chain Bridge I entered into Amendment No. 1 to its existing $1,250,000 Senior Note with C/M Capital Master Fund LP, extending the maturity date from June 30, 2026 to November 15, 2026 and removing an event of default related to preferred shares authorization. Concurrently, the company issued new unsecured, non-interest bearing promissory notes with an aggregate principal amount of $312,500 (purchased at $250,000, implying a 25% discount) to certain investors, with proceeds earmarked for business combination expenses and general corporate purposes. The new notes mature on November 15, 2026 and are junior to Permitted Senior Indebtedness but senior to all other company indebtedness.

• · The new notes were issued at a 25% discount to principal ($250,000 purchase price for $312,500 principal).
• · The new notes rank junior to Permitted Senior Indebtedness, pari passu to Permitted Indebtedness, and senior to all other company indebtedness.
• · Lenders have the right to exchange all or any portion of the new notes for a new series of preferred shares on mutually agreed terms.
• · The existing Senior Note's maturity was extended from June 30, 2026 to November 15, 2026.
• · The event of default for failure to establish and authorize a certificate of designation for preferred shares by November 15, 2025 was removed.

03-06-2026

Treasure Global Inc (TGL) entered into a Software Development Agreement with Nexe Cloud Limited on May 28, 2026, to design and deliver an enterprise business intelligence system. The agreement includes a first milestone payment of $300,000 due within two days and a one-year term. The Developer must refund all service fees if the software fails acceptance testing after more than three repeated tests, providing a safeguard for the Company.

• · The Developer must indemnify the Company against losses from third-party IP infringement claims.
• · Neither party is liable for economic losses (including lost profits) except for certain exceptions.
• · Confidentiality obligations last 5 years post-termination, with perpetual protection for source code and proprietary technology.
• · The agreement is governed by the laws of Malaysia, with disputes resolved in Malaysian courts.
• · The Company may modify the scope of services upon reasonable notice to the Developer.

03-06-2026

ESCO TECHNOLOGIES INC. entered into a $500 million revolving credit agreement on May 29, 2026, with JPMorgan Chase Bank as administrative agent and a syndicate of lenders. The facility provides multi-currency borrowing capacity and includes provisions for incremental credit extensions, letters of credit, and swingline loans. No specific financial performance metrics or period-over-period comparisons are provided in this filing.

• · The credit agreement includes provisions for foreign subsidiary borrowers and multi-currency borrowings (Dollars, euro, Sterling, and other agreed currencies).
• · The facility has a floor of 1.00% on the Alternate Base Rate and a floor on the Adjusted Term SOFR Rate.
• · The agreement contains customary representations, warranties, affirmative and negative covenants, and events of default.
• · The agreement includes a cross-guarantee and company guarantee structure.

03-06-2026

Reed's, Inc. received a notice from NYSE American on May 29, 2026 for non-compliance with continued listing standards (stockholders' equity below $4.0M and $6.0M thresholds). The company must submit a compliance plan by June 28, 2026 and has until November 29, 2027 to regain compliance; failure to do so will result in delisting proceedings. While there is no immediate impact on trading, the common stock will trade with a '.BC' (below compliance) designation.

• · Common stock will continue trading under symbol 'REED' with added '.BC' designation indicating 'below compliance' status.
• · Company must submit compliance plan by June 28, 2026 and regain compliance by November 29, 2027.
• · Company is not eligible for any exemption under Section 1003(a) including exemption for companies with market cap exceeding $50M.
• · If plan is accepted, NYSE American will conduct quarterly monitoring; if plan is rejected or company fails to meet milestones, delisting proceedings will begin.
• · Company may appeal a delisting determination under Sections 1010 and Part 12 of the NYSE American Company Guide.
• · Notice does not affect ongoing business operations or SEC reporting requirements.
• · Risks include ability to submit and gain acceptance of plan, and ability to regain compliance within the 18-month cure period.
• · Company's most recent 10-K was filed on March 25, 2026.

03-06-2026

CytomX Therapeutics entered into Amendment No. 4 to its collaboration agreement with Regeneron Pharmaceuticals, extending the program selection period and allowing up to eight additional collaboration programs. Regeneron nominated the first two new programs, triggering aggregate target nomination payments of $37.0 million to CytomX. Total potential milestone payments under the agreement remain up to approximately $4 billion, while royalty terms were unchanged.

• · Amendment No. 4 is effective May 31, 2026, and was entered into on May 29, 2026.
• · The remaining six potential additional programs are subject to Regeneron's nomination option and payment of per-program nomination fees.
• · The full text of Amendment No. 4 will be filed as an exhibit to CytomX's Quarterly Report on Form 10-Q for the quarter ending June 30, 2026, with certain confidential portions omitted.

03-06-2026

TaoWeave, Inc. (Nasdaq: TWAV) announced its entry into the Physical AI market through a $1 million investment in Manako Labs Ltd., gaining preferred North American commercialization rights and revenue participation. This marks TaoWeave's first operating investment in AI, expanding beyond digital asset treasury activities. The Physical AI market is estimated at $82 billion in 2025, potentially approaching $1 trillion by 2033.

• · Manako operates Score (Subnet 44) within the Bittensor network.
• · Manako won first place at Start In Block during Paris Blockchain Week, selected from over 1,000 applicants.
• · The agreement provides a pathway for TaoWeave to develop proprietary AI infrastructure within the Bittensor ecosystem.
• · TaoWeave's concentration in TAO tokens represents significant market risk as noted in forward-looking statements.

03-06-2026

Cardlytics, Inc. (CDLX) received a Nasdaq deficiency notice on June 3, 2026, because its common stock closing bid price remained below $1.00 for 30 consecutive business days, triggering a potential delisting risk. To address the deficiency, the company filed a Certificate of Amendment to effect a 1-for-10 reverse stock split and reduce authorized shares from 100,000,000 to 10,000,000, effective June 5, 2026. The company has 180 days (until November 30, 2026) to regain compliance, but the reverse stock split is intended to boost the stock price above the $1.00 minimum.

• · The reverse stock split and authorized share reduction were approved by stockholders at the Annual Meeting on May 20, 2026.
• · The reverse stock split becomes effective at 5:00 p.m. Eastern Time on June 5, 2026.
• · No fractional shares will be issued; stockholders entitled to fractional shares will receive cash in lieu.
• · The new CUSIP number for common stock after the reverse split is 14161W303.
• · The company may be eligible for an additional 180-day compliance period if it meets other listing standards and provides notice of intent to cure.
• · If compliance is not achieved and the company is not eligible for an extension, Nasdaq will issue a delisting notice, which the company may appeal.

03-06-2026

On May 28, 2026, Blackstone Multi-Strategy Hedge Fund L.P. and its affiliate entered into a Dealer Manager Agreement with Blackstone Securities Partners L.P. to engage third-party brokers for distribution of units and shares. The Dealer Manager will receive a servicing fee of up to 0.85% of net asset value per annum, which may be reallowed to participating brokers. The agreement includes standard representations and warranties.

• · The Dealer Manager Agreement was entered into on May 28, 2026, and filed on June 3, 2026.
• · The agreement includes a Form of Selected Dealer Agreement as Exhibit A.
• · The registrant is an emerging growth company.

03-06-2026

Amtech Systems announced a proposed underwritten public offering of common stock to accelerate growth in semiconductor packaging and advanced wafer substrate fabrication, with Titan Partners as sole bookrunner. The offering is subject to market conditions, and no specific size or terms have been disclosed. No financial results or performance metrics were provided in this filing.

• · The offering is being made pursuant to a shelf registration statement on Form S-3 (File No. 333-294296) filed with the SEC on March 13, 2026, and declared effective on March 23, 2026.
• · Net proceeds will be used for growth acceleration, M&A opportunities, working capital, and general corporate purposes.
• · Titan Partners Group LLC can be contacted at 4 World Trade Center, 49th Floor, New York, NY 10007, phone (929) 833-1246, email prospectus@titanpartnersgrp.com.
• · The company's products are used in AI applications, SiC and Si power devices, and other optical, analog, and digital devices.

03-06-2026

SPAR Group entered into Amendment No. 1 to its Services Agreement with ReposiTrak, allowing ReposiTrak to elect payment in cash, common stock, or a combination. On May 29, 2026, ReposiTrak elected to receive 3,190,569 shares of SGRP common stock valued at $0.728710119 per share, totaling $2,325,000, in satisfaction of outstanding amounts owed. The issuance was made under Section 4(a)(2) and Rule 506(b) of Regulation D as an unregistered sale of equity securities.

• · The Amendment was approved by the Board of Directors on May 29, 2026.
• · The Services Agreement was originally dated March 13, 2026.
• · The issuance was exempt from registration under Section 4(a)(2) and Rule 506(b) of Regulation D.
• · The shares were issued without restrictions other than applicable securities laws.
• · The filing includes forward-looking statements and risk factors.

03-06-2026

On May 28, 2026, High Wire Networks, Inc. entered into a Securities Purchase Agreement with GHS Investments, LLC, issuing 46 shares of Series G Preferred Stock (including 12 shares as an equity incentive) at an initial aggregate subscription amount of $34,000. The Preferred Stock carries a 12% annual dividend and a stated value of $1,200 per share, with potential additional closings of up to 70 more shares. The agreement includes customary representations and warranties, and the securities were issued in a private placement exempt from registration under Section 4(a)(2) and Rule 506 of Regulation D.

• · The Preferred Stock is convertible into common stock per the Certificate of Designation.
• · Dividends are payable quarterly at the Company's discretion in cash or additional Preferred Stock.
• · Upon an Event of Default, all outstanding Preferred Stock becomes immediately redeemable at 135% of stated value plus accrued dividends and other amounts.
• · The Purchaser represented itself as an accredited investor and acquired the securities for its own account without a view to distribution.
• · The Agreement includes customary representations and warranties regarding the Company's organization, capitalization, compliance, intellectual property, and absence of material litigation.

03-06-2026

Katapult Holdings, Inc. entered into a Third Amendment and Limited Waiver to its Amended and Restated Loan and Security Agreement on June 2, 2026. The amendment removes the Minimum Trailing Net Three-Month Originations covenant and reduces the advance rate under the loan. The filing notes a series of prior waivers and amendments throughout 2025 and 2026, indicating ongoing covenant compliance challenges.

• · The amendment follows at least eleven prior limited waivers and two prior amendments executed between September 2025 and May 2026.
• · The Third Amendment removes the Minimum Trailing Net Three-Month Originations financial covenant.
• · The Third Amendment reduces the advance rate under the Loan Agreement.
• · The Loan Agreement was originally dated June 12, 2025.

03-06-2026

Silo Pharma, Inc. filed a Certificate of Change with the Nevada Secretary of State on June 3, 2026, effecting a 1-for-15 reverse stock split of its common stock. The reverse split reduces the authorized common shares from 100,000,000 to 6,666,667, with the par value remaining $0.0001 per share. Any fractional shares resulting from the split will be rounded up to the nearest whole share. The change became effective at 4:01 p.m. ET on June 2, 2026.

• · The reverse stock split was approved by stockholders.
• · The effective date and time of the change is June 2, 2026 at 4:01 p.m. ET.
• · The certificate was signed by CEO Eric Weisblum on June 1, 2026.
• · The filing was made with the Nevada Secretary of State under NRS 78.209.

03-06-2026

TTM Technologies announced the closing of a new $1.0 billion cash flow senior secured revolver and a repriced and upsized $400 million Term Loan B due May 2030. The new TLB is priced at Term SOFR+1.75%, a 50 basis point reduction from the prior facility, which is expected to generate meaningful cash interest savings. The revolver matures in May 2031 and replaces the company's prior $150 million U.S. and $150 million Asia ABL facilities, strengthening TTM's financial position and providing flexibility for strategic initiatives.

• · The new TLB matures in May 2030.
• · The new revolver matures in May 2031.
• · The revolver replaced prior $150M U.S. and $150M Asia ABL facilities.
• · The announcement aligns with plans communicated during the May 27th Investor Day presentation.

03-06-2026

On May 26, 2026, Sports Entertainment Gaming Global Corporation (SEGG) entered into a Securities Purchase Agreement with Amorua Global, Inc., issuing a $3,500,000 unsecured convertible promissory note bearing 12% annual interest and maturing in 24 months. The note carries a 15% original issue discount, and conversion rights are subject to a 9.99% beneficial ownership limitation. Proceeds will be used for general corporate purposes, including repaying $500,000 of indebtedness under the Alumni Capital note.

• · The note matures 24 months from the Closing Date (May 26, 2026), unless earlier converted, repaid, or terminated.
• · Conversion price is the lower of (i) the closing price on issuance date or (ii) 95% of the lowest daily VWAP during the five business days before conversion notice.
• · Company must file a Form S-1 registration statement within 45 days of the definitive transaction documents to register shares issuable upon conversion.
• · The note and conversion shares were issued in reliance on Section 4(a)(2) of the Securities Act and/or Rule 506 of Regulation D.
• · The company is an emerging growth company as defined in Rule 405 of the Securities Act.

03-06-2026

Liminatus Pharma entered into a warrant exercise agreement with existing accredited investors, generating $1.9 million in gross proceeds through the immediate cash exercise of 10,344,000 existing warrants at a reduced exercise price of $0.18 per share. In exchange, holders received new unregistered warrants to purchase 20,688,000 shares at $0.18 per share, which are not exercisable until stockholder approval is obtained under Nasdaq rules. The transaction provides near-term capital but introduces dilution risk and dependency on stockholder approval for the new warrants.

• · The new warrants expire five years from the date stockholder approval is obtained.
• · The company agreed to file a registration statement with the SEC covering the resale of shares issuable upon exercise of the new warrants.
• · Maxim Group LLC acted as warrant inducement agent and financial advisor.
• · The new warrants were offered in a private placement to accredited investors and are not registered under the Securities Act.

03-06-2026

Charlotte's Web Holdings, Inc. entered into an agreement with BT DE Investments Inc. to amend a convertible debenture originally issued in November 2022 for $75,341,080. The amendment reduces the conversion price to $0.94 per share and increases the conversion limit from 19.9% to 40.8%. Concurrently, the lender will convert the full outstanding principal plus accrued interest into 95,281,277 common shares, and a separate private placement of $10 million in shares will close simultaneously.

• · The conversion price is set at $0.94 per share, subject to adjustment under Section 4.3 of the debenture.
• · The interest conversion price is also set at $0.94 per share.
• · The conversion is contingent on and effective immediately prior to the closing of the private placement investment.
• · The parties waived any time periods under Article 4 of the debenture to facilitate immediate conversion at closing.
• · Upon conversion, the borrower is discharged from all obligations under the debenture, and the lender releases all claims.
• · The agreement is governed by Ontario law and the federal laws of Canada.

03-06-2026

DevvStream Corp. entered into a binding term sheet for a $6M private placement of Series A Preferred Stock, with $5M earmarked for investment in Southern Energy Renewables. Concurrently, the company received a notice of default from Helena Global Investment Opportunities 1 Ltd. on a $10M convertible note, claiming a $4.5M mandatory default amount, and Helena has initiated liquidation of approximately $2.8M in digital asset collateral. The company disputes certain components of the claim.

• · The Series A Preferred Stock is perpetual with no mandatory redemption or maturity date.
• · Conversion price is based on VWAP of XCF or DevvStream common stock depending on BCA outcome.
• · Automatic conversion occurs only upon change of control or approval of majority of Series A holders after BCA termination.
• · Helena's notice was delivered to BitGo as custodian under the Account Control Agreement.
• · Helena has instructed BitGo to remove the Company as an approver and liquidate Bitcoin and Solana collateral.
• · The Company is evaluating resolution alternatives and disputes certain components of the asserted mandatory default amount.

03-06-2026

LightPath Technologies announced a $100 million registered direct offering of 7,142,800 shares of Class A common stock at $14.00 per share, comprising a primary offering of 3,571,400 shares by the Company (gross proceeds of $50 million) and a secondary offering of 3,571,400 shares by the Selling Stockholder (no proceeds to the Company). The Company intends to use net proceeds for working capital, investments, acquisitions, and general corporate purposes. The offering is expected to close on June 3, 2026, subject to customary conditions.

• · The primary offering is made under shelf registration statement Form S-3 (File No. 333-291717) effective December 10, 2025; the secondary offering under Form S-3 (File No. 333-286947) effective May 12, 2025.
• · Craig-Hallum is acting as sole placement agent.
• · The Company will not receive any proceeds from the secondary offering.
• · LightPath has manufacturing facilities in Orlando, Florida; Texas; New Hampshire; Latvia; and China.

03-06-2026

Mineralys Therapeutics entered into a fourth amendment to its license agreement with Tanabe Pharma, terminating future royalty payments for lorundrostat in exchange for a $200.0 million one-time cash payment and up to $100.0 million in additional commercial milestone payments. Concurrently, the company secured a $500.0 million senior secured term loan facility from funds managed by Pharmakon Advisors, with an initial $100.0 million draw and additional tranches contingent on FDA approval of the lorundrostat NDA and sales milestones. The company will no longer have royalty obligations but retains up to $255.0 million in commercial milestone payments and $10.0 million for a second indication, while the loan carries a 5.50% spread over SOFR (with a 3.25% floor) and includes financial covenants requiring minimum liquidity and future net product revenue.

• · The license amendment grants Mineralys an exclusive, worldwide, royalty-free, sublicensable, perpetual and irrevocable license to lorundrostat intellectual property.
• · The Termination Agreement will include assignment of all Tanabe's rights in the licensed IP to Mineralys.
• · Tanabe retains a right of first negotiation with respect to Japan.
• · Upon a change of control involving U.S. commercialization rights, the New Milestones ($100.0M) become immediately payable.
• · The loan matures on June 3, 2031.
• · Tranche B must be drawn by April 30, 2027, subject to FDA NDA approval.
• · If the Tranche B Approval Condition is not met by September 30, 2027, all term loans must be repaid in four equal payments starting that date.
• · Financial covenants include minimum liquidity before NDA approval and a minimum trailing twelve months consolidated net product revenue covenant tested from Q1 2029.
• · The loan is secured by substantially all of the company's assets, including intellectual property.
• · Events of default include material adverse change or withdrawal event regarding lorundrostat, cross-default on third-party debt, and failure to pay judgments.

03-06-2026

Arch Capital Group Ltd. announced a $2.0B public offering of senior notes, consisting of $600M of 5.250% notes due 2036 and $1.4B of 5.950% notes due 2056. The net proceeds will be used to redeem $500M of 4.011% notes due 2026, pay tender offers for 5.144% notes due 2043 and 5.031% notes due 2046, and for general corporate purposes. The offering is expected to close on June 9, 2026, led by Wells Fargo, BofA Securities, J.P. Morgan, and Lloyds Securities.

• · The offering is being made under Arch's effective shelf registration statement previously filed with the SEC.
• · The offering is expected to close on June 9, 2026, subject to customary closing conditions.
• · Arch Capital Group Ltd. is part of the S&P 500 Index and had approximately $26.9 billion in capital as of March 31, 2026.

03-06-2026

On May 28, 2026, Hallmark Venture Group, Inc. (HLLK) assigned an impaired promissory note from Traderverse, Inc. (original principal $100,000, 8% interest, matured Oct 2024) to related party SB Technology Holdings, Inc. for $1,000 cash. The note had an outstanding balance of ~$113,752 as of Dec 31, 2025, but was written down due to collectibility doubts. The transaction was approved by the board as a related party transaction involving director Paul Strickland.

• · The Traderverse Note matured on or about October 29, 2024 and has remained unpaid for over 18 months.
• · The Company had previously determined the note to be impaired and written down its carrying value.
• · The assignment was made on a non-recourse, 'as is, where is' basis without any representation or warranty as to collectibility.
• · The transaction was authorized by the Board of Directors via written consent on May 28, 2026, after full disclosure of the related party nature.
• · The Company intends to report this as a related party transaction in subsequent periodic reports under Item 404 of Regulation S-K.

03-06-2026

Astrotech Corporation entered into an at-the-market offering agreement with H.C. Wainwright & Co., LLC on June 2, 2026, allowing the company to sell up to $24,492,819 of its common stock through an at-the-market offering. The company will pay a 3.0% commission on gross proceeds from each sale. The offering is not yet completed and the company is not obligated to sell any shares, so no immediate financial impact is reported.

• · The offering is made under a shelf registration statement on Form S-3 (File No. 333-293023) filed January 28, 2026 and declared effective January 30, 2026.
• · Sales may be made through ordinary brokers' transactions on The Nasdaq Capital Market at market prices.
• · The agreement terminates upon issuance and sale of all shares or termination of the agreement.
• · The company will reimburse Wainwright for certain specified expenses in connection with entering into the agreement.
• · The agreement contains customary representations, warranties, and conditions to sale.

03-06-2026

Intuitive Machines, Inc. entered into a Sales Agreement with multiple agents to sell up to $500.0 million of its Class A common stock through an at-the-market offering, effective June 2, 2026. The agreement includes a 3.0% commission to agents and customary representations and indemnification. No prior-period comparison is available as this is a new agreement.

• · The Registration Statement (File No. 333-296442) became effective on June 2, 2026.
• · The Sales Agreement includes indemnification obligations for both the Company and the Agents.
• · The Company agreed to reimburse certain expenses incurred by the Agents in connection with the Sales Agreement.
• · The offering is made only by means of the Prospectus filed with the SEC on June 2, 2026.

03-06-2026

BriaCell Therapeutics Corp. (Nasdaq: BCTX, BCTXL, BCTXZ) announced the pricing of a best-efforts offering of 1,449,300 common shares at $3.25 per share, with expected gross proceeds of approximately $4.7 million. The offering, placed by ThinkEquity and expected to close June 2, 2026, will be used for working capital, general corporate purposes, and advancing business objectives. The company is a clinical-stage biotechnology company developing novel immunotherapies for cancer. The filing is positive in that it provides additional capital, but the offering dilutes existing shareholders by approximately 1.45 million shares at a price that may reflect current market conditions.

• · Offering priced at $3.25 per share, a best-efforts offering of 1,449,300 common shares.
• · Total gross proceeds expected to be approximately $4.7 million.
• · The offering is being conducted under an effective shelf registration statement (Form S-3) filed with the SEC on January 22, 2024.
• · The company is relying on TSX exemption for interlisted issuers on Nasdaq.
• · ThinkEquity is acting as sole placement agent.
• · Expected closing date: June 2, 2026.

03-06-2026

Nuo Therapeutics entered into an amended and restated loan agreement for up to $2.0M in capital funding, with $1.0M already advanced, $675,000 to be advanced on the interim closing date, and $325,000 available upon request by September 30, 2026. Interest rates increase from 10% to 12% per annum, and all accrued interest is payable solely through the issuance of warrants, not cash. The company must make eight equal quarterly principal payments starting March 31, 2027, with the full balance due by December 31, 2028.

• · Interest accrues on a 30/360 basis for full calendar quarters only, with no compounding.
• · Voluntary prepayment is not allowed before December 31, 2026, and requires 15 days' notice.
• · Mandatory prepayment is triggered by an equity financing, change in control, or payment default.
• · All accrued interest is payable solely through the issuance of Interest Warrants, not cash.
• · The company issued various warrants at initial closing for commitment, origination, and prepayment fees, and will issue supplemental warrants at the interim closing.
• · The maturity date for the capital loan is December 31, 2028.

03-06-2026

Energy Focus, Inc. entered into a securities purchase agreement with Euka Power Japan Co., Ltd. on May 29, 2026, to issue and sell 65,789 shares of common stock at $3.80 per share in a private placement, raising $250,000. The transaction was conducted under exemptions from registration, relying on Section 4(a)(2) of the Securities Act. The filing does not include any period-over-period financial comparisons, so no balanced performance analysis is possible.

• · The purchase price per share of $3.80 was based on the closing price on the day immediately preceding the agreement date.
• · The shares were issued under exemptions from registration, including Section 4(a)(2) of the Securities Act.
• · The filing includes a form of Securities Purchase Agreement as Exhibit 10.1.

03-06-2026

Nauticus Robotics, Inc. entered into a third amendment to its loan agreement with a lender, as disclosed in an 8-K filing. The amendment includes a waiver of stockholder voting or consent rights for the lender when holding more than 4.99% of the company's outstanding common shares. The filing also clarifies that the lender is acting independently and not in concert with other lenders.

• · The amendment includes a waiver of stockholder voting or consent rights for the lender when holding more than 4.99% of the company's outstanding common shares.
• · The filing confirms the lender is acting independently and not in concert with other lenders.
• · The amendment incorporates Section 25 of the original Loan Agreement by reference.

03-06-2026

Lord Abbett Private Credit Fund entered into Amendment No. 2 to its Loan and Security Agreement, effective June 1, 2026, which adds ING Capital LLC as a new lender and makes conforming amendments to the agreement. The amendment also updates the benchmark rate definitions, including the Base Rate and Bank Bill Rate, and incorporates a Benchmark Replacement mechanism. No financial figures or performance metrics are disclosed in this filing.

• · ING Capital LLC joined as a new lender under the Loan and Security Agreement.
• · The amendment updates the Base Rate definition to reference the highest of the Prime Rate, Federal Funds Rate plus 0.50%, and zero (Floor).
• · The amendment introduces a Benchmark Replacement mechanism for obligations denominated in Dollars (Daily SOFR) and Sterling (Adjusted Daily Simple RFR).
• · No Default or Event of Default was outstanding as of the amendment effective date.
• · The amendment was governed by New York law and required delivery of a legal opinion from Dechert LLP.

03-06-2026

Fathom Holdings Inc. entered into an amended bridge note with Bed Bath & Beyond, increasing principal to $3,036,350, and obtained a limited waiver from note holders for filing defaults through October 1, 2026, with an increased interest rate floor of 10% and a default rate of 18%.

• · The waiver period runs from May 29, 2026 through October 1, 2026.
• · If the Q1 Form 10-Q is not filed by October 1, 2026, the waiver terminates and defaults resume.
• · A Failed Change of Control Event during the waiver period also terminates the waiver.
• · Scott Flanders, chairman, is a related party to the waiver transaction.
• · The company failed to timely file its Q1 Form 10-Q for the quarter ended March 31, 2026.

03-06-2026

Fifth Third Bancorp announced on June 1, 2026, its voluntary withdrawal of the listing of its common stock and four series of depositary shares from Nasdaq, with trading expected to end on Nasdaq at market close on June 11, 2026, and commence on the NYSE at market open on June 12, 2026. The securities have been approved for listing on the NYSE under new ticker symbols. No financial impact or performance metrics were disclosed in this filing.

• · The delisting and transfer are voluntary, not due to any failure to satisfy listing standards.
• · New NYSE ticker symbols: FITB (common), FITB PRA (Series A), FITB PRI (Series I), FITB PRK (Series K), FITB PRM (Series M).
• · The press release announcing the transfer was issued on June 1, 2026, and is attached as Exhibit 99.1.

03-06-2026

FS KKR Capital Corp. (FSK) entered into a Ninth Amendment to its Loan and Servicing Agreement for its wholly owned subsidiary CCT Tokyo Funding LLC, extending the maturity date from June 2, 2026, to September 30, 2026. The amendment involves Sumitomo Mitsui Banking Corporation as administrative agent and lender. While the extension provides near-term liquidity relief, the short duration (less than 4 months) suggests ongoing refinancing needs.

• · The original Loan and Servicing Agreement was dated December 2, 2015.
• · The Ninth Amendment was entered into on June 1, 2026, and filed on June 3, 2026.
• · The extension is from June 2, 2026, to September 30, 2026, a period of approximately 120 days.
• · No financial terms or amounts were disclosed in the filing.

03-06-2026

IR-Med, Inc. raised $19,054 in gross proceeds from a private placement of 250,000 common shares and warrants for 250,000 additional shares at $0.10 per unit, with participation from several directors including Chairman Oded Bashan. Concurrently, the Board granted fully vested options to purchase 5,040,000 shares to Chairman Oded Bashan, 3,236,519 shares to Director Aharon Klein, and 2,779,988 shares to Director Yaniv Cohen at an exercise price of $0.001 per share, all with a 10-year term. While the offering provides minimal capital, the option grants represent significant potential dilution for existing shareholders.

• · The private placement closed on May 31, 2026, with gross proceeds of only $19,054.
• · Warrants have a five-year term and an exercise price of $0.10 per share.
• · Options granted to directors are fully vested at issuance, have a 10-year term, and an exercise price of $0.001 per share.
• · The options were granted outside the Company’s 2020 Incentive Stock Option Plan.
• · The offering was conducted under Section 4(a)(2) and/or Rule 506(b) of Regulation D and Regulation S, exempt from registration.
• · Total potential dilution from the option grants is up to 11,056,507 shares (5,040,000 + 3,236,519 + 2,779,988).

03-06-2026

Range Impact announced a $10M common stock investment from Tacora Capital and a $4M secured loan from its subsidiary Range Cumberland to Cumberland Coal Corp. The first tranche of the equity facility closed on May 31, 2026, issuing 6,256,704 shares for $1.75M, with eleven subsequent monthly investments of $750k each. The company presents this as a validating endorsement, but the financing structure involves significant monthly dilution for existing shareholders over the next 12 months.

• · The equity is priced at the volume weighted average price (VWAP) for each applicable month, which means the number of shares per $750k tranche will vary with the stock price.
• · The loan from Range Cumberland to CCC is secured and capped at $4M, used for general working capital.
• · Tacora is a private capital fund based in Austin, Texas, described as a 'sophisticated and well-respected investor'.
• · The 12-month financing structure will result in monthly dilution for existing shareholders at variable prices depending on market conditions.

03-06-2026

Mawson Infrastructure Group Inc. has rebranded as Big Digital Energy (Nasdaq: BGDE) and released a June 2026 investor presentation outlining a strategic pivot from pure-play Bitcoin mining to institutional-grade AI and HPC infrastructure. The company plans a $1B+ capital strategy, with $100M+ in sponsor equity already committed, to develop a combined 752 MW pipeline (168 MW BGDE-owned, 584 MW SixThirty.AI-controlled) across six states. However, the presentation acknowledges the need to resolve negative working capital and retire toxic legacy debt, and the proposed acquisition of affiliated assets from the Endeavor Group remains subject to an independent review process.

• · Midland, PA site is one of the largest operating sites in PJM operated by a public BTC miner, grid-connected to nuclear power (carbon-free).
• · A second 250 MW substation is currently offline at the Midland site.
• · Replacement cost for 129 MW of grid-connected PJM data center infrastructure is estimated at $90M–$1.9B depending on grade (BTC mining vs AI).
• · Sandersville site was sold for $42.5M, nearly 3x the company's entire Q1 2026 market cap prior to BGDE takeover.
• · SixThirty.AI assets include 8 sites owned today and 2 near-term LOI assets.
• · The combined platform spans 6 states: IA, TX, KS, OK, PA, OH.
• · Management's ownership position in BGDE is cited as creating direct economic incentive for long-term shareholder value.
• · Any related-party asset acquisition would require third-party valuation, independent board review, and recusal of conflicted principals.

03-06-2026

Empery Digital Inc. (EMPD) entered into Amendment No. 2 and Waiver to its At-The-Market Issuance Sales Agreement with Aegis Capital Corp. on June 2, 2026. The amendment waives and deletes the automatic termination clause (Section 13(d)(i)) of the original agreement, extending the term until all authorized shares are issued and sold. This provides the company with continued access to equity capital through the ATM facility without a fixed expiration date.

• · The original ATM Agreement was dated October 18, 2024, and was previously amended on July 17, 2025 (Amendment No. 1).
• · The amendment waives and deletes clause (i) of Section 13(d), which previously provided for automatic termination.
• · The agreement will now automatically terminate only upon the issuance and sale of all Placement Shares through Aegis.
• · Certain provisions (Sections 9, 11, 12, 18, and 19) survive termination.
• · The amendment is governed by New York law.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

03-06-2026

Quantum Cyber N.V. (formerly Mainz Biomed N.V., Nasdaq: QUCY) issued a corporate presentation highlighting its pivot to a pure-play autonomous defense platform with combat-proven designs from Ukraine. The company has signed LOIs with General Cherry and SOCOM for its SWARM-X and FALCON 55 platforms, and is pursuing a vertically integrated, NDAA-compliant U.S. manufacturing build-out. However, the filing contains no current revenue, backlog, or financial performance data, and all product timelines and LOIs remain subject to definitive documentation and customary conditions.

• · Company has zero debt and no warrants outstanding.
• · Engineering team includes Ukrainian and Israeli engineers with five years of combat experience in active EW environments.
• · Flagship platforms held under exclusive worldwide license from BP United Corp (IP licensed, not owned); QUCY to own manufacturing.
• · GUARDIAN-X UGV and AMDRSES maritime USV have provisional patent filings.
• · Counter-UAS market projected to grow from $2.4B (2024) to $10.6B (2030); Military UAS market $27.4B by 2030; Naval MCM market $4.3B by 2030.
• · All product specifications, timelines, and LOIs remain subject to change, definitive documentation, and customary conditions.

03-06-2026

USA Rare Earth, Inc. executed definitive agreements with the U.S. Department of Commerce, unlocking access to up to $1.6 billion in total funding under the CHIPS Program — comprising $277 million in federal funding and up to $1.3 billion in senior secured loan capacity. Combined with a $1.5 billion PIPE closed in January 2026 and previous capital raises, total committed capital supporting the company’s growth plan is approximately $3.5 billion. The agreements support the development of an integrated heavy rare earth value chain, including the Round Top deposit, metal/alloy capacity, and NdFeB magnet manufacturing; however, disbursements are tied to project milestones, and the company faces significant execution risks including dilution from issuing 16.1 million shares and approximately 17.6 million warrants to the Department of Commerce.

• · Target commercial production from Round Top deposit in 2028.
• · The definitive agreements support reshoring of 10,000 tpa of heavy rare earth metal/alloy-making and strip-casting capacity, capabilities not currently existing in the U.S.
• · Total magnet manufacturing capacity target: 10,000 tpa across Stillwater, Oklahoma and Blacksburg, South Carolina.
• · 12 critical minerals and rare earth elements targeted for domestic access include dysprosium, terbium, yttrium, gadolinium, hafnium, erbium, thulium, lutetium, ytterbium, holmium, gallium, and zirconium.
• · Funding will be disbursed in phases tied to achievement of project milestones and structured to reimburse capital expenditures.
• · Issuance of 16.1 million shares and ~17.6 million warrants to the Department of Commerce will dilute existing stockholders.
• · The company has a limited operating history and faces risks including ability to meet milestones, execute acquisitions (Serra Verde), and achieve commercial production and positive cash flow.

03-06-2026

Maravai LifeSciences announced a refinancing of its credit agreement, entering into a new $150 million term loan facility and a $30 million revolving credit facility. The proceeds, along with approximately $98.5 million of cash on hand, were used to prepay the prior credit agreement's outstanding borrowings due October 2027, reducing total long-term debt from about $242.9 million to $150.0 million and extending the maturity to June 2032. While the transaction significantly reduces debt and extends maturity, it also consumes a substantial portion of cash reserves.

• · The new credit agreement provides a $30 million revolving credit facility for additional liquidity.
• · The prior credit agreement was due October 2027; the new term loan matures in June 2032.
• · The company used approximately $98.5 million of cash on hand to prepay prior borrowings, reducing cash reserves.

03-06-2026

SINTX Technologies raised approximately $5.0 million in equity capital, including a $4.5 million private placement of 1,882,845 shares at $2.39 per share with warrants, and a separate $500,000 ATM offering. The company issued Class A and Class B warrants exercisable at $2.14 per share, with the Class A warrants expiring in five years and Class B warrants in two years. Proceeds will be used for general corporate purposes, working capital, and commercialization activities, but the company faces ongoing risks related to Nasdaq compliance and future financing needs.

• · Class A Warrants expire five years from issuance; Class B Warrants expire two years from issuance.
• · The offering was conducted under Section 4(a)(2) of the Securities Act and Regulation D, limited to accredited investors.
• · The company has agreed to file registration statements for resale of the shares and underlying warrant shares.
• · SINTX has been implanting medical devices since 2008 and has nearly two decades of peer-reviewed research.
• · The company's SINAPTIC Foot & Ankle Implant System recently received FDA clearance.

03-06-2026

Inotiv, Inc. and its 18 affiliated debtors filed a prepackaged Chapter 11 plan of reorganization in the Southern District of Texas. The plan is supported by holders of a substantial majority of claims in the voting classes (Class 3 First Lien, Class 5 PIK Notes, and Class 6 Unsecured Convertible Notes). Solicitation of votes is underway with a deadline of July 6, 2026, and the debtors' governing bodies have approved the restructuring, believing it provides the best recovery for claim holders. The company has not yet filed the actual Chapter 11 petition.

• · The disclosure statement has NOT been approved by the bankruptcy court as no Chapter 11 petition has yet been filed.
• · Pre-petition solicitation is limited to holders who are Accredited Investors or Qualified Institutional Buyers.
• · Holder of Class 3 (First Lien), Class 5 (PIK Notes), and Class 6 (Unsecured Convertible Notes) claims are entitled to vote.
• · Voting deadline is July 6, 2026 at 4:00 p.m. Central Time.
• · The plan includes third-party releases with opt-out provisions for voting classes and opt-in provisions for certain other classes.
• · The debtors' address is 2701 Kent Avenue, West Lafayette, IN 47906.

03-06-2026

KKR FS Income Trust entered into a Third Amendment to its Senior Secured Revolving Credit Agreement, dated May 28, 2026, which increases aggregate commitments and adds new lenders. The amendment reaffirms existing liens and guarantees, and the borrower represents that no default or event of default is continuing. No specific financial figures or performance metrics are disclosed in this filing.

• · The amendment was dated May 28, 2026 and filed on June 3, 2026.
• · New lenders joined the credit facility, increasing aggregate commitments.
• · The borrower reaffirmed that no default or event of default is continuing.
• · Existing liens and guarantees under the Guarantee and Security Agreement remain in full force and effect.
• · The amendment includes a waiver of jury trial provision.

03-06-2026

Benchmark 2026-V22 Mortgage Trust filed an 8-K on June 3, 2026, disclosing that the servicing and administration of the Del Rey Campus Whole Loan are being transferred from the Benchmark 2026-V21 PSA to the WFCM 2026-5C9 PSA, effective upon issuance of the WFCM 2026-5C9 Certificates. The filing details the fee structures for the outside special servicer under the new agreement, including special servicing, workout, and liquidation fees, as well as property inspection requirements. No financial performance data or period-over-period comparisons are provided in this filing.

• · The Del Rey Campus Whole Loan was originally required to be serviced under the Benchmark 2026-V21 PSA, filed as Exhibit 4.5 to the Form 8-K on May 12, 2026.
• · The Servicing Shift Lead Note was contributed to the WFCM 2026-5C9 Securitization on May 28, 2026.
• · The WFCM 2026-5C9 PSA is dated as of May 1, 2026.
• · Property inspection requirements commence in 2027, with a deadline of December 31, 2028.
• · The filing includes Exhibit 4.1, the WFCM 2026-5C9 PSA.

03-06-2026

Kingfish Holding Corp disclosed that its subsidiary 6 LLC extended its existing loan with Hancock Whitney Bank to August 18, 2026, with a principal balance of $1,519,179 at an annual interest rate of 6.735%. However, the loan is now only extended in 90-day increments rather than annually, creating significant refinancing risk; there is no guarantee of further extensions, and if the loan is not extended, the company may be forced to sell assets, seek equity, or obtain replacement debt to fulfill its guarantee obligations, which could materially impact operations.

• · The loan extension was entered into on May 29, 2026, and the 8-K was filed on June 3, 2026.
• · Previously, the loan was extended on a year-to-year basis via new loan agreements; now it is only extended in 90-day increments with no agreement for annual renewal.
• · All assets of the Company and 6 LLC, including the leased business property, secure the Hancock Whitney Loan.
• · If the loan is not extended and 6 LLC cannot pay, Kingfish as guarantor may need to sell assets, seek equity investments, or replacement debt, with no assurance of favorable terms or success.

03-06-2026

On May 28, 2026, Healthy Choice Wellness Corp. entered into an Exchange Agreement with certain holders of its indebtedness to exchange $1,431,000 of principal for 5,315,450 shares of Class A common stock at $0.27 per share. Following the exchange, approximately $2,100,000 remains unpaid under the Credit Agreement. The transaction reduces debt but significantly dilutes existing shareholders.

• · The Notes were originally issued under a Loan and Security Agreement dated July 18, 2024.
• · Holders are subject to a 9.9% beneficial ownership limitation on conversion.
• · The exchange was executed on May 28, 2026, and reported on June 3, 2026.
• · The company is an emerging growth company and has not elected to use the extended transition period for new accounting standards.