US Material Events SEC 8-K Filings — September 01, 2026

01-09-2026

Applied Optoelectronics, Inc. (AAOI) entered into a 10-year lease agreement on August 31, 2026, for a newly constructed 356,186 rentable square foot industrial/warehouse building (Building 4) at Hightower Business Park Phase II in Houston, Texas. The lease carries a security deposit of $3.8 million and escalating monthly basic rent starting at $220,835.32 (months 1-12) and rising to $307,582.40 (months 109-120). The building is expected to be substantially complete approximately 16 months from the lease date, with tenant termination rights if completion is delayed beyond 24 months.

• · The lease is for a building to be constructed, with an estimated delivery date of 16 months from the lease date (around December 2027).
• · Tenant has termination rights if substantial completion is delayed beyond 24 months from the lease date.
• · Tenant's Proportionate Share of operating costs, taxes, and insurance is 100%.
• · Permitted use is general industrial/warehouse for light manufacturing, receiving, storing, shipping, and wholesale sales.
• · The lease includes exclusive use of loading facilities, trash removal area, and parking areas within the project.

01-09-2026

Amrize Ltd appointed Zane Nielsen as Chief Accounting Officer and Corporate Controller, effective September 1, 2026, replacing Richard Hoffman. Mr. Nielsen, a CPA with experience at Deere & Company and Holcim, will receive an annual base salary of $350,000, a 50% bonus target, and a 60% long-term incentive target beginning in 2027. The filing notes no family relationships or reportable transactions, indicating a routine executive appointment with no negative or flat performance metrics.

• · Mr. Nielsen has been a Certified Public Accountant since 2000.
• · He holds a Bachelor of Science in Business Administration (Accounting) from Creighton University and an MBA from Indiana University-Bloomington.
• · He served as Head of External Reporting for Amrize since its spin-off from Holcim in June 2025.
• · Prior roles include Director, Technical Accounting & SEC Reporting at Deere & Company (Jan 2021–Sep 2024) and SEC reporting manager at Union Pacific Railroad.
• · No family relationships with any director or executive officer, and no arrangements with any persons for his appointment.

01-09-2026

Valion Bio (Nasdaq: VBIO) announced strategic management and board changes, including the appointment of CFO Lisa Wolf as President and COO following the departure of CEO Michael K. Handley, and the addition of Jared Malbin and Thomas Jensen as directors. The company is positioning its lead asset Entolimod for the projected $7.8B Acute Radiation Syndrome market by 2032 and a multi-billion-dollar oncology supportive-care opportunity. While the leadership restructuring aims to accelerate execution and value creation, the departure of the CEO and the reliance on forward-looking projections introduce execution risk.

• · Lisa Wolf will continue as CFO while assuming the expanded roles of President and COO.
• · Thomas Jensen is CEO, Co-Founder and Director of Nasdaq-listed Allarity Therapeutics, advancing stenoparib in Phase 2 trials for advanced ovarian cancer.
• · Jared Malbin has over 25 years of financial-services experience and currently serves as COO of Lucid Capital Markets.
• · Entolimod has received Fast Track and Orphan Drug designations from the FDA.
• · The company is also advancing Entolasta, a next-generation TLR5 agonist for broader therapeutic applications including oncology supportive care.
• · The press release contains forward-looking statements and cautions readers not to place undue reliance on them.

01-09-2026

AptarGroup, Inc. appointed Gael Touya as a director effective September 1, 2026, increasing the board from 10 to 11 members, concurrent with his planned succession to President and CEO. Touya will serve until the 2028 annual meeting and receives no additional director compensation as a company employee. No negative or flat metrics are present in this filing as it solely covers a routine board expansion and officer appointment.

01-09-2026

Revolution Medicines, Inc. entered into four lease agreements on August 27, 2026, for a new headquarters totaling approximately 672,000 rentable square feet at 1600-1900 Seaport Boulevard in Redwood City, California. The leases have staggered commencements from September 2027 to September 2028, with initial terms ending in September 2042, and aggregate monthly base rent starting at approximately $2.7 million, escalating 3% annually. The transaction is subject to the landlords' acquisition of the properties (Phase II Closing), with a termination right for the company if the closing does not occur by December 31, 2026, and automatic termination if not closed by April 29, 2027.

• · Leases have staggered commencement dates from September 26, 2027 through September 1, 2028.
• · Initial lease terms end in September 2042, with options to extend for up to three additional five-year periods.
• · Base rent during extension periods will be determined based on fair market rent.
• · If Phase II Closing occurs after November 24, 2026 but on or before December 31, 2026, base rent will be reduced by $0.02 per rentable square foot per month.
• · If Phase II Closing occurs after December 31, 2026 and leases remain in effect, base rent will be reduced by an aggregate of $0.10 per rentable square foot per month.
• · Company may terminate each lease if Phase II Closing does not occur by December 31, 2026, by delivering notice within five business days after that date.
• · Each lease automatically terminates if Phase II Closing has not occurred by April 29, 2027, absent mutual extension.
• · Farallon Capital Management, L.L.C. reported beneficial ownership of approximately 6.4% of the company's outstanding common stock as of June 30, 2026.
• · Investment funds managed by Farallon indirectly own a majority interest in the landlords.

01-09-2026

Global Water Resources, Inc. entered into an Eighth Modification Agreement with The Northern Trust Company, increasing its revolving credit facility commitment from $20,000,000 to $30,000,000 (subject to reduction to $25,000,000 upon completion of certain capital markets activity) and extending the maturity date from May 18, 2028 to August 30, 2028. The unpaid principal balance as of the agreement date was $6,550,000. The company reaffirmed no defaults and no material adverse changes, and the modification was consented to by subsidiary guarantors.

• · The commitment increase is subject to reduction to $25,000,000 if the company completes capital markets activity (equity or debt offering) after the Eighth Modification date.
• · The maturity date extension is from May 18, 2028 to August 30, 2028.
• · The loan is secured by pledges from Global Water, LLC, West Maricopa Combine, LLC, and Global Water Holdings, Inc.
• · Borrower released the bank from all claims arising prior to the agreement date.
• · Subsidiary guarantors (Global Water, West Maricopa, Global Water Holdings) consented to the modification.

01-09-2026

Andretti Acquisition Corp. II entered into new non-redemption agreements with additional investors on August 31, 2026, to incentivize them not to redeem up to 2,600,000 Public Shares in exchange for up to 650,000 Pubco Shares (or 216,667 additional shares if the business combination closes after June 9, 2027). These agreements supplement prior non-redemption agreements covering 1,000,000 shares, and are intended to increase trust account funds, though they are not expected to increase the likelihood of shareholder approval of the extension. The company also adjourned its special meeting to September 8, 2026, to allow more time for redemptions and reversals.

• · Special meeting adjourned from August 28, 2026 to September 8, 2026 at 10:00 a.m. Eastern Time.
• · Non-redemption agreements terminate upon failure to approve extension, decision not to proceed, fulfillment of obligations, liquidation, mutual agreement, or actual redemption of shares.
• · The company may enter into additional similar non-redemption agreements.
• · The company is an emerging growth company and has elected not to use the extended transition period for complying with new accounting standards.

01-09-2026

Abpro Holdings, Inc. disclosed that Chairman Miles Suk voluntarily resigned from his position as Chairman of the Board on August 25, 2026, but will remain a director. The company also terminated his consulting agreement, resulting in a $50,000 compensatory payment over 60 days. No disagreement was cited, and a successor Chair will be appointed at the next board meeting.

• · Miles Suk's resignation as Chairman was not due to any disagreement with the company.
• · The Board of Directors will appoint a successor Chair at its next regularly scheduled meeting.
• · The company's common stock (ABP) and warrants (ABPWW) were delisted from Nasdaq and are trading on OTC Pink Ltd. tier as of February 23, 2026.
• · Warrants are exercisable for one share of common stock at an exercise price of $114.90.

01-09-2026

Nixxy, Inc. terminated the employment of CFO MeiLin Yu effective August 28, 2026. A successor has been identified but not yet appointed; the company will file a subsequent 8-K upon appointment. No financial details or performance metrics were disclosed.

• · The termination was effective immediately on August 28, 2026.
• · The Board of Directors made the decision to terminate Ms. Yu.
• · A potential successor has been identified; the company will file a separate 8-K upon appointment.

01-09-2026

Invivyd appointed Chairman Marc W. Elia as CEO, while Ajay Royan was named Lead Independent Director and Ian Sheffield joined the board as an independent director. The company also announced that its Phase 3 DECLARATION and LIBERTY studies of VYD2311 are approaching completion, with top-line data expected around the end of Q3 2026. Invivyd is preparing for a potential BLA submission under either traditional or accelerated approval pathways, depending on study unblinding.

• · Marc Elia has served as Chairman of Invivyd’s Board since June 2022 and has architected the company’s scientific and corporate strategy.
• · Ian Sheffield has over 20 years of experience as a healthcare investor and medical technology executive.
• · VYD2311 is functionally identical to prior Invivyd antibodies adintrevimab and pemivibart.
• · The company has been in discussions with FDA about potential paths forward for VYD2311.
• · VYD2311 may offer intramuscular administration for more patient-friendly dosing.

01-09-2026

Indaptus Therapeutics entered into an Amended and Restated At the Market Offering Agreement with H.C. Wainwright & Co., LLC on August 28, 2026, replacing the original agreement from June 1, 2022. The new agreement allows the company to issue and sell shares of common stock with an aggregate maximum offering price of up to $100,000,000 through an at-the-market offering program. The company filed a related prospectus supplement on August 31, 2026, and will pay Wainwright a placement fee of 3.0% of gross sales price for shares sold as sales agent.

• · The Sales Agreement amends and restates the original At The Market Offering Agreement dated June 1, 2022.
• · Shares sold under the original agreement prior to August 28, 2026 do not count toward the $100,000,000 limit.
• · The company filed a prospectus supplement on August 31, 2026, as part of its shelf registration statement on Form S-3 (File No. 333-289573) initially filed on August 13, 2025 and declared effective on August 20, 2025.
• · The company has no obligation to sell any shares under the Sales Agreement, and either party may suspend the offering at any time.
• · Wainwright may also purchase shares as principal under a separate terms agreement, in which case the compensation rate is not the 3.0% fee.

01-09-2026

Kustom Entertainment, Inc. (Nasdaq: KUST) announced a definitive agreement to acquire 100% of TFL, LLC (dba Tickets For Less), a premier wholesale ticketing distribution and live event technology platform. The acquisition is expected to be immediately accretive to revenue, earnings, and adjusted EBITDA, with TFL having generated over $238 million in revenue for full-year 2025. The deal combines Kustom's festival production footprint with TFL's high-margin inventory distribution network and proprietary technology, though it remains subject to customary closing conditions including regulatory consent and financing conditions.

• · TFL was founded in 2004 as Tickets For Less and is headquartered in Overland Park, KS.
• · TFL manages millions in live event ticket inventory and aggregates billions in inventory with its proprietary multi-feed.
• · Consideration includes cash, shares of Kustom common stock, and some share consideration held back for future EBITDA performance milestones.
• · TFL's executive leadership team will enter into long-term employment agreements upon closing.
• · Roth Capital Partners acted as exclusive financial advisor and rendered a fairness opinion to Kustom's Board.

01-09-2026

Crinetics Pharmaceuticals filed an 8-K on September 1, 2026, disclosing a Fourth Amended and Restated Certificate of Incorporation. The filing includes items related to material agreement termination, merger/acquisition, and changes in control, directors, and bylaws, but the provided exhibit only contains the amended charter. The charter reduces authorized common stock to 1,000 shares at $0.001 par value and includes standard provisions for director liability, exclusive forum, and corporate governance.

• · The filing includes Items 1.02 (Termination of a Material Definitive Agreement), 2.01 (Completion of Acquisition or Disposition of Assets), 3.01 (Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing), 3.03 (Material Modification to Rights of Security Holders), 5.01 (Changes in Control of Registrant), 5.02 (Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers), 5.03 (Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year), and 9.01 (Financial Statements and Exhibits).
• · The provided exhibit (Ex-3.1) is the Fourth Amended and Restated Certificate of Incorporation, which reduces the authorized capital stock to 1,000 shares of common stock.
• · The charter includes a Delaware exclusive forum provision for derivative actions, fiduciary duty claims, and DGCL-related claims.
• · The charter includes a provision eliminating personal liability of directors and officers for monetary damages for breach of fiduciary duty, to the fullest extent permitted by DGCL.

01-09-2026

Otter Tail Corporation disclosed that two directors, Thomas J. Webb and Kathryn O. Johnson, will not stand for reelection and will retire from the Board at the conclusion of their current terms, which expire at the 2027 Annual Meeting of Shareholders. Both departures are voluntary retirements under the company's director retirement policy and are not due to any disagreement with the company's operations, policies, or procedures. The departures are orderly and non-disruptive, with no immediate financial impact.

• · Thomas J. Webb notified the company on August 28, 2026, of his intention to retire at the 2027 Annual Meeting.
• · Kathryn O. Johnson notified the company on August 31, 2026, of her intention to retire at the 2027 Annual Meeting, having reached retirement age.
• · Both departures are in accordance with the Corporation's director retirement policy.
• · The filing was signed by Jennifer O. Smestad, Senior Vice President, General Counsel and Corporate Secretary.

01-09-2026

Caterpillar Financial Services Corp. and related entities entered into a new $1.7 billion 364-day credit agreement on August 27, 2026, with Citibank as agent and multiple joint lead arrangers. The facility provides revolving credit and term loan advances in multiple currencies and replaces the prior credit agreement. No default or adverse financial data is disclosed; the filing is a routine material agreement entry with no negative performance metrics reported.

• · The facility is a 364-day revolving credit facility with an option for term loan advances and voluntary conversion/continuation of advances.
• · The agreement includes provisions for allocations among borrowers, fees, prepayments, increased costs, and extensions of commitments.
• · Caterpillar Financial Services Corporation provides a guaranty for the obligations under the agreement.

01-09-2026

Caterpillar Inc. and several of its financing subsidiaries entered into a new 364-day revolving credit facility dated August 27, 2026, with a syndicate of major banks led by Citibank as agent. The facility provides revolving credit advances in multiple currencies (USD, GBP, EUR, JPY, and other eligible currencies) and includes a CFSC guaranty. The agreement replaces a prior credit facility and includes standard covenants, events of default, and pricing tied to Caterpillar's credit ratings.

• · The credit agreement is a 364-day facility dated August 27, 2026.
• · Borrowers include Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, Caterpillar Finance Kabushiki Kaisha, and Caterpillar International Finance Luxembourg S.à r.l.
• · The facility provides revolving credit advances in multiple currencies including USD, GBP, EUR, JPY, and other eligible currencies.
• · The agreement includes a guaranty from Caterpillar Financial Services Corporation.
• · The facility replaces a prior credit agreement (Section 8.16).
• · Pricing is based on the applicable borrower's credit ratings, with a pricing grid (Schedule II).
• · The facility includes standard covenants, events of commitment reduction, and bank addition provisions.

01-09-2026

Peoples Financial Services Corp. (PFIS) amended a Supplemental Executive Retirement Plan (SERP) for former President Thomas P. Tulaney on August 28, 2026, in connection with the Bank's purchase of an annuity contract to fund his normal retirement benefit. Under the amendment, if Mr. Tulaney survives the 20-year normal retirement benefit period, the Bank will provide an additional lifetime benefit equal to the annuity payments. The filing does not disclose any financial amounts or performance metrics, so no positive or negative financial trends can be assessed.

• · The amendment was approved by the Company, the Bank, and Mr. Tulaney.
• · The annuity contract serves as a source of funding for Mr. Tulaney's normal retirement benefit under the SERP.
• · The additional benefit after the 20-year period is payable monthly for the balance of Mr. Tulaney's life.

01-09-2026

Fluence Energy appointed Stephan May to its board of directors effective August 27, 2026, filling a vacancy created by Ruth Gratzke's resignation. May, CEO of Electrification and Automation at Siemens Smart Infrastructure, was designated by Siemens Industry under the Stockholders Agreement. Separately, the company moved its principal executive offices to 2107 Wilson Boulevard, Suite 900, Arlington, Virginia 22201, effective September 1, 2026.

• · May's term expires at the 2027 annual meeting of stockholders.
• · May will serve on the Compensation and Human Resources Committee.
• · Siemens Industry and its Permitted Transferees have the right to designate up to three directors as long as Siemens Related Parties own 20% or more of outstanding Class A common stock.
• · The company's principal stockholders include Siemens AG, SPT Holding, and Siemens e.V.
• · Siemens AG and affiliates have purchased and may continue to purchase the company's products and services for energy storage projects, and also supply goods and services to the company.
• · The new executive office address is 2107 Wilson Boulevard, Suite 900, Arlington, Virginia 22201; the telephone number remains unchanged.

01-09-2026

Franklin Covey announced several executive leadership changes effective September 1, 2026. M. Sean Covey transitions from President, Education Division to Chief Product Officer with no change in compensation. John Buchanan joins as Executive Vice President, Education from GoGuardian. Colleen Dom will retire as EVP, Operations effective June 1, 2027, receiving $98,000 plus an incremental short-term incentive award through August 31, 2027; Adam Sherman will succeed her. The changes are organizational and do not include financial results or performance metrics.

• · M. Sean Covey, age 61, has been with the company since at least 2017 and holds an MBA from Harvard Business School.
• · John Buchanan, age 52, previously served as Chief Growth Officer at GoGuardian and held marketing roles at Care.com, LegalZoom, the NFL, Adobe, and Electronic Arts.
• · Colleen Dom's retirement is effective June 1, 2027, with transition services through August 31, 2027.
• · Adam Sherman, age 39, joined Franklin Covey in September 2024 and previously held leadership roles at Zoom and LinkedIn.

01-09-2026

Avis Budget Group, Inc. announced on September 1, 2026, that Ravi Simhambhatla, Executive Vice President and Chief Digital & Innovation Officer, will leave the company. He will remain in his current role until September 30, 2026, to ensure a smooth transition. The filing does not disclose any financial impact or replacement, and no period-over-period comparisons are available.

• · Ravi Simhambhatla has served as EVP and Chief Digital & Innovation Officer for the past four years.
• · His departure is effective September 30, 2026.
• · No successor or interim replacement has been announced.

01-09-2026

On August 26, 2026, Mark Meller resigned from the board of directors of Callan JMB Inc. and from his committee positions, effective immediately, in connection with governance arrangements under an Asset Purchase and Sale Agreement (APA) with Reger Oil, Inc. The resignation was not due to any disagreement with the company. A replacement director will be nominated by the holders of a majority of the Series A perpetual convertible preferred stock issued to Seller upon closing of the APA; if the transaction is not consummated, the remaining directors will fill the vacancy.

• · The resignation is tied to the Asset Purchase and Sale Agreement (APA) entered into on August 19, 2026, for the acquisition of certain oil and gas assets from Reger Oil, Inc.
• · If the APA transaction is not consummated, the remaining directors will fill the vacancy per the company's bylaws.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new or revised financial accounting standards.

01-09-2026

Moderna announced a proposed private placement of $2.0 billion aggregate principal amount of Convertible Senior Notes due 2032, with an option for initial purchasers to buy an additional $300.0 million. The notes are zero-coupon and convertible into cash, stock, or a combination. Proceeds will be used to pay for capped call transactions (to offset dilution up to a 150% premium cap) and for general corporate purposes, including potential investment in oncology growth and debt repayment. The offering is unregistered and limited to qualified institutional buyers.

• · The notes will not bear regular interest and principal will not accrete.
• · Upon conversion, Moderna may pay cash, shares, or a combination at its election.
• · Capped call transactions are expected to reduce potential dilution upon conversion, with a cap initially at least 150% premium over the stock price at pricing.
• · Option counterparties may engage in hedging activities that could affect the market price of Moderna's common stock or the notes.
• · The offering is exempt from registration under the Securities Act, limited to qualified institutional buyers.

01-09-2026

1st Franklin Financial Corporation amended its existing Loan and Security Agreement with BMO Bank N.A. and other lenders, increasing the revolving credit facility from $300,000,000 to $430,000,000 and extending the maturity date from December 6, 2027 to August 27, 2029. The amendment, effective August 26, 2026, includes a $130,000,000 increase in aggregate revolving commitments provided by certain lenders. The company reaffirmed its collateral and obligations under the credit agreement, with no defaults or material adverse changes reported.

• · The amendment was executed on August 26, 2026 and filed on September 1, 2026.
• · The $130,000,000 increase was provided by lenders identified as 'Second Amendment Increasing Lenders'.
• · The maturity date was extended by approximately 20 months from December 6, 2027 to August 27, 2029.
• · The company confirmed no known claims, offsets, defenses, or counterclaims against the lenders as of the amendment date.
• · A post-closing obligation requires delivery of an amendment to the Deposit Account Control Agreement with SouthState Bank within 30 days of the effective date.

01-09-2026

On August 31, 2026, two officers of Exodus Movement, Inc., Jon Paul Richardson and Daniel Castagnoli, voluntarily cancelled all of their outstanding restricted stock units—273,278 and 233,218 units respectively—to free up share capacity under the company's 2026 Stock Incentive Plan. The cancellations are intended to support employee compensation and the integration of Monavate and Baanx. No financial metrics or period-over-period comparisons are provided in this filing.

• · The cancellations were voluntary and represent all outstanding restricted stock units for both officers.
• · The freed share capacity is intended for the company's 2026 Stock Incentive Plan to compensate employees and service providers.
• · The integration of Monavate and Baanx is cited as a key strategic reason for the cancellations.

01-09-2026

PennantPark Investment Corporation issued $62 million of 8.00% Senior Unsecured Notes due 2031 and $2 million of 7.25% Senior Unsecured Notes due 2029 in a private placement. The notes rank pari passu with existing unsecured debt and are structurally subordinated to subsidiary obligations. Proceeds will be used for general corporate purposes, and the company entered into registration rights agreements with the purchasers.

• · The notes are direct unsecured obligations ranking pari passu with other unsecured unsubordinated debt, effectively subordinated to secured debt, and structurally subordinated to subsidiary obligations.
• · The 2031 Notes were issued at 98% of par, implying an effective yield above 8%.
• · The 2029 Notes-2 were issued at 100% of par.
• · The company entered into separate Registration Rights Agreements for each tranche of notes.
• · Closing occurred on September 1, 2026, with notes initially issued as global notes through DTC book-entry.

01-09-2026

GitLab reported Q2 FY2027 revenue of $286.3M, up 21% YoY, with non-GAAP operating margin of 15% and GAAP operating loss of $(56.9)M. However, GAAP operating margin worsened to (20)% from (8)% YoY, and operating cash flow turned negative at $(3.1)M versus $49.4M in the prior year. The company guided Q3 FY2027 revenue of $281-$283M, implying a sequential decline, and full-year FY2027 revenue of $1.129-$1.133B.

• · First Order growth exceeded 100% year-over-year.
• · Dollar-Based Net Retention Rate was 117%.
• · GitLab repurchased approximately 3.5 million shares in Q2 FY2027.
• · GAAP net loss per share (basic and diluted) was $(0.22) vs $(0.06) in Q2 FY2026.
• · Non-GAAP net income per share (basic) was $0.25, unchanged YoY; diluted was $0.24, unchanged YoY.
• · Q3 FY2027 revenue guidance of $281-$283M implies a sequential decline from Q2's $286.3M.
• · Full-year FY2027 revenue guidance of $1.129-$1.133B.
• · Non-GAAP operating income guidance for Q3 FY2027: $35-$37M; full year: $148-$152M.
• · Non-GAAP diluted net income per share guidance: Q3 FY2027 $0.19-$0.20; FY2027 $0.85-$0.87.
• · GitLab recognized as a Leader in Gartner Magic Quadrant for DevSecOps Platforms for fourth consecutive year.
• · Forrester study found 400% ROI and $7.5M NPV over three years for GitLab Duo Agent Platform.

01-09-2026

Greenlight Capital Re, Ltd. announced the appointment of John Welch as an independent director, effective September 1, 2026, following the recent election of Ariel Warszawski to the Board at the Annual General Meeting on July 28, 2026. Chairman David Einhorn highlighted the new directors' expertise in insurance, actuarial science, and strategic advisory to strengthen Board oversight. The filing is a routine board composition update with no financial results or performance metrics disclosed.

• · John Welch served as Group Chief Underwriting Officer of Aspen Insurance Holdings Limited from July 2025 to February 2026, and as a reinsurance executive at Sompo Holdings until August 2026.
• · Ariel Warszawski is co-founder and co-CEO of Firefly Minerals, LLC (since 2026) and co-founder and co-portfolio manager of Firefly RE Management Company (since 2020).
• · Ariel Warszawski was previously co-founder and co-portfolio manager of Firefly Value Partners, a long/short value hedge fund that wound down in 2025.
• · John Welch is a Fellow of the Casualty Actuarial Society and holds a B.S. in Mathematics from Fairfield University.
• · Ariel Warszawski holds a B.S. in Materials Science and Engineering from MIT.

01-09-2026

Red Robin Gourmet Burgers completed the sale of 108 company-owned restaurants for $89.4 million in gross proceeds across three separate refranchising transactions, with an additional 8 restaurants expected to close by fiscal year end for $6.6 million, bringing total proceeds to approximately $96 million from 116 restaurants. The buyers are Op Burgers (69 restaurants for $62.5 million), Kuber (17 restaurants for $10 million), and Evergreen Dining (30 restaurants for $23.5 million). Proceeds will be used to pay down debt and support refinancing under the company's First Choice Plan, but the company faces risks including potential failure to close remaining sales and reliance on franchisee performance.

• · The sale of 108 restaurants closed on September 1, 2026, with 61 of 69 Op Burgers restaurants closed and 8 pending liquor license transfers.
• · Red Robin operates nearly 500 locations in the US and Canada, including franchise locations.
• · Evergreen Dining employs more than 1,200 people across its operating entities and has a support center providing accounting, HR, IT, marketing, payroll, purchasing, and real estate services.
• · The company intends to use net proceeds to pay down outstanding debt and execute refinancing priorities under the First Choice Plan.
• · Forward-looking statements caution that remaining restaurant closings may not be completed on time or at all, and the company may not fully realize projected benefits.

01-09-2026

Mohawk Industries appointed An Nuyttens as President of its Flooring Rest of the World segment, effective mid-October 2026. Nuyttens brings over 30 years of global leadership experience from Solvay to lead the company's international flooring, panel and insulation businesses, including Unilin. The appointment comes as Paul De Cock transitions from interim segment leadership to his role as incoming CEO effective September 30, 2026.

• · Nuyttens holds an MBA and a Master’s degree in Chemical Engineering from KU Leuven University in Belgium.
• · Paul De Cock has led the Flooring Rest of the World segment on an interim basis and will become CEO effective September 30, 2026.
• · Mohawk Industries is the world's largest flooring company with leading positions in North America, Europe, South America and Oceania.
• · The company's brands include American Olean, Daltile, Durkan, Eliane, Elizabeth, Feltex, Godfrey Hirst, Karastan, Marazzi, Mohawk, Mohawk Group, Mohawk Home, Mohawk Performance Accessories, Pergo, Quick-Step, Unilin and Vitromex.

01-09-2026

Vertex Pharmaceuticals announced the appointment of Jonathan Poole as Executive Vice President and Chief Financial Officer, effective January 1, 2027. Charles F. Wagner, Jr. will step down as CFO on that date but remain as Executive Vice President and Chief Operating Officer. Mr. Poole will receive a base salary of $750,000 and a target annual bonus of 90% of base salary, with severance and change of control benefits outlined in his employment agreements.

• · Jonathan Poole, 51, has been Senior Vice President, Finance at Vertex since March 2020.
• · Previously served as CFO of Evelo Biosciences (March 2018-March 2020) and Genocea Biosciences (April 2014-March 2018).
• · Mr. Poole has been a director and audit committee member of Acadia Pharmaceuticals since March 2026.
• · Employment agreement includes severance of 100% of base salary and target annual bonus if terminated without cause or for good reason.
• · Change of control agreement provides for full vesting of equity awards and up to 12 months of COBRA premium payments.
• · Agreements will be filed as exhibits to the Form 10-Q for the quarter ended September 30, 2026.

01-09-2026

MSC Income Fund, Inc. completed a $150.0 million private notes offering with a 6.83% fixed rate, maturing September 30, 2029. The proceeds will be used to repay $150.0 million of outstanding 4.04% Series A Senior Notes due October 30, 2026, effectively refinancing higher-cost debt with a higher-rate note. The offering is split into two closings: $75.0 million closed today and $75.0 million in October 2026.

• · The new Notes are unsecured and may be redeemed at MSC Income's option at par plus accrued interest and a make-whole premium.
• · Pending repayment of the Series A Notes, proceeds will be used to repay borrowings under the Corporate Facility and SPV Facility, then re-borrowed for investments and operations.
• · The Notes are offered in a private placement exempt from SEC registration under the Securities Act of 1933.

01-09-2026

Raymond James Financial announced the election of Will Weatherford, managing partner of Weatherford Capital, to its Board of Directors effective December 15, 2026. Weatherford will serve on the Audit and Risk Committees, bringing business leadership and public service experience. The appointment reflects the board's focus on governance and long-term value creation.

• · Weatherford co-founded Weatherford Capital in 2015 with his two brothers and chairs its Investment Committee.
• · Weatherford served as Florida's 84th Speaker of the House from 2012 to 2014.
• · He previously served as Co-Chairman of the Super Bowl LV Host Committee.
• · Weatherford holds a bachelor's degree in international business from Jacksonville University and played collegiate football.

01-09-2026

Calumet, Inc. announced a capital-efficient expansion of its Montana Renewables subsidiary to reach approximately 200 million gallons of annual SAF production by year-end 2028, with total remaining project capital reduced to $137 million from the original $1.2 billion Phase 2 plan. The amended DOE loan guarantee reduces Phase 2 funding from up to $658 million to a single final draw of $34 million, eliminating the need for third-party equity and dilution. However, the expansion timeline extends to 2028, and the company faces execution risks related to equipment repurposing, turnaround activities, and DOE conditions precedent.

• · The expansion is structured as six small, controllable, quick-payback projects rather than a single large construction project.
• · The dual reactor system uses a proprietary 'polishing' service instead of industry-standard 'cracking' service, delivering advantaged SAF yields.
• · The loan retains a 15-year tenor with annual interest rate of U.S. Treasury rate plus 3/8%, and first servicing date of March 2029 with maturity in December 2039.
• · During construction, retained earnings from MRL are expected to maintain debt at less than 55% of eligible spending.
• · The turnaround to complete the tie-in is scheduled for Q4 2026, allowing CMR to capture approximately $50 million of EBITDA at elevated margins before transition.
• · CMR will continue producing retail asphalt and retain all employees, providing shared site cost efficiencies.

01-09-2026

Millrose Properties, Inc. (MRP) entered into amendments to its Founder's Rights Agreement with Lennar and its Management Agreement with external manager Kennedy Lewis Land and Residential Advisors LLC on August 27, 2026. The FRA Amendment adjusts the Priority Amount for the Capital Priority Right and Lennar's secured financing collateral consent right, while the MA Amendment revises investment guidelines and the definition of Reimbursable Expenses. No financial figures or performance metrics were disclosed in this filing.

• · The FRA Amendment was entered into with Lennar entities (U.S. Home, LLC, Lennar Homes Holding, LLC, and CalAtlantic Group, LLC).
• · The MA Amendment was entered into with Kennedy Lewis Land and Residential Advisors LLC, the Company's external manager.
• · Both amendments were dated August 27, 2026, and filed as exhibits to the 8-K.

01-09-2026

Korn Ferry completed its acquisition of UK-based AMS from OMERS Private Equity, creating a global leader in talent and organizational consulting with nearly 17,000 employees across 130+ offices. The total consideration included approximately £473 million and $326 million in cash plus 3,118,628 shares of Korn Ferry common stock. The combination brings together complementary strengths and expanded industry coverage, though integration risks and cost synergies remain to be realized.

• · The transaction was structured as a lock-box acquisition, meaning the purchase price was fixed at signing and AMS's cash flows between signing and closing accrued to the sellers.
• · Korn Ferry is the Official Talent & Organizational Consulting Partner of LA28, powering the nearly 5,000 people who power the Olympic Games.
• · The acquisition was completed on September 1, 2026, and the filing was made the same day.

01-09-2026

Yum! Brands completed the sale of Pizza Hut (excluding Mainland China) to LongRange Capital for approximately $1.5 billion, with an additional earn-out of up to $75 million by 2030. Combined with the earlier sale of Pizza Hut China to Yum China for $1.2 billion (closed August 7, 2026), total proceeds from divesting the entire Pizza Hut business are $2.7 billion. The transaction marks a strategic shift for Yum! to focus on its remaining brands (KFC, Taco Bell, Habit Burger & Grill) and digital growth initiatives, though the company faces risks including the recent cyclospora outbreak and exposure to the Chinese market.

• · The Pizza Hut China sale closed on August 7, 2026.
• · Goldman Sachs and Barclays served as financial advisers to Yum!.
• · Yum! faces risks from a July 2026 cyclospora outbreak and its significant exposure to the Chinese market.
• · Yum! now operates or franchises more than 44,000 restaurants in 151 countries under KFC, Taco Bell, and Habit Burger & Grill.

01-09-2026

J.P. Morgan Real Estate Income Trust, Inc. increased its revolving credit facility from an undisclosed prior amount to $550 million, with PNC Bank and TD Bank joining as new lenders and Truist Bank and BMO Bank increasing their commitments. Concurrently, the company requested a $180 million Term SOFR loan on August 31, 2026. The filing does not disclose any negative or flat performance metrics, as it is a routine financing transaction.

• · The increase was effective as of August 27, 2026.
• · The original credit agreement was dated July 15, 2025, and amended on May 22, 2026.
• · New lenders PNC Bank and TD Bank joined as Revolving Credit Lenders.
• · Increasing lenders Truist Bank and BMO Bank increased their existing commitments.
• · The company requested a $180 million Term SOFR loan with a one-month interest period on August 31, 2026.
• · No defaults or events of default existed at the time of the agreement.

01-09-2026

Spire Inc. entered into a $400 million delayed draw senior unsecured term loan agreement on August 31, 2026, with a syndicate of banks led by Mizuho Bank and U.S. Bank. The facility matures in 364 days and carries interest at SOFR plus 0.80% per annum. Proceeds are for general corporate purposes, and the company must maintain a consolidated capitalization ratio of no more than 70%.

• · Availability period ends on the earliest of full utilization, fourth borrowing, or December 31, 2026.
• · Facility matures 364 days after the effective date (August 31, 2026).
• · Interest rate options: base rate or Adjusted Term SOFR plus 0.80% per annum.
• · Covenant requires consolidated capitalization ratio ≤ 70% at each fiscal quarter-end.
• · Customary events of default include payment defaults, covenant breaches, bankruptcy, material judgments, cross-defaults, and change of control.

01-09-2026

Hycroft Mining Holding Corporation announced the appointment of four highly accomplished mining industry leaders to its Board of Directors, effective September 1, 2026. The new directors include Richard O'Brien (former CEO/CFO of Newmont Mining), Marcelo Godoy (CTO of AngloGold Ashanti), Josh Olmsted (former President, Americas, Freeport-McMoRan), and Blake Rhodes (former General Counsel of Newmont). The appointments expand the Board to nine directors and are intended to strengthen the company's operational, technical, and financial expertise as it advances its Hycroft Mine toward the next phase of sulfide processing and exploration. No financial metrics or performance data were disclosed in this filing.

• · Richard O'Brien was appointed Lead Independent Director, replacing Thomas Weng who remains on the Board.
• · Marcelo Godoy holds a Ph.D. in Strategic Mine Planning from The University of Queensland.
• · Josh Olmsted oversaw Freeport-McMoRan's copper mining operations across North and South America, including the Morenci mine.
• · Blake Rhodes played a central role in Newmont's acquisition of Goldcorp Inc. and the formation of the Nevada Gold Mines joint venture.
• · The company is advancing sulfide mineralization processing and conducting a 2025-2026 exploration drill program targeting the Brimstone and Vortex high-grade silver systems.

01-09-2026

On August 26, 2026, the Compensation Committee of Stark Novus Financial Inc. approved compensation changes for CEO Alexander Matina, effective September 1, 2026. His annual base salary increased from $415,000 to $451,750, his annual restricted stock unit grant was raised from $50,000 to $63,250 in fair market value, and he will receive a one-time cash bonus of $120,000. The changes reflect the company's commitment to retaining and incentivizing its top executive.

• · The RSU grant vests in two substantially equal installments on the first and second anniversaries of the grant date, subject to acceleration upon a change in control and continued employment through each vesting date.
• · A pro-rated portion of the increased RSU grant will be made for the balance of 2026, with vesting to commence on the first and second anniversaries of September 1, 2026.

01-09-2026

Helix Energy Solutions Group Inc. filed an 8-K including audited financial statements of Hornbeck Offshore Services, Inc., indicating a potential acquisition. Hornbeck's revenue grew 12.3% YoY to $719.8M in 2025, and net income surged 86.8% to $173.4M. However, cash and cash equivalents declined 33.0% to $54.2M, and long-term debt remained high at $410.4M.

• · Hornbeck's vessel revenues grew 13.0% YoY to $669.0M in 2025 from $592.2M in 2024.
• · Non-vessel revenues increased 4.6% YoY to $50.8M in 2025 from $48.6M in 2024.
• · Operating income rose 44.1% YoY to $189.2M in 2025 from $131.3M in 2024.
• · Net interest expense increased 26.3% YoY to $26.0M in 2025 from $20.6M in 2024.
• · Depreciation expense increased 9.9% YoY to $41.6M in 2025 from $37.8M in 2024.
• · Amortization expense increased 63.9% YoY to $43.8M in 2025 from $26.7M in 2024.
• · General and administrative expense increased 4.7% YoY to $74.5M in 2025 from $71.1M in 2024.
• · Stock-based compensation expense decreased 17.7% YoY to $7.7M in 2025 from $9.4M in 2024.
• · Gain on sale of assets was $13.2M in 2025 vs $0.04M in 2024.
• · Basic EPS increased to $10.86 in 2025 from $5.43 in 2024.
• · Diluted EPS increased to $9.60 in 2025 from $4.83 in 2024.
• · Total comprehensive income was $178.7M in 2025 vs $83.2M in 2024.
• · Accounts receivable increased 13.2% to $164.7M as of Dec 31, 2025 from $145.5M as of Dec 31, 2024.
• · Property, plant and equipment, net increased 11.8% to $754.1M as of Dec 31, 2025 from $674.7M as of Dec 31, 2024.
• · Current maturities of long-term debt were $30.3M as of Dec 31, 2025 vs $0 as of Dec 31, 2024.
• · Total current liabilities increased 20.6% to $142.3M as of Dec 31, 2025 from $118.0M as of Dec 31, 2024.
• · Deferred tax assets, net were $16.0M as of Dec 31, 2025 vs $0 as of Dec 31, 2024.
• · Deferred tax liabilities, net were $0 as of Dec 31, 2025 vs $6.0M as of Dec 31, 2024.
• · The company repurchased $46.4M of common stock, Jones Act Warrants, and Creditor Warrants in 2025.
• · The company repurchased $78.4M of common stock, Jones Act Warrants, and Creditor Warrants in 2024.

01-09-2026

Intellinetics, Inc. announced the retirement and resignation of CEO Matthew Chretien as Secretary and Chief Strategy Officer, effective September 1, 2026. The company expects to enter into a separation agreement with Mr. Chretien, but material terms have not yet been determined. Alison Forsythe has been appointed as President and CEO, succeeding Chretien.

• · Matthew Chretien's resignation is effective September 1, 2026.
• · Alison Forsythe has been appointed as President and Chief Executive Officer.
• · A separation agreement with Mr. Chretien is expected but material terms are not yet determined.

01-09-2026

Ryman Hospitality Properties closed the $1.38B acquisition of Grande Lakes Orlando, a 1,592-room resort with 320,000 sq ft of meeting space, on September 1, 2026. The company updated its 2026 guidance to include the new property, raising consolidated Adjusted EBITDAre midpoint by $32.5M to $926.5M and consolidated operating income midpoint by $12.5M to $562.9M. However, net income available to common stockholders per diluted share midpoint declined by $0.18 to $3.93, and adjusted FFO per share/unit midpoint fell by $0.05 to $9.08, due to higher share count from the acquisition financing.

• · Same-store Hospitality RevPAR growth guidance midpoint unchanged at 4.0%.
• · Grande Lakes Orlando is expected to contribute $12.5M midpoint to operating income and $32.5M midpoint to Adjusted EBITDAre in FY 2026.
• · Net income midpoint decreased $3.3M to $279.8M despite the acquisition, due to higher depreciation and interest costs.
• · Weighted average diluted shares outstanding increased by 2.3 million (3.4%) to 70.7 million, reflecting shares issued for the acquisition.
• · The company's hotel portfolio now totals 13,956 rooms and over 3 million square feet of meeting space.
• · The acquisition was funded with approximately $1.38 billion in total consideration.

01-09-2026

Quantum Corporation appointed Hiral A. Patel as Chief Accounting Officer, effective immediately. Patel brings over two decades of public-company accounting experience from Pep Boys, IKEA Retail, Verifone Systems, and Ernst & Young. As an inducement, she received 50,000 restricted stock units vesting over three years. The filing highlights recent success in improving revenue and profitability but includes forward-looking statements cautioning about competitive pressures and execution risks.

• · Patel is a Certified Public Accountant and holds a BBA in Accounting from Temple University.
• · The RSU grant is subject to Patel's continued employment and is expected to be effective on or around October 1, 2026 under Quantum's 2021 Inducement Plan.
• · Quantum has over four decades of experience and serves life sciences, government, media and entertainment, research, and industrial technology sectors.

01-09-2026

Mid Penn Bancorp, Inc. (NASDAQ: MPB) announced the appointment of Gregory B. Braca to its Board of Directors, effective September 16, 2026. Braca is the former president and CEO of TD Bank, a top-10 U.S. bank with over $400 billion in assets, and brings over 40 years of banking and financial services experience. The appointment is a positive governance move, but the filing contains no financial results or operational metrics, so there is no negative or flat performance data to report.

• · Braca currently serves as chairman of Ironlight, a tokenized exchange ATS for real world assets.
• · He sits on the board of Intellicheck, a publicly-traded I.D. management company.
• · He is a senior advisor to Star Mountain Capital (private credit) and Myota (cybersecurity).
• · Braca previously chaired the New York Bankers Association.
• · Mid Penn operates 62 retail locations in Pennsylvania and central/southern New Jersey.

01-09-2026

Hyperliquid Strategies Inc entered into Amendment No. 1 to its ChEF Purchase Agreement with Chardan Capital Markets LLC, increasing the total commitment from $1.0 billion to $2.5 billion for the issuance of common stock. The amendment also introduces an Exchange Cap of 42,641,847 shares (19.99% of outstanding shares) at a minimum price of $12.02 per share, requiring stockholder approval for issuances above that cap. This significantly expands the company's potential equity financing capacity.

• · The Exchange Cap of 42,641,847 shares represents 19.99% of shares outstanding immediately prior to the amendment's execution.
• · The minimum price of $12.02 per share applies to issuances that would exceed the Exchange Cap.
• · Stockholder approval is required for issuances above the Exchange Cap unless Nasdaq rules do not require it.
• · The amendment was executed on September 1, 2026, and filed as Exhibit 10.1 to the 8-K.

01-09-2026

Rent the Runway, Inc. entered into a Third Amendment to its Amended and Restated Credit Agreement on September 1, 2026, establishing a new incremental term loan facility of $10,000,000. The proceeds will be used for working capital and general corporate purposes. The amendment involves the company, its lenders, and CHS (US) Management LLC as administrative agent.

• · The Third Amendment was entered into on September 1, 2026.
• · The Credit Agreement was originally dated October 28, 2025, and has been amended twice before (First Amendment on January 28, 2026; Second Amendment on April 1, 2026).
• · The incremental term loan facility is in the aggregate principal amount of $10,000,000.
• · Proceeds will be used for working capital and other general corporate purposes.

01-09-2026

Silver Bow Mining Corp. granted equity awards to its named executive officers on August 26, 2026. The awards include stock options and restricted stock units (RSUs) to the CEO, and stock options to the President, CFO, and COO. The stock options vest over three years and are exercisable at $8.86 per share until 2031, while the RSUs vest upon a change in control, asset sale, or CEO departure.

• · All stock options vest in three equal annual installments on the first, second, and third anniversaries of the grant date.
• · Each stock option is exercisable at $8.86 per share until August 26, 2031.
• · RSUs vest upon the earliest of: (i) a change in control, (ii) a sale of the majority of the Company’s assets, or (iii) the departure of Mr. Travis Naugle from the Board.

01-09-2026

TPG Private Equity Opportunities, L.P. (via T-POP Finance Holdings, LLC) entered into a $1.5B credit agreement with Wells Fargo as administrative agent on August 26, 2026. The facility provides loans and letters of credit to finance investment activities and working capital, secured by portfolio investments with a 15% advance rate. The agreement includes joint and several liability among borrowers, a 3.00% per annum applicable rate on Eurocurrency loans, and default rate increases of up to 2.50% per annum.

• · The credit agreement is governed by New York law and includes a waiver of jury trial.
• · Borrowers include T-POP Finance Holdings, LLC (Cayman Islands) and other Primary Borrowers and Qualified Borrowers.
• · The facility can be increased temporarily or permanently subject to conditions.
• · Financial covenants include maintenance of liens and compliance with anti-money laundering and sanctions laws.
• · Events of default include failure to pay, breach of representations, and cross-default to other indebtedness.

01-09-2026

BMO 2026-5C15 Mortgage Trust filed an 8-K/A to disclose that the servicing of The Landing Whole Loan will be transferred to a new securitization (BMO 2026-5C16) following the contribution of the Servicing Shift Lead Note on August 26, 2026. The transfer is governed by the BMO 2026-5C16 Pooling and Servicing Agreement, which has similar servicing terms but includes specific fee structures for the special servicer. The change is administrative and does not affect the trust's financial performance.

• · The Landing Whole Loan will be serviced under the BMO 2026-5C16 Pooling and Servicing Agreement, which has similar terms to the original but with specified fee differences.
• · Property inspection frequency depends on the outstanding principal balance of the Pari Passu Companion Loan: at least annually if $2,000,000 or more, and at least every other year if less than $2,000,000, commencing in 2027.
• · The filing is an amendment (8-K/A) to the original 8-K filed on June 25, 2026.