US Material Events SEC 8-K Filings — October 28, 2026

28-10-2026

GE HealthCare reported Q3 2026 revenue of $5.5 billion, up 7.2% (6.2% organic), with net income attributable to GE HealthCare rising to $615 million from $446 million and diluted EPS of $1.36 versus $0.98. Adjusted EBIT margin expanded 180 bps to 16.6%, and full-year 2026 guidance was raised for organic revenue growth, Adjusted EBIT margin, Adjusted EPS, and free cash flow. Growth was not uniform: PCS segment EBIT margin of 8.6% remains well below AIS (15.3%) and PDx (29.9%), and the company announced the departure of PCS President and CEO Jeannette Bankes effective with Neal Sandy's appointment on November 16, 2026, alongside a planned $945 million cash acquisition of SOFIE Biosciences.

• · Q3 2026 Adjusted EBIT margin of 16.6% rose 180 bps YoY, driven by volume, price, cost productivity and favorable net tariff impact, partially offset by inflation
• · Q3 2026 operating cash flow and free cash flow both include a $55M tariff refund
• · PCS segment EBIT margin of 8.6% remains the lowest of the three segments despite 480 bps of YoY improvement
• · PCS segment organic revenue growth was 8.8%, while AIS organic growth was 4.5% and PDx organic growth was 13.8%
• · Full-year 2026 Adjusted EPS guidance raised to $4.95–$5.05 from $4.80–$5.00, representing 7.9%–10.1% growth versus 2025A
• · Full-year 2026 organic revenue growth guidance updated to approximately 4.0% from a prior range of 3.0%–4.0%
• · Full-year 2026 Adjusted EBIT margin guidance raised to 15.5%–15.7% from 15.4%–15.7%
• · Free cash flow guidance raised to $1.6B+ from approximately $1.6B
• · Quarterly dividend increased 14% to $0.04 per share
• · Year-to-date 2026 operating cash flow of $1,365M and free cash flow growth were supported by inventory build of $430M and a $2,293M cash outlay on business acquisitions
• · Total debt rose to $10.0B from $9.5B long-term plus $0.5B short-term at December 31, 2025, and cash fell to $2.9B from $4.5B
• · Backlog of $23.7B and book-to-bill of 1.03x indicate orders modestly exceeded revenue in the quarter
• · SOFIE acquisition expected to close in first half of 2027 subject to regulatory approvals; establishes U.S. PET radiopharmaceutical 'final mile' footprint

28-10-2026

HomeTrust Bancshares (NYSE: HTB) announced the appointment of Charles F. Bowman as a director effective October 26, 2026, after he served as an advisory director since July 2026. Bowman is a retired President of Bank of America for North Carolina (retired 2022 after 26 years at the bank). The filing contains no financial results, and the appointment is the sole operative event; the company also reiterates a pending proposed acquisition of Blue Ridge Bankshares, Inc. subject to regulatory approvals and customary closing conditions.

• · Bowman previously served as Global Compliance Executive and Associate General Counsel at Bank of America and led Global Trust Services, Regulatory Remediation Strategy, and other teams
• · Bowman was awarded the Order of the Long Leaf Pine by North Carolina's Governor in 2024
• · The company has been recognized as one of Bank Director's 'Best U.S. Banks,' Forbes' 'America's Best Banks,' and S&P Global's 'Top 50 Community Banks,' and as a 'Best Place to Work' in all five operating states

28-10-2026

Wintergreen Acquisition Corp. (WTGUR), a Cayman Islands special purpose acquisition company, issued an unsecured, non-interest-bearing promissory note for $184,635.00 dated October 25, 2026, to MACRO DREAM Holdings Limited, a British Virgin Islands company. The proceeds will be deposited into the trust account to fund a one-month extension of the deadline to complete a business combination, from October 31, 2026 to November 30, 2026. The note is repayable only upon a business combination, is forgiven if the company liquidates, and carries a conversion option into units at $10.00 per unit.

• · Note is repayable only on the earlier of a business combination or the business combination deadline; if the company liquidates, the note is forgiven and the payee waives all claims against the trust account.
• · Payee may convert principal into placement units at $10.00 per unit upon a business combination, with cash paid in lieu of fractional units.
• · Note is governed by New York law and may not be assigned by the payee before a business combination without the maker's consent.
• · Yongfang Yao signed the note on behalf of both the maker and the payee, indicating a related-party arrangement.

28-10-2026

GridAI Technologies Corp. (Nasdaq: GRDX) entered into a securities purchase agreement on October 22, 2026 to sell pre-funded warrants for up to 462,365 shares and accompanying common warrants for the same number of shares, for gross proceeds of approximately $2,150,000 at a combined price of $4.65 per pre-funded warrant and common warrant pair. Net proceeds are earmarked for general corporate purposes, including possible acquisitions, debt repayment, and working capital. The filing discloses no revenue, earnings, or operating performance data for the current or prior period.

• · Common warrants expire five years from the earlier of the registration statement effective date or the date the underlying shares can be resold without restriction under Rule 144
• · Common warrants may be exercised on a cashless basis if the underlying shares are not registered under an effective registration statement
• · Purchasers hold piggyback registration rights, but the company is not obligated to file a resale registration statement solely for them
• · Pre-funded warrants have no expiration date and are exercisable immediately
• · Securities were issued on October 26, 2026 under the Section 4(a)(2) private placement exemption

28-10-2026

Star Equity Holdings announced that its wholly owned Alliance Drilling Tools (ADT) business, within the Energy Services division, acquired a privately held Vernal, Utah machine shop through an affiliate, with the transaction closing October 23, 2026. The shop provides repair, rebuild, and machining services for well fishing tools, drill pipe, and other drilling equipment and will operate alongside ADT's existing Vernal location. The filing does not disclose the purchase price or any financial results from the target, so the financial impact cannot be quantified from this document.

• · The acquired shop has served as ADT's machining provider in Vernal for more than a decade, so the acquisition brings an established supplier in-house.
• · Management expects the expanded capabilities to support pursuit of oil and gas drilling work in the Uinta Basin and mining and geothermal opportunities in the region.
• · The filing lists Items 1.01, 3.02, 7.01, and 9.01, indicating a material agreement, an unregistered equity sale, Regulation FD disclosure, and exhibits; the purchase price and equity terms are not stated in the press release text provided.

28-10-2026

First Breach Inc. and IdeaForge Technology Inc. entered into a Termination Agreement, executed October 23, 2026, terminating their joint venture agreement dated September 23, 2025 and its March 11, 2026 amendment, which were intended to jointly undertake a business through a proposed Delaware corporation, First Forge Technology Inc. The termination follows the Closing not occurring before the Long Stop Date and was also agreed by mutual written consent, following a termination email from First Breach dated October 6, 2026. The filing discloses no monetary amounts, financial results, or quantitative performance data.

• · Termination Agreement executed October 23, 2026, with parties' existing rights, obligations and interests under the JV Agreement terminated effective the Execution Date
• · Mutual releases and waivers of claims against each other and related releasees, excluding breaches of the new agreement and future agreements
• · Confidential Information must be returned or destroyed within 7 days; Non-compete and Non-solicit clause (Clause 16) of the JV Agreement does not survive termination
• · No transfer or license of Intellectual Property occurred under the existing agreements; each party retains its own IP

28-10-2026

Enanta Pharmaceuticals announced that CEO Jay R. Luly, Ph.D. (age 70) will retire by February 1, 2027, after 23 years of leadership, and will serve as a Strategic Advisor through the remainder of 2027. The company simultaneously appointed Tara L. Kieffer, Ph.D. to the newly created role of Chief Operating Officer, and the Board has launched a comprehensive search for a successor. The transition is a leadership change with no quantitative financial results disclosed.

• · CEO retirement effective no later than February 1, 2027
• · Dr. Luly remains as Strategic Advisor for the remainder of 2027 to support transition
• · Chief Operating Officer role is newly created and will drive operational execution and alignment with strategic priorities
• · Board is considering both internal and external candidates for CEO successor
• · Enanta's HCV royalties from AbbVie-partnered glecaprevir products contribute ongoing operational funding
• · Pipeline includes RSV programs and immunology programs targeting KIT, STAT6 and MRGPRX2 inhibition
• · Forward-looking risks cited include need to attract and retain senior management and key R&D personnel

28-10-2026

Mitesco, Inc. (OTCQB: MITI) appointed Frank Panunto to its Board of Directors effective October 25, 2026. Panunto has advised the company for nearly two years on its Robo Agent application development project and brings three decades of franchise turnaround and real estate experience, currently serving as Vice President of Growth, U.S. East, at eXp Realty. The filing is a board appointment with no quantitative financial results disclosed.

• · Panunto previously served as Branch Manager of Long & Foster Real Estate's Bear, Delaware office from 2014 to 2023
• · Panunto earned a bachelor's degree in architectural design from the University of Delaware in 1991
• · Forward-looking statements reference a potential proposed spinout and dividend distribution, and a restructuring of Series A preferred stock and bridge notes, without further detail in this exhibit

28-10-2026

Enerpac Tool Group Corp. (EPAC) entered into a First Amendment to its previously announced Agreement and Plan of Merger with Specialized Fabrication Equipment Group LLC (SFE Group), dated October 27, 2026, for the Company's acquisition of SFE Group. The amendment shifts the issuance of Restricted Stock Unit awards to key SFE Group personnel, in lieu of cash transaction bonuses, to a newly adopted Inducement Award Plan, adds related covenants and closing conditions, and clarifies the closing-date adjustment of merger consideration for cash, debt and transaction expenses. The filing does not disclose transaction value or financial metrics of SFE Group.

• · Merger Agreement originally dated July 7, 2026; First Amendment dated October 27, 2026
• · Acquisition structured as merger of Merger Sub into SFE Group, with SFE Group surviving as a wholly owned subsidiary
• · Transaction bonuses to SFE Group key personnel to be settled in RSUs under the new Inducement Award Plan rather than the 2017 Omnibus Incentive Plan
• · Amendment adds a covenant and closing conditions requiring key personnel to execute award agreements under the Inducement Plan

28-10-2026

Red Robin Gourmet Burgers (NASDAQ: RRGB) announced that directors James Pappas (Managing Member of JCP Investment Management) and Chris Martin (Managing Director of Jumana Capital) resigned from the Board effective October 23, 2026, reducing the Board to six directors, five of whom will be independent. The company cited substantial completion of its refranchising program (more than 100 Company-operated restaurants sold) and a refinancing of its prior credit agreement into a new five-year, $115 million senior secured facility led by JPMorgan Chase Bank, N.A. (a $90 million term loan and a $25 million revolver), which carries lower borrowing costs. The filing does not disclose any operating decline, though the company's forward-looking statements flag risks including integration of the transactions, debt service, covenant compliance, and potential contingent lease liabilities.

• · Resignations were effective October 23, 2026, though the announcement was dated October 27, 2026, and the 8-K was filed October 28, 2026.
• · Pappas and Martin joined the Board in December 2024 in connection with an additional investment by Jumana and JCP.
• · The new facility carries a five-year term and is described as having meaningfully lower borrowing costs than the prior agreement; specific interest rates and the prior facility size are not disclosed.
• · The company's forward-looking statements explicitly flag risks including possible failure to fully realize refranchising and refinancing benefits, debt service and covenant compliance, potential contingent lease liability, and geographic concentration in the Western US.

28-10-2026

Ocean Power Technologies (OPTT) dismissed Baker Tilly US, LLP as its independent registered public accounting firm effective October 26, 2026, with the Audit Committee citing savings on audit fees and costs among other factors, and appointed Carr, Riggs & Ingram, L.L.C. for the fiscal year ending April 30, 2027. Baker Tilly's prior-year audit report for the fiscal year ended April 30, 2026 contained a going-concern explanatory paragraph, and the company disclosed material weaknesses in internal control over financial reporting related to complex/non-routine transactions (revenue recognition and convertible debt) and inventory management system data. The company also announced a letter of intent with Stratum Holdings for a proposed collaboration on offshore renewable-powered data center assets.

• · Moss Adams merged with Baker Tilly effective June 2, 2025, and Baker Tilly succeeded Moss Adams as auditor.
• · Material weaknesses cited in Item 9A of the FY2026 Annual Report and the 10-Q for the quarter ended July 31, 2026, covering complex transaction accounting and inventory aging controls.
• · Baker Tilly's letter to the SEC dated October 28, 2026 is filed as Exhibit 16.1; the 8-K states no disagreements or reportable events in the two most recent fiscal years, except as disclosed in the material weakness discussion.
• · The letter of intent with Stratum Holdings was announced in a press release dated October 26, 2026 (Exhibit 99.1).

28-10-2026

AXT, Inc. announced that its majority-owned subsidiary Beijing Tongmei Xtal Technology Co., Ltd. (Tongmei) has entered into definitive agreements for a private equity financing of a minimum of RMB 1,912,350,000 (approximately US$285 Million) and up to a maximum of RMB 3,668,639,053.25 (approximately US$545 Million) in Tongmei ordinary shares, to fund indium phosphide capacity expansion, capital expenditures and working capital. Closing is subject to customary conditions, including governmental filings, and is expected in December 2026, with no assurance it will close; assuming the maximum amount, AXT would retain control with approximately 73.40% ownership and continue to consolidate Tongmei.

• · Financing proceeds will also fund capacity increases at AXT's Chinese raw material companies
• · Lead investor is a leading Asia asset manager said to have guided companies through overseas listings and is committed to supporting a Tongmei overseas listing
• · Closing depends on receipt of PRC registrations, export permits for indium phosphide substrates, and investors funding their commitments; risks include geopolitical tensions between China and the United States
• · AXT holds partial ownership in over ten Chinese companies producing raw materials for its manufacturing process

28-10-2026

22nd Century Group, Inc. (XXII) entered into Amendment No. 2 to its Sales Agreement on October 27, 2026, with Needham & Company LLC and Clear Street LLC, solely to add Clear Street LLC as an additional sales agent under the at-the-market sales agreement originally dated November 4, 2025 and amended March 31, 2026. The filing discloses no dollar amount, share count, or financial results, and the amendment's full terms are in Exhibit 10.1.

• · Clear Street LLC is being added as a second sales agent alongside Needham & Company LLC under the existing Sales Agreement.
• · The original Sales Agreement with Needham is dated November 4, 2025, and was previously amended on March 31, 2026.
• · Filing is made under Item 1.01 (Entry into a Material Definitive Agreement) and Item 9.01(d) (Exhibits), with the amendment filed as Exhibit 10.1.

28-10-2026

HF Sinclair reported Q3 2026 net income attributable to stockholders of $2,015 million ($11.38 per diluted share), versus $403 million ($2.15 per diluted share) in Q3 2025, and adjusted net income of $2,079 million ($11.75 per diluted share) versus $459 million ($2.44) a year earlier. Results were driven by the Refining segment, where income before interest and taxes rose to $2,435 million from $476 million on tight transportation fuel supply and elevated crack spreads, while Lubricants & Specialties income fell to $38 million from $52 million and Midstream income declined to $87 million from $98 million; the company also took $109 million of Mississauga Refinery retirement charges and announced a regular $0.525 quarterly dividend alongside a planned separation of its Lubricants & Specialties segment.

• · Adjusted refinery gross margin was $54.22 per produced barrel sold, up 183% from $19.16, driven by tight transportation fuel supply, elevated crack spreads and small refinery RINs waivers from the EPA
• · Crude charge fell to 614,060 BPD from 639,050 BPD, reflecting the planned turnaround at the El Dorado refinery that also reduced Mid-Continent sales
• · Renewables Adjusted EBITDA excluding a $30M LCM inventory benefit was $109M versus $(13)M, aided by improved RINs prices and higher Producer's Tax Credit benefits
• · Lubricants & Specialties segment income fell 26.9% despite Adjusted EBITDA of $174M, because of $109M in Mississauga Refinery retirement charges ($27M impairment, $28M severance, $54M accelerated D&A)
• · Mississauga Refinery retirement is expected to be substantially completed in the second half of 2027
• · Midstream segment income declined 11.2% and Adjusted EBITDA was $101M versus $114M EBITDA in Q3 2025
• · Cash and cash equivalents rose $2,355M from December 31, 2025 to $3,333M at September 30, 2026
• · Net cash provided by operations was $1,784M in Q3 2026; consolidated debt was $2,774M at quarter end
• · Board declared a $0.525 per share quarterly dividend payable December 2, 2026 to holders of record November 12, 2026
• · Planned Separation to distribute at least 80.1% of Lubricants & Specialties stock, substantially completed over 2027

28-10-2026

Parsons Corporation (NYSE: PSN) announced that Executive Vice President and Chief Financial Officer Matt Ofilos will resign effective November 6, 2026, to pursue another professional opportunity, with the resignation not stemming from any disagreement with the company. Board member and former CFO George Ball (CFO from 2008 to 2022) was appointed Interim Chief Financial Officer effective the same date while the Board conducts a search for a permanent successor. The announcement was issued alongside third-quarter 2026 results that were strong, with fiscal year 2026 revenue and adjusted EBITDA guidance midpoints reaffirmed and ranges narrowed, and operating cash flow guidance reiterated.

• · Ofilos' resignation is effective November 6, 2026, and Ball's interim appointment takes effect the same day.
• · Ofilos' resignation is explicitly stated not to result from any disagreement with the company on operations, policies, or practices.
• · Ball joined Parsons in 1995 and held multiple financial and operational leadership positions before becoming CFO; he also helped lead the 2019 IPO.
• · The Board has initiated a thorough search for a permanent CFO successor; no timeline was disclosed.
• · The Q3 2026 earnings release reaffirmed the FY2026 revenue and adjusted EBITDA guidance midpoints and narrowed the ranges; operating cash flow guidance was reiterated.

28-10-2026

Etsy's Q3 2026 shareholder letter, furnished under Item 2.02, reports Etsy Marketplace GMS of $2.6B (up 8.8% Y/Y, 9.1% currency-neutral) and marketplace revenue of $692M (up 10.9% Y/Y), with take rate at 26.2% (+50 bps Y/Y) and adjusted EBITDA of $210M (30.4% margin). The company completed the sale of Depop on July 30, 2026, presented as a discontinued operation. Growth is accelerating, though the letter attributes part of the top-line strength to external GMS tailwinds and does not provide a comparable Y/Y figure for total net income in the excerpt provided.

• · Active buyers grew Y/Y for the first time in two years
• · Active seller base grew at its fastest rate in two years
• · GMS growth accelerated for the sixth consecutive quarter sequentially
• · Depop sale closed July 30, 2026; Etsy results presented on a continuing operations basis

28-10-2026

FuelCell Energy appointed Peter Hopper, co-founder and managing director of Primary Digital Infrastructure and former managing director at DigitalBridge, to its board of directors on October 28, 2026, as the company advances its data center power strategy. Hopper brings more than 25 years of experience and has led or advised on more than $40 billion in acquisitions, capital formation, recapitalizations and strategic investments. The filing is a board appointment announcement with no financial results or guidance disclosed.

• · Hopper will serve on the Nominating, Governance & Sustainability and Compensation and Leadership Development Committees
• · Hopper currently sits on the board of flyExclusive, Inc., serving on its audit and compensation committees
• · Hopper previously co-founded and was CEO of DH Capital, and was a partner at ABRY Partners
• · Company cites data center customers seeking time-to-power, reliability and infrastructure solutions as a driver of the appointment

28-10-2026

BRC Group Holdings, Inc. (formerly B. Riley Financial, Inc.) disclosed that its indirect subsidiary BRSH Merger Sub LLC completed a short-form merger with B. Riley Securities Holdings, Inc. (BRSH) effective October 22, 2026, after owning more than 90% of BRSH common stock. Remaining BRSH public holders receive $8.88 per share in cash, and BRSH restricted stock awards are substituted with BRC restricted stock awards at a 2:1 ratio. Andy Moore, a former BRC named executive officer (until September 18, 2025) and BRSH director, received a Substitute Restricted Stock Award covering 374,720 BRC shares.

• · Effective Time of the Short-Form Merger was October 22, 2026, upon filing of the Certificate of Ownership and Merger with the Delaware Secretary of State
• · Substitute awards retain the original vesting terms and schedule, including any acceleration, and the Vesting Commencement Date of March 10, 2025 is carried over
• · Unvested substitute restricted shares are forfeited upon termination of employment for any reason, including death, disability, with or without cause
• · Grant Date of the substitute awards is October 22, 2026; the filing includes the form of award agreement as Exhibit 10.1 with grantee-specific fields left blank
• · Filing lists the registrant's address as Los Angeles, CA, and reports the Company's principal executive offices telephone as (310) 966-1444 while the EDGAR header shows 818-884-3737

28-10-2026

Fidelity Core Real Estate Fund filed an Amended and Restated Declaration of Trust dated October 28, 2026, filed under Items 1.01, 5.03 and 9.01 of Form 8-K. The restated declaration establishes a single-trustee Maryland statutory trust structure intended to operate as a REIT, sets out three share classes (Class I, Class S and Class F common shares of beneficial interest, each with unlimited authorized shares), and grants the Trustee broad authority to issue shares, declare distributions, and elect or revoke REIT qualification without shareholder approval. The filing contains no monetary amounts, performance metrics, or period-over-period financial data, so no balanced financial comparison is applicable.

• · The Trust is organized as a Maryland statutory trust under the Maryland Statutory Trust Act, with the Certificate of Trust filed with the Maryland State Department of Assessments and Taxation.
• · Class S and Class F common shares automatically convert into Class I common shares immediately before any liquidation, dissolution or winding up, at the applicable conversion rates.
• · Removal of the Trustee constitutes a Dissolution Event unless shareholders holding a majority of non-Fidelity-held votes agree within 90 days to continue the Trust and elect a replacement Trustee.
• · Shares held by the Trust or entities it controls are excluded from voting, and shareholder votes are limited to specified matters such as Trustee removal, amendments, and mergers.

28-10-2026

Macquarie Infrastructure Fund, L.P. entered into Amendment No. 1 to its Amended and Restated Investment Advisory Agreement with Macquarie Wealth Advisers, LLC on October 22, 2026, under which the Adviser waives the entire Management Fee from the Initial Closing through November 30, 2027, and a partial fee waiver thereafter, capping the fee at an annual rate of 1.00% of NAV for Class S, D and I Units from December 1, 2027 to November 30, 2028 before reverting to 1.25% from December 1, 2028. The Fund also entered into an Amended and Restated Expense Limitation and Reimbursement Agreement with the Adviser on the same date, extending the Adviser's expense limitation period from one year to three years from the Initial Closing date.

• · Amendment No. 1 to the Advisory Agreement and the A&R Expense Limitation Agreement are both dated October 22, 2026, and are filed as Exhibits 10.1 and 10.2 respectively.
• · The A&R Expense Limitation Agreement amends and restates the Expense Limitation Reimbursement Agreement that was effective October 31, 2025.
• · The filing does not disclose the dollar amount of fees waived or expenses to be limited, so the financial magnitude of these concessions cannot be quantified from this filing alone.
• · Class S, D and I Units are the only unit classes referenced in the fee terms; the Initial Closing date itself is not specified in this filing.

28-10-2026

Ultralife Corporation (NASDAQ: ULBI) entered into a merger agreement under which EnerSys (NYSE: ENS) will acquire Ultralife in an all-cash transaction valued at approximately $320 million, including assumed net debt. Ultralife shareholders will receive $16.00 per share in cash, a stated premium of 166% to the October 26, 2026 closing price. The deal has been unanimously approved by both boards, is not subject to a financing contingency, and is expected to close in the first quarter of calendar 2027, subject to tender of a majority of shares and regulatory approvals.

• · Transaction is structured as a tender offer by an EnerSys subsidiary followed by a merger, with closing expected in Q1 CY2027
• · Ultralife common stock will be delisted from all public markets upon completion
• · Closing conditions include tender of at least a majority of outstanding shares and receipt of applicable regulatory approvals
• · Deal rationale centers on U.S. Department of War and allied defense customers and FEOC-compliant product portfolio
• · Ultralife's purpose-built manufacturing capacity holds existing security and environmental permits

28-10-2026

ABM Industries Incorporated disclosed that Rene Jacobsen, Executive Vice President and Chief Operating Officer, has given notice of his voluntary retirement effective February 1, 2027. He will transition to the role of Executive Advisor effective November 1, 2026, through February 1, 2027. The filing contains no financial results or quantitative performance data.

• · Retirement notice dated October 28, 2026; Jacobsen's retirement becomes effective February 1, 2027
• · Jacobsen's COO role ends effective November 1, 2026, when he moves to Executive Advisor for the remainder of the transition period

28-10-2026

Playboy, Inc. (PLBY) amended its June 18, 2026 Backstop Agreement with The Million S.a.r.l. (affiliate of Byborg Enterprises SA and director György Gattyán) and Rizvi Master LLC (affiliate of director Suhail Rizvi). Under Amendment No. 1, The Million became obligated to purchase all 4,761,905 Tranche 3 shares from the Fortress-affiliated Sellers for $5,000,000.25 on or before November 1, 2026, Rizvi's backstop commitment for those shares was reduced to zero, and neither backstop purchaser will receive a backstop fee on the Tranche 3 shares. The amendment was approved by the board and Audit Committee and consented to by the Sellers and the senior secured lender's administrative agent, DBD Credit Funding LLC.

• · Amendment No. 1 is filed as Exhibit 10.1; the 8-K was signed by General Counsel and Secretary Chris Riley on October 28, 2026
• · Original Repurchase and Backstop Agreements were entered June 18, 2026 and previously disclosed in an 8-K filed June 22, 2026
• · Except as expressly amended, the Backstop Agreement remains unchanged and in full force and effect

28-10-2026

Nextpower (NXT) reported record Q2 FY27 revenue of $1,109 million (up 22.5% YoY from $905 million) and record bookings, with backlog above $6 billion, and raised FY27 outlook. However, GAAP gross margin compressed to 31.1% from 35.9% in Q1 and 32.4% a year earlier, GAAP net income was flat sequentially at $165 million (up 12.6% YoY), and GAAP diluted EPS was $1.08 versus $1.07 in Q1. The company also completed the ~€230 million Zimmermann PV-Steel acquisition and announced two new board members.

• · Q2 FY27 GAAP gross margin fell to 31.1% from 35.9% in Q1, a 4.8-point sequential decline not explained in the headline.
• · Q2 FY27 GAAP diluted EPS was essentially flat sequentially ($1.08 vs $1.07), and adjusted EBITDA margin declined 2.4 points QoQ to 22.5%.
• · Adjusted EBITDA margin fell YoY from 24.7% to 22.5%, despite revenue growth.
• · Q2 FY27 results include approximately $99 million of IRA 45X credits and tariffs, net (vs $67 million in Q2 FY26), a material contributor to reported profitability.
• · Operating cash flow was $158 million in Q2, with adjusted free cash flow of approximately $135 million per CFO commentary.
• · Cash of about $1.03 billion with no debt, while accounts receivable rose to $584.3M from $417.0M at fiscal year-end and deferred revenue rose to $413.8M from $307.5M.
• · Updated FY27 outlook raised revenue to $4.2-4.45B (from $4.1-4.4B) and adjusted diluted EPS to $4.61-4.87 (from $4.42-4.73).
• · Board appointments of Sarah Slusser and Michael Alvarez were announced in the earnings release (Item 5.02).

28-10-2026

Silver Point Specialty Lending Fund, via its subsidiary Specialty Credit Facility, LLC, disclosed Amendment No. 22, dated October 26, 2026, to its Loan Financing and Servicing Agreement dated October 17, 2017. The amendment waives certain loan requirements and amends the facility agreement, with effectiveness conditioned on execution by all parties and payment of Lender fees, and includes representations that no Event of Default, Unmatured Event of Default, Servicer Default or Unmatured Servicer Default is continuing. The filing does not disclose the new facility amount, pricing, or specific waived covenants in the body text, as those are contained in the appendices.

• · Amendment is governed by New York law and is conditioned on execution by all parties and payment in full of Lender fees, including reasonable counsel fees.
• · Amendment is executed under Section 17.2 of the Loan Agreement, with the Loan Agreement otherwise ratified and in full force.
• · Deutsche Bank AG, New York Branch acts as Facility Agent and lender in Dollar, Euro, GBP and CAD tranches; Customers Bank is a Dollar lender.
• · Filing items 1.01, 2.03, 8.01 and 9.01 indicate a material definitive agreement entry, creation of a direct financial obligation amendment, and exhibit filing.

28-10-2026

Align Technology announced a CEO succession plan: Jennifer L. Davis, former CEO of Procter & Gamble's Global Healthcare business, will become President and CEO effective December 31, 2026, succeeding Joseph M. Hogan, who has led the company since 2015. Davis joins as CEO-elect and a Board member on November 2, 2026, and Hogan will retire from the Board following the June 16, 2027 strategy meeting. The announcement is positive in tone, though it marks a leadership transition at a company whose separately released Q3 2026 results were issued the same day and whose performance figures are not included in this filing.

• · Davis joins as CEO-elect and a Board member on November 2, 2026, before assuming the CEO role on December 31, 2026
• · Hogan retires from the Board after the strategy meeting on June 16, 2027
• · Davis previously led Procter & Gamble's Global Healthcare business, covering oral-health and personal-health brands across a multibillion-dollar portfolio
• · Q3 2026 financial results were released separately the same day, with a conference call at 4:30 p.m. EDT on October 28, 2026
• · Filing references Align's 10-K for FY2025 (filed February 27, 2026) and 10-Q for Q2 2026 (filed August 5, 2026) for risk factors

28-10-2026

Q2 Holdings (NYSE: QTWO) announced that its Board appointed CFO Jonathan Price as Co-Chief Executive Officer effective October 29, 2026, serving alongside Matt Flake, who continues as President and Chairman. Price also joins the Board of Directors and will remain CFO while the company searches for a successor. Management frames the co-CEO structure as ensuring long-term continuity of the company's financial discipline and growth strategy.

• · Price has served as CFO since November 2024 and joined Q2 in 2018, previously as EVP, Strategy & Emerging Businesses
• · Appointment is effective October 29, 2026
• · Price will remain CFO during the search for a successor, so the CFO role is not yet vacated
• · Company cites margin expansion, balance sheet strengthening, and sharpened capital allocation over the past few years

28-10-2026

Ecovyst Inc. (ECVT) filed an 8-K disclosing that on October 22, 2026, its Compensation Committee approved a Second Amended and Restated Ecovyst Catalyst Technologies LLC Severance Plan, effective the same day. The amended plan increases severance for executive officers: 52 weeks of Compensation outside a Change in Control Protection Period (104 weeks for the CEO), and during the Change in Control Protection Period the greater of that amount or 18 months of Compensation (30 months for the CEO), paid in a lump sum. The filing does not report any departure, appointment, or change in an officer's title.

• · The Prior Plan was the Amended and Restated Ecovyst Catalyst Technologies LLC Severance Plan effective January 1, 2022
• · Severance is paid in a lump sum
• · Officers receive the greater of the individual agreement or Severance Plan benefits where both exist
• · The Severance Plan is filed as Exhibit 10.1

28-10-2026

AlphaTime Acquisition Corp (ATMCW) dismissed UHY LLP as its independent registered public accounting firm, effective October 14, 2026, and engaged Inbergo CPA LLP as its successor, with both decisions approved by the Board and Audit Committee on September 22, 2026. UHY's prior audit reports for fiscal 2024 and 2023 contained no adverse opinion or disclaimer, but included a going-concern explanatory paragraph, and the company disclosed a material weakness related to insufficient review of related party transactions. The filing reports no disagreements with UHY and no reportable events, and UHY's response letter (Exhibit 16.1) is dated October 19, 2026.

• · Board and Audit Committee approved the auditor dismissal and Inbergo's appointment on September 22, 2026; UHY was notified of dismissal on October 14, 2026
• · UHY's reports for fiscal years 2024 and 2023 (dated April 15, 2025) carried a going-concern explanatory paragraph but no adverse opinion, disclaimer, or qualification
• · Material weakness relating to insufficient review of related party transactions was previously disclosed in the Q3 2025 10-Q and discussed with UHY
• · No disagreements with UHY and no consultations with Inbergo on accounting matters or reportable events were reported
• · Company is an emerging growth company incorporated in the Cayman Islands; units, shares, warrants, and rights trade under ATMCU, ATMC, ATMCW, and ATMCR

28-10-2026

Colony Bankcorp reported Q3 2026 net income of $10.5 million ($0.50 per diluted share), down from $10.9 million ($0.51) in Q2 2026 but up from $5.8 million ($0.33) in Q3 2025; operating net income was $11.6 million ($0.54 per diluted share) versus $11.0 million in Q2 2026 and $8.2 million in Q3 2025. Growth was mixed: total loans rose only 0.50% QoQ to $2.48 billion, deposits fell $14.5 million to $2.96 billion, and nonperforming assets climbed 19.6% QoQ to $25.0 million, while net interest margin expanded to 3.59% from 3.17% a year earlier. The company also declared a $0.12 quarterly dividend and disclosed a $19.9 million sale-leaseback of three branches expected to generate a roughly $15 million pre-tax gain offset by planned securities losses.

• · Quarterly cash dividend of $0.12 per share declared October 28, 2026; payable November 25, 2026 to holders of record November 11, 2026
• · Q3 2026 net interest income (tax-equivalent) of $30.5M vs $22.9M in Q3 2025; nine-month NII of $89.9M vs $66.6M
• · Q3 2026 noninterest expense rose to $27.6M from $24.6M a year earlier, including merger-related costs for First Reliance and integration costs from TC Bancshares
• · Mortgage production fell 16.4% QoQ to $96.5M and mortgage sales rose to $69.2M from $67.3M
• · Loan growth was softer by design amid pricing discipline; management expects softer near-term loan growth while the long-term target is unchanged
• · Classified and criticized loan increase driven by downgrade of one construction relationship with borrower-specific circumstances
• · Q3 2026 included an $813K insurance gain related to a prior branch fire and the Q2 2026 included a $706K tax-free BOLI gain
• · Sale-leaseback: 15-year master lease with two 15-year renewal options, first-year base rent ~$1.65M with 2.0% annual escalations; no branch closures or market exits planned
• · Company expects the combined sale-leaseback and securities repositioning to be accretive to tangible book value per share and recurring earnings
• · Earnings conference call scheduled for 9:00 a.m. ET on October 29, 2026; replay available through November 5, 2026

28-10-2026

Modular Medical, Inc. (MODD) held its fiscal 2027 annual shareholder meeting on October 23, 2026, with quorum representing approximately 65% of outstanding shares. All six director nominees were elected, and the 2017 Equity Incentive Plan amendment adding 2,500,000 shares and the ratification of Farber Hass Hurley LLP as auditor were approved. Director Duane DeSisto resigned from the board effective immediately on October 26, 2026, not due to any disagreement with the Company; he had received the highest 'For' vote count of any nominee (3,091,438) but resigned after the election. Voting support was mixed, with Ellen O'Connor Vos receiving only 2,053,232 For votes against 1,065,190 Against.

• · Proposal 2 (equity plan amendment) received 811,943 Against votes and 20,009 Abstain votes, a notably higher opposition level than the auditor ratification
• · Director nominee support ranged from 2,053,232 For (Ellen O'Connor Vos) to 3,091,438 For (DeSisto), with Vos drawing roughly one-third opposition
• · Definitive proxy statement was filed October 1, 2026, and the annual meeting was the fiscal 2027 annual meeting
• · Filing describes DeSisto's resignation as effective immediately and not due to any disagreement with the Company

28-10-2026

Regional Management Corp. reported Q3 2026 net income of $15.1 million and diluted EPS of $1.61, up 5.3% and 13.4% year-over-year, with record total revenue of $178.8 million (up 8.0%). However, the net credit loss rate rose 70 basis points year-over-year to 10.9%, 30+ day delinquencies climbed 50 basis points to 7.5%, and small loan receivables declined 13.5%. The company also announced Liz Canini will join in early November as Chief Credit Risk Officer and declared a $0.30 Q4 dividend.

• · Small loan originations fell 21.9% YoY, reflecting tighter underwriting in higher-risk segments
• · Interest and fee yield declined 100 bps YoY to 28.7%, driven by mix shift toward lower-yielding larger and auto-secured loans and pricing changes
• · The year-over-year credit loss increase was concentrated in 2025-originated loans, with the digital affiliate channel the largest driver
• · Available liquidity declined to $104.0M; funded debt-to-equity ratio 4.6:1.0, funded debt-to-tangible equity 5.1:1.0
• · Company expects substantially all branches under the bank partnership by end of 2027 and cites strong bottom-line growth in 2027
• · Liz Canini joins in early November as Chief Credit Risk Officer; full rollout of the new origination scorecard expected in Q4 2026
• · Q4 2026 dividend of $0.30 per share payable December 16, 2026 to holders of record November 18, 2026

28-10-2026

Churchill Downs Incorporated (Nasdaq: CHDN) appointed Michael Tucker, Founder and Managing Partner of Orvieto Partners, L.P., to its Board of Directors as a Class II Director, with a term expiring at the 2028 Annual Meeting of Shareholders. The appointment expands the Board to eight members. The filing contains no quantitative financial results or period-over-period performance data.

• · Tucker holds a CFA and an MBA from Boston College's Carroll School of Management, plus a B.S. in Finance from Providence College
• · Tucker previously served as Partner and Portfolio Manager at PAR Capital Management, Andover Capital Advisors, LLC, and Standish Mellon Asset Management before founding Orvieto Partners in 2021
• · Tucker's term expires with the other Class II Directors at the 2028 Annual Meeting of Shareholders

28-10-2026

JAB Acquisition Corp I, a blank check SPAC, entered into a Consulting Services Agreement with its sponsor, JAB Acquisition Sponsor I, LLC, effective retrospectively to June 1, 2026. The sponsor is paid $14,000 per month (funded outside the trust account) for Joshua Jagid (Chairman/CEO) and Jack Bressman (CFO) to identify and complete an initial business combination, with $70,000 already paid for June through October 2026. The sponsor also waived $50,000 in unpaid Administrative Services Agreement fees for June through October 2026, and the related-party arrangement was approved by the audit committee and board.

• · Consulting Agreement is a related-party transaction approved by the audit committee under Nasdaq Listing Rule 5630 and then by the board
• · Consulting fees are paid from funds held outside the trust account and continue until the business combination is completed or the company liquidates
• · Sponsor waived any claim against the trust account under the agreement
• · Administrative Services Agreement payments resume at the Sponsor's discretion on November 10, 2026
• · Expense reimbursements to the Sponsor and officers are subject to quarterly audit committee review
• · Schedule B of Exhibit 10.1 was partially omitted as not material under Item 601(b)(10)(iv) of Regulation S-K

28-10-2026

Garrett Motion Inc. announced that Steven Tesoriere, a board designee of funds affiliated with Oaktree Capital Management, has resigned from its Board of Directors, effective upon announcement, along with his service on the Talent Management and Compensation Committee. The filing contains no financial results, guidance, or quantitative performance data, and the company provided no replacement or successor information.

• · Mr. Tesoriere joined the Board in April 2021 as an Oaktree designee under the Series A Investor Rights Agreement
• · He previously chaired the Finance Committee and the Nominating and Governance Committee
• · His departure is tied to an Oaktree designee seat, which may reduce Oaktree's board representation; the filing does not say whether Oaktree retains other designees

28-10-2026

LENZ Therapeutics reported Q3 2026 VIZZ product sales of $2.6 million, up approximately 50% over Q2 2026, on over 38,000 paid prescriptions, while net loss widened to $31.0 million ($0.99 per share) from $16.7 million ($0.59 per share) a year earlier and nine-month SG&A rose to $120.2 million from $51.5 million. The company also announced a strategic reorganization targeting more than 50% reduction in projected 2027 operating expenses (to roughly $70–75 million excluding stock-based compensation), with about $5 million in one-time restructuring charges, and CEO Eef Schimmelpennink will step down effective December 1, 2026, with CFO Dan Chevallard becoming Interim President and CEO. Results are mixed: sales momentum and prescriber growth contrast with rising losses, a 100% decline in R&D spending year-over-year, and lower license revenue versus the prior-year period.

• · Q3 2026 product sales of $2.6M were up approximately 50% over Q2 2026, with paid prescriptions up 51% to over 38,000.
• · Telehealth channel contributed more than 50% of incremental prescriptions in Q3 2026 over Q2 2026.
• · Projected 2027 operating expenses target of $70–75M (excluding stock-based compensation) implies a reduction of over 50%.
• · Estimated one-time net restructuring charges of approximately $5M, with substantially all activities completed in Q4 2026.
• · Cash, cash equivalents and marketable securities of $197.3M as of September 30, 2026.
• · Q3 2026 cost of sales included non-recurring events related to a manufacturing process transition.
• · Net loss per share widened to $0.99 (Q3 2026) from $0.59 and to $3.33 (nine months) from $1.65.
• · Eef Schimmelpennink will remain as a strategic advisor to the Company into 2027.
• · Q3 2026 license revenue included a portion of the upfront payment under the Arrotex license agreement.
• · Nine-month 2026 license revenue included a $2.5M Théa regulatory milestone, $1.25M Everest sublicense revenue, and the Lunatus upfront payment.

28-10-2026

SPACCircle Acquisition Corp., a blank-check company formed to pursue a future business combination in any industry, announced the pricing of its initial public offering of 10,000,000 units at $10.00 per unit, for gross proceeds of $100 Million (before any over-allotment). Units are expected to list on Nasdaq under the symbol SCQCU, with the offering expected to close on October 28, 2026. The filing contains no period-over-period financial performance data, as the company is a pre-business-combination shell.

• · Each unit includes one Class A ordinary share, one redeemable warrant exercisable at $11.50, and one right to receive one-half of one Class A ordinary share upon consummation of an initial business combination.
• · Units trade under SCQCU; once separate trading begins, shares, warrants, and rights will list as SCQC, SCQCW, and SCQCR respectively.
• · D. Boral is sole book-running manager; the underwriters hold a 45-day option for up to 1,500,000 additional units.
• · Filing and exhibit are dated October 26, 2026 (pricing announcement); the 8-K is dated October 28, 2026, the expected closing date.

28-10-2026

LiveRamp Holdings, Inc. disclosed under Item 5.02 that on October 22, 2026 it entered into an agreement with Vihan Sharma regarding his historic accrued vacation time. The company agreed to pay Mr. Sharma approximately €600,000, and in exchange Mr. Sharma released all related claims against the company. The filing does not state whether Mr. Sharma is departing or changing role.

• · The agreement is dated October 22, 2026, and the 8-K was filed October 28, 2026
• · The filing is made under Item 5.02, which covers officer departures, appointments, and compensatory arrangements, so Mr. Sharma is an officer covered by that item
• · The filing does not specify whether the payment is a severance arrangement or a settlement of a vacation accrual dispute

28-10-2026

New Jersey Resources Corporation entered into a Third Amendment to its Second Amended and Restated Credit Agreement, dated as of October 27, 2026, with PNC Bank, National Association as administrative agent. The amendment extends the Expiration Date of the existing revolving credit facility, updates schedules including pricing grid, lender commitments, permitted liens, existing letters of credit, subsidiaries, and existing indebtedness, and adds New Lenders with commitments reallocated among all lenders. The filing does not disclose the facility size, new expiration date, or pricing changes in the excerpt provided, and no financial performance metrics are reported.

• · Original Second Amended and Restated Credit Agreement dated September 2, 2021
• · Amendment extends the Expiration Date and restates the agreement as Annex A
• · Amendment Effective Date is subject to conditions precedent including officer certificates, legal opinion from Troutman Pepper Locke LLP, lien searches, and KYC/beneficial ownership certification
• · Closing condition: no Material Adverse Change since September 30, 2025
• · Lenders agreed to reallocate Revolving Credit Loans, Letter of Credit participations, and Swing Loans, with cash settlement among lenders including New Lenders
• · Amendment is not a novation of the existing credit agreement

28-10-2026

Zillow Group entered into a stipulation of settlement to resolve all claims in the consolidated securities class action Jaeger v. Zillow Group, Inc., et al. (Case No. 2:21-cv-01551-TSZ, W.D. Wash.), under which the company will pay an aggregate of $212.5 million in cash into an escrow fund within 20 business days after preliminary court approval, with approximately $48 million expected to be funded through insurance proceeds. The settlement contains no admission of liability, remains subject to court approval and possible termination, and does not affect the pending shareholder derivative actions.

• · Settlement class covers persons or entities who purchased or acquired Class A common stock or Class C capital stock from August 5, 2021 to November 2, 2021 (the Class Period)
• · Settlement may be terminated by defendants if opt-out requests reach a confidential threshold of purchased shares set out in a separate agreement
• · Settlement requires court preliminary approval, notice to class, a fairness hearing, and final judgment before distributions and releases become effective
• · Full Settlement Agreement will be publicly filed with the court and included as an exhibit to the FY2026 Form 10-K

28-10-2026

Adial Pharmaceuticals, Inc. (ADIL) changed its corporate name to Azora Therapeutics, Inc., with common stock expected to trade on Nasdaq under the ticker "AZR" starting October 29, 2026. Stockholders approved conversion of Series A preferred stock issued in the June 2026 Azora acquisition, and a new executive team was appointed, led by CEO Matt Davidson, Ph.D. and Chief Strategy Officer Julie Saiki, Ph.D., to advance lead asset AT177 (oral, colon-targeted AhR agonist) toward a Phase 1 ulcerative colitis trial in the first half of 2027. The company reports approximately $32 million in gross proceeds from its June 2026 private placement, with cash expected to fund operations into 2028 and a potential additional $32 million tied to Phase 1 initiation.

• · New ticker "AZR" on The Nasdaq Capital Market effective October 29, 2026
• · Series A preferred stock from June 2026 Azora acquisition will automatically convert into common stock, subject to holder-specific beneficial ownership limits
• · Stockholders approved exercise of prefunded warrants sold in the concurrent private placement
• · Azora's new executive team includes a consulting (not full-time) Chief Medical Officer
• · Filing does not disclose executive compensation terms or any material risks specific to the leadership changes beyond the forward-looking statement caveats

28-10-2026

FirstEnergy Transmission, LLC (FET) entered into Amendment No. 3 to its Credit Agreement dated as of October 23, 2026, extending the Termination Date for each consenting Lender by one year from October 20, 2030 to October 20, 2031 and limiting future extension requests to two under Section 2.19. The amendment also adds the September 29, 2026 fee letter to the Fee Letters definition and includes customary conditions, representations, and reservation-of-rights language, with no new borrowing amount or increased commitment disclosed in the excerpt.

• · Credit Agreement originally dated October 20, 2023; JPMorgan Chase Bank, N.A. serves as Administrative Agent
• · Amendment effective October 23, 2026, subject to customary conditions precedent including board resolutions, officer certificates, and a legal opinion from Morgan, Lewis & Bockius LLP
• · Fee letter dated September 29, 2026 is among the Borrower, JPMorgan, Mizuho, PNC Capital Markets LLC and PNC Bank
• · Lenders extended only as to themselves; the extension is not automatic for all Lenders

28-10-2026

Compass Minerals (CMP) disclosed that Chief Accounting Officer Ashley Ward resigned effective October 23, 2026, with the company stating her departure was not due to any disagreement on operations, policies, or practices. On October 28, 2026, the company appointed Brett Teuscher, a 44-year-old internal audit leader who joined in May 2026, as its new Chief Accounting Officer at a $300,000 base salary, a 40% targeted bonus, and a $115,000 annual LTI target.

• · Ward's resignation was effective October 23, 2026, one day after it was announced on October 22, 2026
• · Teuscher previously served at BlueScope from January 2020 to May 2026, ultimately as Director of Finance Transformation, ERM and Procurement
• · Teuscher holds an MBA and a Bachelor of Science in Accounting from Utah State University
• · Teuscher has no family relationships with directors or executive officers and no Item 404(a) related-person transactions were reported
• · Employment is at will under the Offer Letter, filed as Exhibit 10.1

28-10-2026

Radian Group Inc. (NYSE: RDN) announced that its Board of Directors appointed Daniel Kobell as Senior Executive Vice President and Chief Financial Officer, effective October 28, 2026. Mr. Kobell had already served as Interim Chief Financial Officer since February 12, 2026, so the action formalizes a permanent appointment rather than introducing a new executive. The filing discloses no financial results, compensation terms, or performance metrics.

• · Mr. Kobell has served as Interim Chief Financial Officer since February 12, 2026
• · Professional biography is incorporated by reference to the 'Executive Officers' section of the 2026 Proxy Statement filed April 2, 2026
• · Filing discloses no compensatory arrangements for Mr. Kobell in this report

28-10-2026

Ecominas Corp. terminated and rescinded its Asset Purchase Agreement with Francisco Antonio Sbert Mousko, effective October 28, 2026, after the seller failed to deliver the purchased technology, intellectual property, and land-use interests following the July 24, 2026 closing. The company withdrew its treasury order, so the 700,000 Series A Preferred Shares contemplated as consideration were never issued, and it relinquished any interest in the assets, with no early termination penalties incurred. The company also disclosed that prior reports had described the consideration shares as issued when the transfer agent had not actually issued them, and separately approved a proposed name change to EcoCora Intelligence Corp., which remains subject to shareholder approval, Nevada Secretary of State filing, and FINRA processing.

• · The original APA was dated February 5, 2026 and amended by a First Amendment dated July 24, 2026, the same date the transaction closed
• · Prior company reports described the consideration shares as issued, but the transfer agent had not issued them, a disclosure correction
• · The company delivered a letter relinquishing any interest in the Purchased Assets on October 28, 2026
• · The Board approved the name change on October 27, 2026, but it is not effective until shareholder approval and regulatory processing are complete

28-10-2026

Actuate Therapeutics priced an underwritten public offering of 30,985,900 shares of common stock and warrants to purchase up to 15,492,950 shares, at $0.71 per set of two shares plus one warrant, for expected gross proceeds of approximately $11.0 million before underwriting discounts and offering expenses. The Company also granted the underwriter a 45-day option for additional shares and warrants, and warrants with a $0.45 exercise price could bring in roughly $7.0 million more if fully exercised, though no assurance of exercise is given. The offering is expected to close October 28, 2026, and proceeds are earmarked for working capital and general corporate purposes.

• · Warrants are sold at one warrant per two shares and are exercisable immediately upon issuance, with a five-year term
• · Shares and warrants are issued separately but can only be purchased together in the offering
• · Offering is made under an effective Form S-1 registration statement (File No. 333-299332)
• · Newbridge Securities Corporation is sole book-running manager; the Black River Management branch sourced and executed the deal
• · Warrant exercise is not assured, so the $7.0M potential proceeds are contingent and uncertain
• · Company is clinical-stage with lead drug elraglusib targeting NF-κB and DNA Damage Response pathways in difficult-to-treat cancers

28-10-2026

Bausch + Lomb director Nathalie Bernier resigned from the Board of Directors and the Science and Technology Committee effective October 28, 2026, in connection with a general mutual release of certain claims. The company will pay her prorated cash compensation and fully accelerate vesting of her unvested 2026 restricted share unit awards, and the Board does not intend to fill the vacancy. The filing states the resignation was not due to any disagreement with the company on operations, policies, or practices.

• · Board vacancy will not be filled, reducing Board size by one seat
• · Accelerated full vesting of 2026 annual grant RSUs as part of the separation terms
• · Resignation was stated to be unrelated to any disagreement on company operations, policies, or practices

28-10-2026

GCI, LLC, a wholly owned subsidiary of GCI Liberty, entered into Amendment No. 3 to its Ninth Amended and Restated Credit Agreement, dated October 28, 2026, providing $270M of new Incremental Term A-3 Loan Commitments from lenders led by Credit Agricole Corporate and Investment Bank as administrative agent. Proceeds are earmarked to retire a portion of the company's existing 2028 Notes via repurchase or otherwise, and to pay interest, premiums, fees, and expenses tied to that refinancing. The filing is a debt refinancing with no disclosed financial results, guidance changes, or deterioration in covenant compliance; the amendment reaffirms existing guarantees and security interests.

• · Amendment is made under Section 2.13 of the Existing Credit Agreement dated March 25, 2025, and is treated as an Incremental Amendment creating a new Class of Term Loans separate from existing Term Loans.
• · Effectiveness is subject to conditions including legal opinions, a solvency certificate, KYC/beneficial ownership documentation, and a no-Default representation.
• · Subsidiary guarantors and Ventures Holdco reaffirmed their guarantees and security interests, so existing collateral continues to secure the amended obligations.

28-10-2026

Monroe Federal Bancorp, Inc. (MFBI) announced that President and CEO Lewis R. Renollet retired effective October 26, 2026, and was succeeded by Charles G. Brown III (age 60), who has over 40 years of banking experience. Renollet remains on the Boards and as Senior Executive Vice President through December 31, 2026, with his base salary reduced to $120,000 per year, while Brown's employment agreement sets a base salary of $215,000 plus change-in-control protections.

• · Renollet's employment automatically terminates December 31, 2026, but he continues as a director
• · Brown's severance on a non-change-in-control termination includes remaining-term salary and bonus, a lump-sum DC plan contribution, and medical coverage, conditioned on a release of claims
• · Brown's change-in-control severance is a lump sum of 3x highest base salary plus highest bonus from the prior three fiscal years, with 36 months of benefits
• · Brown's employment agreement initial term runs through December 31, 2026, then renews annually from January 1, 2027, subject to Board approval
• · Renollet's amendment states the changes do not constitute Good Reason under his employment agreement
• · Brown has no family relationships with directors or officers and no Item 404(a) related-party transactions