Most material SEC filings — August 28, 2026

Shuttle Pharmaceuticals (NASDAQ: SHPH, ~$4.7M market cap) failed to file its Q2 2026 Form 10-Q by the required due date and received a NASDAQ noncompliance notice on August 28, 2026. The company must submit a compliance plan by October 27, 2026; if accepted, NASDAQ may grant a grace period until February 22, 2027 to regain compliance. Failure to regain compliance within that window triggers automatic delisting from NASDAQ.

BioXcel Therapeutics filed an 8-K on August 28, 2026 disclosing Item 1.01 (Material Definitive Agreement) and Item 1.03 (Bankruptcy or Receivership). The filing document itself does not contain the specific terms, counterparties, dollar amounts, or dates of the agreement or bankruptcy proceeding—only the section headers are listed. Critical details required to assess impact are absent from this filing extract.

KALA BIO filed Form 8-K on 2026-08-28 reporting Item 3.01 — Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard, with transfer of listing mentioned. No specific dollar amounts, counterparties, or remediation details are disclosed in the header/metadata provided. The filing indicates the company has violated exchange continued listing requirements.

BioAtla, Inc. filed an 8-K on 2026-08-28 reporting Item 3.01 — Notice of Delisting or Failure to Satisfy Continued Listing Rule or Standard; Transfer of Listing. The filing provides no specific details regarding which exchange issued the notice, the specific listing standards violated, remediation timeline, or transfer destination. The company's public market value is approximately $18.7M.

On August 27, 2026, Jupiter Neurosciences received notice of failure to satisfy continued listing standards. The 8-K filing indicates Item 3.01 delisting notice and Item 8.01 other events, but the filing text provided does not specify which exchange, which listing rule was violated, the cure period, or remediation details.

On August 25, 2026, My Size, Inc. (market cap ~$4.0M) received notice of failure to satisfy continued listing standards. The filing is an 8-K Item 3.01 disclosure of delisting or listing transfer. No specific dollar amounts, remediation terms, or timeline details are provided in the available text.

On 2026-08-27, GeoVax Labs received notice of failure to satisfy continued listing requirements. The company faces delisting or transfer of listing. No specific financial metrics, dollar amounts, or remediation details are disclosed in this 8-K filing.

On August 24, 2026, Socket Mobile received a notice of delisting or failure to satisfy continued listing standards from its exchange. The filing reports Item 3.01 (delisting notice) and mentions a potential transfer of listing, but provides no specific reasons, remediation timeline, or financial details in the extracted text. For a $6.6M market-cap company, delisting is existential.

On 2026-08-27, AZIO AI HOLDINGS, INC. (public market cap ~$6.4M) filed an 8-K disclosing Item 3.01 (Notice of Delisting or Failure to Satisfy Continued Listing Rule) and Item 5.02 (Departure of Directors/Officers; Compensatory Arrangements). The filing does not provide specific dollar amounts, names of departing parties, compensation details, or the precise delisting trigger. The company is incorporated in Delaware, trades under File No. 001-38078, and is classified in motor vehicle parts/accessories (SIC 3714).

On August 24, 2026, Netcapital received a delinquency notice from Nasdaq for failing to timely file its Form 10-K for fiscal year ended April 30, 2026. The company has 60 days (until October 23, 2026) to submit a compliance plan, with potential for up to 180 additional days to file the 10-K. No immediate trading suspension has occurred, but failure to regain compliance could result in delisting.

United States Brent Oil Fund, LP reported net income of $127.9M for July 2026, driven by $86.2M realized trading gains and $40.5M unrealized gains on commodity futures. NAV grew from $543.6M to $615.3M (13.2% monthly increase); NAV per share rose to $50.23 from implied $44.36 at month start. Fund experienced net withdrawals of 1.2M shares ($84.3M) offset by 550K new share additions ($28.0M).

Expion Energy, Inc. (market cap ~$3.1M) entered into a Securities Purchase Agreement dated August 21, 2026, to issue $9,000,000 principal amount of 8% convertible debentures due August 21, 2029, convertible into Series A-1 8% Convertible Preferred Stock at $1,000 per share, plus warrants to purchase common stock at $4.25 per share (5-year term). The debentures bear 8% annual interest (Applicable Federal Rate initially, then 8% after one year) and accrue 8% dividends on preferred stock. Conversion requires shareholder approval. Holders receive registration rights and anti-dilution protections (floor price $0.72). The transaction is materially transformative for this micro-cap company.

On August 26, 2026, Oragenics received a NYSE American deficiency letter for failing continued listing standards (stockholders' equity requirement: $4M if three of four years reported losses, or $6M if five consecutive years reported losses). The company has 45 days to submit a compliance plan and until February 25, 2028 to regain compliance. Operationally, the company has dosed 9 participants in its Australia-based Phase IIa trial of ONP-002 for mTBI across three active sites and expects to submit a U.S. IND application by end of 2026.

United States Gasoline Fund, LP reported net income of $16,682,424 for July 2026, driven by $22.7M realized trading gains on commodity futures, partially offset by $6.3M unrealized losses. Net asset value increased from $107.7M to $141.0M (31% monthly gain), with 250,000 shares added ($28.8M) and 100,000 shares redeemed ($12.2M). NAV per share rose to $117.52 from ~$89.74.

Direct Digital Holdings executed the 13th amendment to its term loan with Lafayette Square on August 26, 2026. Principal debt increased from $14.79M to $15.48M (net $695K new borrowing for working capital and interest reserve). The company acknowledged outstanding Series A Preferred Stock held by Lafayette Square USA, Inc. of $27.08M face value plus $1.91M accrued dividends, with an Exit Fee obligation of $27.08M as of March 31, 2026. Additional fees and accrued interest totaling ~$2.59M were capitalized into the loan.

On June 17, 2026, RUM Group Inc. completed acquisition of approximately 85% of Northern Data AG (NDAG), a German AI/GPU infrastructure provider. Consideration: 59.3M RUM Class A shares ($432.6M at $7.29/share), 98.3M pre-funded warrants ($716.3M), and €366.6M note payable to Tether. Total deal value ~$1.51B. Pro forma combined revenue H1 2026: $168.2M; combined net loss: $541.4M. NDAG shareholders retained ~15% non-controlling interest worth $93.3M.

On July 14, 2026, Lokahi Therapeutics (a bee-venom biopharmaceutical development company) merged into Glucotrack, Inc. Lokahi shareholders received 1,311,200 common shares and 785,334 Series A preferred shares (convertible into 100 common shares each), yielding 90% ownership on a fully diluted basis. Purchase price allocation: $32.2M ($25.4M in-process R&D, $13.5M goodwill). Lokahi had $53.2K cash, $9.1M current liabilities, $6.7M accumulated deficit, and substantial going-concern doubt as of June 30, 2026. Pro forma six-month net loss: $19.7M.

Arena Aviation Partners B.V. (subsidiary of AIR T) reported sharply deteriorated financials for 2025: equity swung from €5.3M positive (2024) to €9.4M negative. Key drivers: €15.5M share buyback, €10.7M in new subordinated loans from 7 related parties (Archeoptrix BV €3.0M, Mosa BV €2.3M, EmmaLex BV €2.2M, QP Management €1.0M, A. Goricke €1.0M, SC Management €1.0M, P. Blakeney €0.2M), and revenue collapse from €25.9M (2024) to €10.1M (2025). Cash fell 92% from €6.7M to €0.5M. All loans are subordinated, mature March 2030, carry 4% interest.

Gulf Resources received a NASDAQ notice on August 24, 2026 for non-compliance with filing requirements. The company failed to timely file its Q1 2026 (ended March 31) and Q2 2026 (ended June 30) Forms 10-Q; it had previously missed its 2025 Form 10-K (filed August 17, 2026) and amended its 2024 10-K twice (July 27 and August 24, 2026). As of the filing date, both quarterly reports remain delinquent, with a NASDAQ compliance deadline of August 31, 2026.

10% owner CASCADE INVESTMENT, L.L.C. (RSG) bought 560K shares (~$123.5M) on the open market (0.5% of holdings). Open-market insider purchase — historically a bullish signal.

Polar Power, Inc. issued a convertible promissory note on August 28, 2026, for $82,500 principal amount ($75,000 consideration with 9.1% original issue discount). The note accrues 1% monthly interest (paid-in-kind), matures November 26, 2026, and converts into common stock at the lower of 80% of 5-day VWAP or $1.00/share. The holder can demand repayment at 130% of outstanding amounts ($107,250 minimum) upon specified events of default; default interest rises to 18% annually. The note is unsecured, senior to all other debt and equity, and includes broad change-of-control prepayment rights and extensive financial covenants.

BRC Group Holdings, Inc. and B. Riley Principal Capital, LLC filed a joint Schedule 13D on August 28, 2026, indicating a significant stake acquisition in Biomerica Inc. The filing lists BRC Group's executive leadership (Bryant R. Riley as Co-CEO and Chairman, Thomas J. Kelleher as Co-CEO, and five directors) and establishes joint reporting of their common stock position. Specific share count, percentage ownership, and acquisition price are NOT disclosed in this excerpt.

Insider GOLDMAN SACHS GROUP INC (ATTO) bought 3.1M shares (~$12.5M) on the open market (97% of holdings). Open-market insider purchase — historically a bullish signal.

Director WALSH COLIN (ATTO) bought 3.1M shares (~$12.5M) on the open market (97% of holdings). Open-market insider purchase — historically a bullish signal.

Mobix Labs issued a $1.2M principal Senior Secured Convertible Note to Leviston Resources LLC (cash received: $1M, 16.667% OID) on August 28, 2026, with 10% interest, December 28, 2026 maturity, and conversion at 85% of 8-day VWAP. Concurrently, Leviston received a $3.6M future investment right (7-month exercise window, $300K minimum tranches) with identical economic terms and pari passu security. Separately, Kips Bay Select LP received 1,000 additional Preferred Stock shares ($1.2M stated value, $1M cash) and a warrant for 6,000 preferred shares (exercise price $1,000/share, 12-month term). Company must reserve 3× conversion shares and file registration statements with independent 14-day filing deadlines and $100K + 2% monthly liquidated damages per failure.

Shandong Hi-Speed Holdings Group Limited (SDHG), which owns VNET Group Inc. via two BVI entities (Success Flow International Investment Limited and Choice Faith Group Holdings Limited), agreed to sell 650,424,192 Class A Ordinary Shares to PJ Millennium I Limited and PJ Millennium II Limited for a total purchase price of $942,182,804 (at $1.4486 per share). Closing is contingent on SDHG shareholder approval. The transaction includes a $282.7M deposit (30% of purchase price), tranched closing rights, registration and investor rights for the purchasers, and termination fees ranging from 30-100% of the deposit under various circumstances.

Pluri Inc. (market cap ~$22.2M) completed a registered securities offering on August 26, 2026, issuing 1,200,000 common shares and pre-funded warrants to purchase 1,028,940 common shares at $1.50 per unit, plus common warrants exercisable for 100% of shares at $1.65 strike. Pre-funded warrants have $0.00001 exercise price. Common warrants exercisable 6 months post-closing for 5 years. A.G.P./Alliance Global Partners is placement agent (6.5% fee, reduced to 1% for certain investors). Counterparties unnamed in filing; dollar amounts and share counts as specified above. No material dollar amount disclosed for gross proceeds.

On March 2, 2026, Malibu Boats (market cap ~$733M) completed acquisition of Saxdor Yachts Oy for ~$203.9M, comprising $131.3M cash (funded via $140M Revolver drawdown at 4.88%), 1,523,794 MBI shares, and earnout of up to $84.2M payable 2027–2029. Pro forma combined FY2026 revenue $1,050.9M (+15% vs. MBI alone $914.6M) but net loss ($2.2M) vs. MBI standalone profit ($1.7M), driven by $7.9M incremental amortization and $4.4M incremental interest expense.

For July 2026, the fund realized a $404k trading loss and incurred $791k unrealized losses on futures positions, totaling a net loss of $1.175M. Net asset value declined from $17.34M to $16.16M (6.8% monthly loss), with per-share NAV dropping to $5.99 from $6.42. The fund holds 2.7M shares and paid $30.2k in operating expenses.

iBio closed an August 2025 public offering with up to $100M gross proceeds (assuming full warrant exercise) led by Balyasny Asset Management, plus a $26M January 2026 private placement led by Frazier Life Sciences, and entered an ATM agreement for up to $100M in common stock with Jefferies. The company advanced IBIO-600 (myostatin antibody) through single ascending dose Phase 1 dosing 31 of 32 planned participants and advanced IBIO-610 (Activin E antibody) into IND-enabling studies; cash and investments totaled $88.0M as of June 30, 2026 versus $8.6M a year prior. R&D spending more than doubled to $19.6M (from $8.3M), driven by $8.4M in consultant/outsourced services and a $2.5M milestone; net loss was $33.0M versus $18.4M prior year.

iBio, Inc. (market cap ~$22.4M) entered into an Assignment and Exclusive License Agreement with AstralBio, Inc. effective August 27, 2026. iBio acquired full ownership of AstralBio's Amylin Target intellectual property (antibodies, patents, know-how) and an exclusive worldwide license to develop, manufacture, and commercialize Program Products directed to the Amylin Target. iBio must pay AstralBio a $750,000 upfront fee (due within 30 days) and future milestone payments (amounts redacted; structure ties to equity or cash depending on listing status), plus a percentage of Program Product Licensing Proceeds. AstralBio retains a non-exclusive, royalty-free license to use assigned IP for non-Amylin-Target products.

Cytokinetics announced positive Phase 3 ACACIA-HCM results for aficamten in non-obstructive hypertrophic cardiomyopathy (nHCM), meeting both primary endpoints: KCCQ-CSS improvement of 3.0 points vs. placebo (p=0.021) and pVO2 improvement of 0.67 ml/kg/min vs. placebo (p=0.003) at 36 weeks. The company plans to submit a supplemental New Drug Application to the FDA in Q4 2026. The trial randomized 517 patients 1:1 with aficamten or placebo; aficamten showed consistent benefits across subgroups but also elevated serious adverse events (20.2% vs. 14.7% placebo) and LVEF decline ≥50% in 10.5% of treated patients.

BranchOut Food Inc. (market cap ~$19.6M) priced an underwritten public offering of 820,588 shares at $3.40 per share on August 26, 2026, generating ~$2.79M gross proceeds (~$2.59M net after 7% underwriting discount). Lake Street Capital Markets is the sole underwriter. The company granted a 15% over-allotment option for up to 123,088 additional shares, exercisable within 30 days. Closing expected ~August 28, 2026. Net proceeds designated for working capital, operating expenses, and capital expenditures.

GeoVax Labs exchanged existing warrants to purchase 5,697,628 shares (exercise price $0.64) for gross proceeds of ~$3.6M with Armistice Capital Master Fund Ltd., an institutional investor. In return, GeoVax issued 11,395,256 new unregistered warrants (200% ratio) at $0.64/share, exercisable within 5 years of shareholder approval. Closing expected ~August 27, 2026. Net proceeds for working capital; shareholder vote required by October 29, 2026.

SunPower Inc. issued a Simple Agreement for Future Equity (SAFE) to the Rodgers Massey Revocable Living Trust on August 24, 2026, for a $2,000,000 purchase amount. The SAFE will automatically convert into common or preferred equity upon the next equity financing, with conversion price set at the greater of the financing price or the minimum price required to avoid Nasdaq Rule 5635 shareholder approval thresholds. The instrument imposes a cap limiting issuable shares to the Nasdaq Threshold to avoid triggering shareholder approval requirements.

FDA approved LISRAYA (brepocitinib), a TYK2/JAK1 inhibitor, for adult dermatomyositis on August 28, 2026—the first targeted therapy for this indication. Roivant's subsidiary Priovant (71% owned by Roivant, 24% by Pfizer) launched commercially immediately, ~5 weeks ahead of prior guidance. VALOR Phase 3 trial (N=241) showed 30mg dose achieved 46.5 mean TIS vs. 31.2 placebo (p=0.0006); 67.9% moderate response vs. 44.3% placebo; 54.3% achieved response plus ≤2.5mg daily oral corticosteroids vs. 26.6% placebo.

Vyome Holdings engaged ClearbridgeCFO, LLC and Jerry Leonard to provide full-time Chief Financial Officer services effective September 1, 2026, under a one-year consulting agreement with automatic renewal. Jerry Leonard is designated Principal Financial Officer for SEC compliance (SOX Sections 302/906, Section 16 reporting). Specific consulting fee, compensation structure, and service details are redacted (marked [***]) in Annexure A; the agreement requires advance Board approval confirming no conflict of interest exists before effectiveness.

AiRWA Inc. received a deficiency notification from Nasdaq on August 24, 2026, for failing to timely file its Annual Report on Form 10-K for year ended April 30, 2026, in violation of Nasdaq Listing Rule 5250(c)(1). The company has 60 calendar days (until October 23, 2026) to submit a compliance plan; Nasdaq may grant up to 180 additional calendar days (until January 25, 2027) to file. The delay stems from post-acquisition consolidation complexities following a significant acquisition, and the company states it expects to file the 10-K before the October 23 deadline.

T1 Energy Inc. issued 4.75% Convertible Senior Notes due 2031 on July 31, 2026, to 19 institutional investors (named in Schedule A, including Adage Capital, Citadel, D.E. Shaw, Franklin Templeton, Lazard, Two Sigma, and others). The notes are convertible into 32,258,059 common shares. On August 28, 2026, Skadden opined the shares are validly authorized and issuable upon conversion. No specific dollar amount of notes issued appears in this opinion letter, but the share count (~32.3M shares) represents material dilution relative to the company's $141M market cap.

Glucotrack, Inc. amended its Certificate of Incorporation effective August 28, 2026, to execute a 15-for-1 reverse stock split of common stock (each 15 old shares become 1 new share) and increased authorized preferred stock from unspecified prior level to 10,000,000 shares, par value $0.001 per share. Authorized common stock remains at 250,000,000 shares post-split. Fractional shares are rounded up to whole shares. No specific share count, shareholder impact dollar amount, or prior authorized share counts are disclosed in the filing.

On August 28, 2026, Boundless Bio, Inc. (acquirer) and Serapha Bio, Inc. (target) amended their June 22, 2026 merger agreement. Key changes: (1) Company RSUs will convert to Parent RSUs at the Exchange Ratio; (2) Pre-Funded Warrants introduced for holders exceeding beneficial ownership limits (capped at 19.99%, default 9.99%), exercisable at $0.00001 per share; (3) clarified treatment of restricted stock units in equity incentive plans (5% reserve through pre-closing financing); (4) technical amendments to definitions and stockholder voting provisions. No dollar amounts or share counts disclosed in the amendment itself.

Jonathan Rothberg, acting personally and through five trusts (NVR TR, JNR TR, JAR TR, EJR TR, GBR TR), established a Rule 10b5-1 trading plan with Jefferies LLC on August 26, 2026 to sell 8,947,746 shares of Quantum-Si Inc. (QSI) beginning January 15, 2027 through January 15, 2028. Commission capped at $0.01/share. Plan requires a 142-day cooling-off period before sales commence.

Coherus Oncology executed a Sales Agreement with Leerink Partners LLC on August 28, 2026, establishing an at-the-market (ATM) offering program to sell up to $50,000,000 of common stock ($0.0001 par value). Leerink Partners acts as sole sales agent with a 3.0% commission on gross proceeds. The offering is registered under Form S-3 (File No. 333-291520), effective December 8, 2025, with prospectus supplement filed August 28, 2026. The program permits sales at any time, subject to Company placement notices and customary market conditions.

Chief Executive Officer Siemiatkowski Sebastian (KLAR) bought 693K shares (~$9.9M) on the open market (2.7% of holdings). Open-market insider purchase — historically a bullish signal.

Cycurion executed a 1-for-8 reverse stock split effective August 26, 2026, to satisfy NASDAQ listing requirements. The company simultaneously announced operational improvements: gross margin expanded to 29.1% (from 6.1% in Q2 2025), net debt halved since year-end 2024, two acquisitions completed (Secuvant and Digital Ally/Kustom adding 800+ agency clients), and a signed 10-year $54.6M HHS contract generating $5M+ annual recurring revenue beginning November 2026. Management projects $15–17M committed revenue annually through 2028 plus $34M pipeline; targets break-even by Q2 2027. Board authorized $500K share repurchase.

Kevin McGurn, interim CEO (4 months), disclosed that Trump Media's Truth API data feed is generating recurring revenue from mid-teens customer count (estimated 15+) at $100K/month per customer (~$1.2M+ monthly run rate). The API provides near-real-time access to Truth Social posts, including those by President Trump (minority shareholder), with a 50-millisecond latency advantage to high-frequency trading firms, hedge funds, and financial data distributors. Congressional investigations and lawsuits alleging constitutional violations are ongoing. McGurn also confirmed TAE Technologies nuclear fusion merger progressing toward S-4 filing at $6B valuation and bitcoin diversification strategy.

Executive Chairman RADY ERNEST S (AAT) bought 100K shares (~$2.3M) on the open market (1.1% of holdings). Open-market insider purchase — historically a bullish signal.

Director Barrenechea Mark J (DKS) bought 17K shares (~$2.2M) on the open market (40% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner PAINE SCHWARTZ FOOD CHAIN FUND V GP, LTD. (SUJA) bought 652K shares (~$6.1M) on the open market (5.6% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner SUBIN NEIL S (OPTU) bought 3.0M shares (~$2.5M) on the open market (13% of holdings). Open-market insider purchase — historically a bullish signal.