Most material SEC filings — September 4, 2026

iSpecimen Inc. (market cap ~$2.4M) is acquiring two AI products—a Disease-Associated Protein Discovery AI Agent and a Disease Trend Prediction & Monitoring AI Model—from FoldLab AI Ltd. for $4.5M total: $2M cash ($750K at closing, $1.25M in two $625K milestone payments conditional on acceptance testing) plus $2.5M in iSpecimen common stock (5-year escrow, no-leak-out, voting-rights restrictions). Closing conditional on stockholder approval, Nasdaq listing confirmation, SEC compliance, and satisfaction of extensive reps/warranties on IP, data, regulatory status, and cybersecurity.

Quince Therapeutics filed an 8-K on September 4, 2026 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing indicates the company has received notice of failure to meet continued listing requirements, though specific listing standard violations and remediation timeline are not detailed in the header materials provided.

On August 31, 2026, Arcadia Biosciences received notice of delisting or failure to satisfy continued listing rules/standards. The 8-K filing (Item 3.01) indicates the company has been notified of potential transfer of listing or delisting. No specific remediation plan, timeline, or financial details are disclosed in the document excerpt provided.

On March 19, 2026, Movano Inc. acquired Corvex Legacy Holdings Inc. (Corvex OpCo) via merger, issuing 240.56 shares of Series B Preferred Stock (converted to ~240.5K common shares), 23,551.52 shares of Series C Preferred Stock (~23.6M common share equivalents), and 30,227.05 shares of Series D Preferred Stock (~30.2M common share equivalents). Purchase price totaled $581,955K with $519,318K recorded as goodwill. Company renamed Corvex, Inc. effective March 23, 2026. Pro forma combined net loss for H1 2026: $26.2M; for full-year 2025: $67.5M.

Pantages Capital Acquisition Corp. (PCAC), a blank-check SPAC with ~$29.4M in total assets, received notice of delisting failure on September 2, 2026. The 8-K filed September 4, 2026, discloses Item 3.01 regarding notice of delisting or failure to satisfy continued listing rules. No specific remediation plan, timeline, or financial details are disclosed in the available filing text.

On September 1, 2026, Archer Aviation received notice of delisting or failure to satisfy continued listing standards. The 8-K filing reports Item 3.01 (delisting notice) and Item 8.01 (other events) but provides no details on the specific listing rule violation, remediation timeline, or exchange involved. The filing contains only administrative XBRL documentation without substantive disclosure of the delisting circumstances.

On August 31, 2026, Matinas BioPharma received notice of non-compliance with NYSE American listing standards. The company has stockholders' equity of $1.8 million (below the required $2.0 million minimum) and has reported losses in five consecutive fiscal years. The NYSE American granted a plan period through October 2, 2027 to regain compliance; failure to do so will trigger delisting proceedings. Shares remain listed during this period with a .BC non-compliance indicator.

Synergy CHC Corp. (market cap ~$13M) filed an 8-K on September 4, 2026, disclosing Item 1.03 (Bankruptcy or Receivership) and Item 5.02 (officer departure/election and compensatory arrangements). The filing document itself does not provide specific dollar amounts, counterparties, dates of departure, share counts, or detailed terms—only that these events occurred and are being reported. Concrete details are absent from the available text.

ASA Gold & Precious Metals Limited's board approved converting from a Bermuda-based closed-end gold investment company to a Delaware-domiciled Business Development Company (BDC) with yield-oriented, credit-focused strategy. Saba Capital Management selected as new investment manager; company will shift from sector-concentrated gold investments to income-generating credit platform, change tax status from PFIC to RIC, and eliminate gold-focused investment policy. Conversion requires 2026 shareholder approval and is expected to close by year-end if approved.

CDT Equity Inc. issued a Senior Secured Convertible Note with original principal of $541,620 (funded $401,200) to J.J. Astor Co. on August 31, 2026, payable in 24 weekly installments of $22,567.50 through February 15, 2027. Simultaneously issued a Common Stock Purchase Warrant for 237,000 shares at $1.69 exercise price. Additionally, amended the Sarborg Limited Share Purchase Agreement to reduce cash consideration by $1.75M via stock issuance and defer remaining $5.5M payment via ATM facility at minimum $150K/month through May 31, 2027. The note includes conversion rights at Floor Price ($0.338) and aggressive prepayment covenants tied to ATM proceeds (90% waterfall to note holder).

ClearOne Inc (market cap ~$5.1M) filed an amended S-1 registration for a best-efforts public offering of 2.86–4.29M units at $3.50/unit ($10–15M gross proceeds). Each unit contains one common share and one warrant (exercise price $10, 6-month expiry). Net proceeds ($9.05–13.75M after 6% placement agent fees) will fund the pending merger with Cortigent (a pre-revenue neurostimulation medical device company) via acquisition by Vivani Medical. Vivani shareholders receive 12.5M consideration shares; First Finance Ltd holds 61.34% and will invest $1M in the offering. The merger conditions include $50k minimum cash post-closing and stockholder/Nasdaq approvals already obtained (Aug 25, 2026).

Tether Global Investments Fund and subsidiary Tether Investments S.A. de C.V. filed Schedule 13D/A disclosing beneficial ownership of 261,485,350 RUM Group Inc. shares and warrants held by Giancarlo Devasini (Italian citizen, Sole Administrator): 141,877,369 Class A Common Stock shares and 119,607,981 Pre-Funded Warrants exercisable for Class A Common Stock. Filing dated September 4, 2026. Prior CFTC settlement (October 2021, $41M penalty) and NYAG settlement (February 2021, $18.5M penalty) disclosed regarding Tether's stablecoin backing claims and Bitfinex fund transfers.

On July 13, 2026, Genasys and lenders (Cantor Fitzgerald Securities as agent; Whitebox funds and others as lenders) executed a Third Amendment to the Term Loan and Security Agreement. The amendment: (1) extends the maturity date of the Closing Date Term Loan from July 13, 2026 to July 13, 2027; (2) confirms the First Amendment Term Loan ($4.0M, May 2025) was paid in full as of July 13, 2026; (3) confirms aggregate principal outstanding on Closing Date Term Loan is $15,206,812.50; (4) waives any Default/Event of Default under Section 7.18 (Minimum Liquidity covenant) occurring prior to July 13, 2026; and (5) provides a temporary liquidity relief window (July 13–20, 2026) during which the $4M minimum liquidity covenant does not apply. Borrower must make monthly payments of $1M starting October 1, 2026.

The FDA approved ZANVASTRO (zilganersen) for Alexander disease in pediatric and adult patients on September 3, 2026, marking Ionis' first independent launch from its neurology pipeline and second independent launch this year. The drug met its primary endpoint, demonstrating statistically significant 33.3% stabilization of gait speed (p=0.041) at Week 61 in patients ≥5 years; it also showed improvement in gross motor function in patients 2–4 years old. Ionis received a Priority Review Voucher (PRV) with approval; in June 2026, Recordati obtained exclusive commercialization rights outside the U.S., with European and Japanese regulatory submissions expected in 2027.

On September 3, 2026, USA Rare Earth completed its merger with Serra Verde Rare Earths Ltd., issuing 126,849,307 common shares and $300 million cash as purchase consideration. The merger creates an integrated rare earth and permanent magnet platform combining Serra Verde's Brazilian upstream heavy rare earth operation with USAR's processing and magnet-making capabilities. The transaction also involved DFC warrant conversions (extinguishing $100M Incremental Loan), registration rights grants to 17 shareholders, and a board seat for VB (Rare Earths) Limited when it holds ≥5% beneficial ownership.

Hawthorn Bancshares completed its merger with FSC Bancshares effective September 3, 2026, with FSC's subsidiary Farmers State Bank merging into Hawthorn Bank. Combined entity now holds ~$2.2B in total assets and operates 27 banking locations across Missouri and Kansas. Customer conversion for Farmers State Bank anticipated Q1 2027; no deal value, purchase price, or specific acquisition metrics disclosed in filing.

SoundHound AI registered 36,894,839 shares of Class A common stock for resale by selling stockholders pursuant to a Notes Restructuring Agreement dated April 21, 2026 with LivePerson, Inc. and noteholders. The shares were registered via Form S-3 filed May 11, 2026, with prospectus supplement dated September 4, 2026. This represents conversion of debt obligations into equity.

Hyperscale Data (market cap ~$12.1M) announced a special one-time dividend of 20,000,000 shares of Class B Common Stock (10x voting power, convertible 1:1 to Class A) to all holders of Class A Common Stock, Class B Common Stock, and four series of Preferred Stock on an as-converted basis. Record date September 15, 2026; payment date October 6, 2026. Payment ratio approximately 0.041 Class B shares per share of eligible capital stock (491.8M shares outstanding on as-converted basis). Class B stock currently has no public trading market but company may seek NYSE American listing. No cash alternative except for fractional shares.

Rein Therapeutics announced enrollment in the RENEW Phase 2 clinical trial (NCT06968845) for LTI-03, a novel inhaled caveolin scaffolding domain peptide for idiopathic pulmonary fibrosis (IPF). The Phase 1b trial (NCT05954988) was completed with safety/tolerability data: 5mg and 10mg doses were well-tolerated with no treatment-related serious adverse events in 24 subjects over 14 days; exploratory biomarkers (SP-D, TSLP, IL-11, COL1A1, CXCL7, GAL-7) showed directional consistency or nominal significance with preclinical findings, particularly at the 10mg dose. Phase 2 data is expected in H2 2026.

SoundHound AI completed its acquisition of LivePerson on September 4, 2026, combining conversational AI platforms (OASYS with LivePerson's digital messaging infrastructure). The combined company operates debt-free after retiring LivePerson's outstanding debt, targets $500M+ future revenue from existing customers, and appointed John Collins as CFO. Simultaneously, SoundHound entered into a Registration Rights Agreement with LivePerson debt holders (Lynrock Lake Master Fund, Calamos funds, D.E. Shaw, Davidson Kempner, and others listed in Schedule A), granting them shelf registration rights for common stock received in the debt restructuring, with 1% monthly liquidated damages capped at 3% if registration delays exceed blackout periods.

KNAV CPA LLP was dismissed as auditor on January 28, 2026, after issuing a report dated September 17, 2025 (with going-concern qualifier) on 2024 year-end financials. CBIZ CPAs P.C. has replaced them, issuing a report dated April 20, 2026. The filing also reveals a 2026 Plan of Conversion, Share Transfer and Reorganization, material enough to warrant auditor qualification of its impact.

On September 1, 2026, Greenland Mines designated 359,324 shares of Series R Preferred Stock (convertible 1:1 to common stock post-shareholder approval) and amended its May 20, 2026 merger agreement with Neo North Star Resources. The merger consideration totals $20M cash, 1,040,676 common shares, and the 359,324 preferred shares; Neo must pay AnorTech $1M cash plus 70,000 shares (5% of purchase price per license agreement). Series C Preferred Stock conversion locked until January 8, 2027 or stock hits $15/share for 5 consecutive trading days.

Laser Photonics (market cap ~$26.1M) filed Form S-1 on September 4, 2026, to offer up to 7.1M common shares at assumed $1.40/share plus warrants (Series B-1 and B-2), plus pre-funded warrants to purchasers exceeding 4.99% beneficial ownership cap. H.C. Wainwright acts as placement agent on best-efforts basis (7% commission, ~$50K legal reimbursement). No minimum offering amount; proceeds intended for R&D (~40%), acquisitions (~35%), and working capital (~25%). Company reported going-concern doubt in 2025 audit; 2026 H1 net loss $6.2M on ~$2.7M revenue.

Director Taneja Rajat (MSCI) bought 2K shares (~$1.0M) on the open market (25% of holdings). Open-market insider purchase — historically a bullish signal.

NeoVolta Inc. entered into a Loan, Security and Guaranty Agreement dated September 4, 2026 with ROHO Capital Opportunity Fund LLC (Loan C: $10M commitment) and Horizon Technology Finance Corporation (Loan A: $5M, Loan B: $5M), totaling $20M in committed capacity. The company issued warrants to purchase 1,454,545 shares at $3.30/share to lenders (Initial Warrants) with potential for 727,273 additional warrant shares at same price upon commitment increases. Loans carry 10% annual interest, mature March 3, 2028, with monthly amortization tied to stock trading volume. Original Issue Discount of 5% ($1M) applies across the commitment.

Director DE ANGOITIA ALFONSO (LILA) bought 476K shares (~$10.0M) on the open market (50% of holdings). Open-market insider purchase — historically a bullish signal.

Pilgrim's Pride Corporation and its subsidiary Pilgrim's Europe Finance plc announced a private offering of up to €500 million in senior notes on September 4, 2026. Net proceeds will fund general corporate purposes and the consideration for the recently announced Walkers Deli Sausage Company acquisition, though the offering is not conditioned on deal closing. The notes will be offered to qualified institutional buyers under Rule 144A and non-U.S. persons under Regulation S.

Hurco reported Q3 FY2026 net income of $2.314M ($0.35/diluted share) versus Q3 FY2025 loss of $3.693M ($0.58/share). Gross margin expanded 800 bps to 28%, driven by cost control, higher-performance machine mix, and tariff refunds. Orders increased 24% YTD to $154.995M versus $124.781M prior year; sales rose 4% to $137.775M. The company holds $52.1M cash, $166.7M working capital, and zero debt.

AIM ImmunoTech is exchanging a portion of a $3.301M promissory note issued to Streeterville Capital, LLC (dated February 16, 2024) for an unspecified number of common shares. The exact dollar amount of the partitioned note and share count are blank in the template filing. Shares will be issued free-trading under Rule 144, with holding period tacking back to February 2024. The Original Note's outstanding balance will be reduced by the partitioned amount; remaining obligations under the original note continue.

Intellia Therapeutics secured a senior secured term loan facility from OrbiMed worth up to $400 million. The structure includes $75 million funded immediately at closing, $225 million in additional tranches tied to lonvo-z milestones, and $100 million subject to mutual agreement. The non-dilutive financing provides runway to advance lonvo-z toward U.S. approval and commercial launch for hereditary angioedema, while advancing nexiguran ziclumeran in transthyretin amyloidosis trials.

Generation Income Properties extended the mandatory redemption date of LC2-NNN Pref, LLC's (Loci Capital) preferred equity interest in GIP VB SPE, LLC from August 31, 2026 to September 30, 2026. The redemption amount is approximately $4.2 million (down from ~$20 million in 2025), comprising $4.05M preferred equity balance, $2,025 per diem return, $70.5K equity fee, and $50K legal expenses. Upon redemption by September 30, 2026, Loci will have no further interests in the portfolio company.

Aperture AC engaged Calvin Kung as Chief Executive Officer effective September 3, 2026, with a base salary of $84,000 annually ($7,000/month) plus a $14,000 sign-on bonus. Simultaneously, Daniel Zhao was engaged as an independent contractor serving as Chief Financial Officer at $36,000 annually ($3,000/month) plus a $6,000 signing bonus. Both agreements are at-will and include standard confidentiality, IP assignment, and non-compete provisions; equity grants for Kung are reserved for future determination.

Creative Media & Community Trust Corp filed a Form 8-K on September 4, 2026, disclosing an unregistered sale of equity securities under Item 3.02. The filing document itself does not contain the specific dollar amount, share count, pricing, or identity of the counterparty—only the metadata indicating that such a transaction was reported. Without the actual text of Item 3.02 provided, the concrete terms of this equity issuance cannot be detailed.

Novartis announced that the Lp(a)HORIZON Phase 3 trial of pelacarsen (discovered and developed by Ionis, licensed to Novartis in February 2019) failed its primary endpoint of reducing cardiovascular events in 8,323 patients with elevated Lp(a) and established CVD. While pelacarsen achieved substantially lower Lp(a) levels, this did not translate to cardiovascular risk reduction. No financial terms, payment impacts, or asset write-downs are disclosed in this announcement.