Most material SEC filings — September 10, 2026

Bitwise announced liquidation of its Bitwise Dogecoin ETF (ticker: BWOW) effective September 10, 2026. Last trading day is October 14, 2026 on NYSE Arca; shareholders will receive net asset value in cash on October 22, 2026. The fund, with ~$474K in assets, is being closed as Bitwise optimizes its product range.

Evolution Metals (market cap ~$7.1M) issued initial revenue guidance of $5-8M for fiscal 2026 and $400-460M for fiscal 2027, driven by expansion of its Pohang, South Korea facility from 1,000 to 10,000 metric tons annual rare earth magnet capacity. The expansion includes 13 ULVAC production machines (delivery November 2026), power infrastructure expansion from 130MW to 750MW via Korea Electric Power Corporation, ~1.3M sq ft land acquisition from Pohang City Government, and a conditional ~$20.7M grant. The FY2027 guidance timing aligns with the January 1, 2027 effective date of DFARS mine-to-magnet supply chain restrictions for U.S. defense industrial base.

20/20 Biolabs (total assets ~$6.1M) filed Form 8-K on September 10, 2026, reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing does not provide specific dollar amounts, percentages, or detailed circumstances in the extracted text; it appears to be a notice of delisting or listing transfer. No counterparties, share counts, or concrete transaction details are disclosed in the available filing materials.

On September 10, 2026, Global Interactive Technologies, Inc. (market cap ~$4.0M) filed an 8-K reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing provides no specific details regarding which listing standard was violated, the exchange involved, or any remediation timeline. This represents a critical corporate governance event for the micro-cap company.

CVD Equipment announced a strategic restructuring on September 10, 2026: the company will stop pursuing new CVD equipment system orders, reduce workforce by approximately 50%, and shift to a spare parts, quartz, and services business. CEO Emmanuel Lakios was replaced by Warren Cheesman (VP Manufacturing) effective September 3, 2026. The company expects a restructuring charge of $0.8–$1.0 million this quarter, primarily severance. As of Q2 2026, CVD had $23.5 million cash and no debt; the Board is evaluating asset sales including its Central Islip real estate facility.

iSpecimen Inc. received notice of failure to satisfy continued listing requirements on September 8, 2026. The filing (Item 3.01) indicates the company does not meet exchange listing standards, triggering delisting proceedings. Specific listing rule violations, remediation timeline, and exchange details are not disclosed in this 8-K.

Office Properties Income Trust priced $425 million of 8.75% senior secured notes due September 24, 2031, secured by first-priority liens on 19 office properties. Net proceeds will repay all outstanding borrowings under the company's secured revolving credit facility and secured term loan. Settlement expected September 24, 2026, subject to customary closing conditions.

Prelude Therapeutics announced FDA clearance of its Investigational New Drug (IND) application for PRT13722, a first-in-class oral KAT6A selective degrader (1,000× selectivity over KAT6B) for HR+/HER2− breast cancer. Phase 1 enrollment is anticipated to begin Q4 2026. No financial terms or counterparties specified in the IND clearance announcement itself; however, the company has an exclusive option agreement with Incyte (announced November 2025) related to its JAK2V617F program, with option exercise decision anticipated by 1H 2027.

SKYX Platforms Corp. (public, ~$87.1M market cap) agreed to acquire Deako, Inc. via merger with wholly-owned subsidiary Lumineer Merger Sub. Consideration: 25,000,000 SKYX shares issued to escrow, released on 12/15/18/21-month schedule; $4M cash ($2M signing, $2M closing) paid to senior lenders; $8.5M promissory note issued. Existing Senior Notes retired. Deako shareholders receive residual after senior lender payoff and escrow claims. Deal signed September 9, 2026; closing conditional on stockholder approval and standard closing conditions.

Chief Executive Officer KHOSROWSHAHI DARA (UBER) bought 141K shares (~$10.0M) on the open market (9.3% of holdings). Open-market insider purchase — historically a bullish signal.

Tarsus Pharmaceuticals (NASDAQ, ~$1.7B market cap) agreed to acquire Alkeus Pharmaceuticals via merger. Base consideration: $270M cash upfront plus $180M in Tarsus stock (~$61.38/share) for a total upfront value of ~$450M. Additional contingent payments: up to $350M in milestone payments ($250M on FDA approval of ALK-001 in US; $100M on first commercial sale in US) plus royalties on net sales (tiered 5%-15% depending on sales level and patent/exclusivity status, capped at 10-year term or patent/exclusivity expiration). Transaction includes $5M adjustment escrow, earnout structure with post-closing true-up procedures, and key employee retention arrangements. Merger closing anticipated Q3 2026.

10% owner CASCADE INVESTMENT, L.L.C. (RSG) bought 721K shares (~$159.6M) on the open market (0.6% of holdings). Open-market insider purchase — historically a bullish signal.

GeoVax received a delisting notice from Nasdaq on August 27, 2026, for failing to meet minimum bid price requirements under Rule 5550(a)(2). The company requested a hearing before the Nasdaq Hearings Panel, scheduled for October 13, 2026, which has stayed delisting action pending the hearing outcome. Stock will continue trading on Nasdaq Capital Market (GOVX) through the hearing and any extension period.

Caring Brands, Inc. entered into a 12-month Consulting Services Agreement effective September 2, 2026 with Myall Luna Ventures Inc. (counterparty: Brian Meadows, President). The consultant will provide financial and accounting management services including cash flow management and financial reporting support. Compensation is US$10,000 per month (US$120,000 annual commitment), payable monthly in advance, plus reimbursable pre-approved expenses. Either party may terminate with 30 days' written notice. The agreement expires September 1, 2027 with no automatic renewal.

ARC Group Acquisition I Corp. (SPAC, $122.6M assets) agreed to acquire Firstborn Top Capital Sdn. Bhd., a Malaysian licensed moneylender, for $1 billion enterprise value ($1B less net indebtedness, adjusted for working capital). Consideration: Purchaser Class A Ordinary Shares valued at Redemption Price; working capital true-up post-closing; no earn-outs specified in base agreement. Selling shareholders receive pro-rata shares based on holdings (3,636,400 total Company Ordinary Shares outstanding). Closing contingent on shareholder approval, regulatory clearances, and $5M minimum net tangible assets test.

President, CEO and Chairman Cohen Ryan (GME) bought 1.0M shares (~$20.4M) on the open market (2.5% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner GOLDENTREE ASSET MANAGEMENT LP (QVCG) bought 1.6M shares (~$26.0M) on the open market (13% of holdings). Open-market insider purchase — historically a bullish signal.

Swarmer Inc (NASDAQ: SWMR) agreed to acquire LIMITED LIABILITY COMPANY JK LAND VEHICLES, a Ukrainian unmanned ground vehicle manufacturer, from four indirect sellers (Ostapchuk, Paliienko, Murashko, Gorovyi) via direct sellers. Closing consideration: $7.2M cash + 1,064,942 shares. Up to $7.2M cash + 4,422,125 shares contingent earnout over 2026-2028 based on revenue and operating income targets. Company valued at approximately $14.4M in base consideration alone, representing ~42% of Swarmer's $33.9M asset base.

Chemours Company, DuPont, and Corteva reached a settlement agreement with North Carolina and 11 local entities resolving PFAS-related claims from Fayetteville Works and other sites. Total settlement: $455 million over 15 years ($102.5M Year 1, declining annually). Chemours pays 50% (~$227.5M total, ~$180M NPV), covered by existing accruals. Additionally, DuPont and Corteva must establish a $135M reserve fund for Chemours' remaining Consent Order obligations. Settlement resolves multiple litigations and covers PFAS contamination claims but excludes Cape Fear Public Utility Authority and certain other claims.

Eclipse Acquisitions Merger Sub (affiliate of Luther King Capital Management) is acquiring Distribution Solutions Group in an all-cash take-private transaction announced September 1, 2026. LKCM, a long-term investor since 2013, cites operational inflexibility of public company status as rationale. The deal permits DSG to pursue M&A aggressively (14 acquisitions completed since 2022; 6 additional targets under discussion) and implement strategic initiatives while operating as a private company under LKCM's operational partnership model.

Vince Holding completed acquisition of October's Very Own (OVO) operating business on August 27, 2026 for nominal cash plus $6 million for 5% equity stake in OVO's IP entity (held by Authentic Brands Group). Q2 FY2026 net sales grew 11.7% to $81.8M vs. $73.2M prior year; Vince wholesale up 10.4%, DTC up 13.7%. Company incurred $2.9M in OVO transaction costs in Q2. Raised full-year Vince guidance: expecting 8-10% sales growth and 9.0-9.5% adjusted EBITDA margin. OVO generated ~$50M sales in calendar 2025; company targets >$100M by fiscal 2030.

AIB Data Centers executed a 15-year Electric Service Agreement (ESA) for 65 MW of firm power at CLT-01, commencing October 1, 2026. The company raised $63.3M ($52.8M cash, no debt) in June 2026 and is actively negotiating a single ~50 MW critical IT lease expected to generate ~$1.32B contract value over 12 years at ~$1.86M per MW per year. No tenant lease has been executed; 570 MW identified across pipeline but only 65 MW contracted power to date.

SurgePays Inc. agreed to sell the ClearLine engagement platform, ClearLine Media Network, and GPOX Wireless business to GPO Plus Inc. (via its subsidiary ClearLine Apps LLC) for $27.5 million, satisfied entirely by issuance of 25,000,000 shares of GPO Plus Series D Convertible Preferred Stock (convertible 1:1 to common stock). SurgePays retains its core SurgePays-branded MVNO/wireless business. Emerald Shoals Targeted Opportunities Fund LP, a major GPOX shareholder, granted SurgePays a put option to sell all underlying shares back for $27.5M during a 90-day window starting 3 years post-closing, and received a 5-year warrant for 15,000,000 GPOX common shares (three tranches at $0.05, $0.15, $0.25). Closing contingent on standard reps/warranties accuracy and asset delivery.

Quoin Pharmaceuticals announced FDA granted Rare Pediatric Disease (RPD) Designation for QRX003 in Peeling Skin Syndrome (PSS) on September 8, 2026. This is the second RPD designation for QRX003 (first was Netherton Syndrome). Upon NDA approval, Quoin may receive a freely tradable Priority Review Voucher (PRV). The company plans to initiate a Phase 2 study enrolling up to 12 pediatric and adult PSS patients in the U.S. and Europe before end of 2026; PSS currently has no approved treatments.

LightPath Technologies reported FY2026 revenue of $71.7M (+93% YoY) and gross profit of $25.8M (+155% YoY), with record backlog of $110.9M (197% above prior year), of which $85.6M scheduled for next 12 months. The company raised $50M via common stock issuance at $14/share in June 2026, ending the year with $93.2M cash. Key drivers include G5 Infrared acquisition (full-year contribution), AML glass acquisition (January 2026, ~5 months), and defense/counter-UAS demand; the company also divested Chinese subsidiary LPOIZ for $4.5M (5-year installment). Adjusted EBITDA swung to +$4.2M from -$5.1M loss, though GAAP net loss widened to -$20.5M due to $15.6M non-cash earnout fair-value adjustments (primarily G5 outperformance).

On July 1, 2026, Linkhome Holdings Inc. completed acquisition of Constant Investments, Inc. (Mortgage One Group) for 300,000 shares of Linkhome common stock (valued at preliminary fair value as of July 1, 2026) plus contingent earnout up to $750,000 over two years based on mortgage origination performance. Constant's 6/30/26 net assets: $2.65M (total assets $6.70M, current liabilities $4.04M including $3.73M warehouse debt). Post-acquisition, Constant's two warehouse credit lines were suspended pending lender review of ownership change.

Frequency Electronics announced Q1 FY2027 (ended July 31, 2026) revenue of $23.5 million, up 70% year-over-year and 52% sequentially, with operating margin exceeding 22%. Funded backlog reached record $129 million, up 82% YoY and 16% sequentially. Net income was $4.2 million ($0.41/diluted share) versus $0.6 million ($0.07/share) in prior year. The company completed a secondary offering adding ~$73 million in cash during the quarter, enhancing a debt-free balance sheet.

Oracle reported Q1 FY27 total revenues of $19.3B (+30% YoY), with cloud revenues of $11.6B (+62%), driven by cloud infrastructure at $7.4B (+121%). The company raised $20B via at-the-market equity offering and booked $30B in new AI cloud contracts, increasing remaining performance obligations to $664B. Guidance raised: FY27 revenue ≥$90B, non-GAAP EPS $8.10.

Modine announced completion of shareholder approval for merger with Gentherm and spinoff of Performance Technologies business, effective October 1, 2026. The combined company will rebrand as Modexus Solutions, trading under MOD on NYSE, with Neil Brinker as CEO and Michael Lucareli as CFO. Modine shareholders will vote on the name change within three months of close.

AIM ImmunoTech agreed to exchange a portion of a $3.301M promissory note (original principal dated November 18, 2025, from Streeterville Capital, LLC) for an unspecified number of common shares. The exchange agreement partitions an undisclosed amount from the original note, cancels that partitioned portion, and issues shares free-trading under Rule 144. Dollar amount of partition and share count are blank in the filed template.

On September 10, 2026, Vulcan Infrastructure & Power Inc. issued MIG REF II INFR, LLC a $10,000,000 senior secured convertible note at 10% interest (15% default rate), convertible into Class A Common Stock at $2.1375/share; 1,754,386 warrants at $1.71/share; and 2,923,976 common shares for $5,000,000 aggregate. MIG REF II receives board designation rights (1-2 directors depending on ownership ≥5-7.5%), registration rights for resale, pro-rata participation rights on future equity issuances, and sponsor incentive fees. The note matures September 10, 2029, is secured by Mississippi real estate and assets, and features forced conversion if stock price exceeds 215% of conversion price for 20 of 30 trading days after 18 months or $75M+ equity raise.

RUM Group announced it will acquire 8,256,155 additional Northern Data shares from Tether Investments at an exchange ratio of 2.0281 RUM Class A shares per Northern Data share, increasing ownership from 85.2% to approximately 98%. Upon completion (expected ~September 30, 2026), RUM Group will formally initiate squeeze-out proceedings under German law to acquire the remaining ~2% for 100% ownership. The specific acquisition price for the additional shares is not disclosed in the filing.

SUI Group Holdings (market cap ~$3.5M) held its 2026 Annual Meeting on September 4, 2026, approving Proposals 1, 3, 4, and 5, but adjourned Proposal 2—reincorporation from Minnesota to Delaware—to secure additional votes. Proposal 2 received 97% approval of votes cast but only 33% of outstanding shares; it requires >50% of all outstanding shares as of July 8, 2026 to pass. The meeting reconvenes October 2, 2026, at 9:30 a.m. ET in Wayzata, Minnesota, with the Board unanimously recommending approval.

VenHub Global filed an amended Form S-1 on September 10, 2026, registering 24,913,571 shares for resale, comprising: (i) up to 18,278,571 ELOC Shares issuable to Euphoria Capital under an equity purchase agreement dated August 27, 2026, representing up to $100,000,000 in gross proceeds over 24 months at 97% of 3-day VWAP; (ii) 800,000 commitment shares issued to Euphoria; (iii) 500,000 shares to Craig Horn at $1.00/share (August 13, 2026); and (iv) 5,335,000 shares to five service providers. The company has $2.56M cash (June 30, 2026), accumulated deficit of $109.2M, negative working capital of $1.77M, and stock price of $0.849 as of filing date.

Kala Bio (market cap ~$24.6M) entered into an exclusive distribution and reseller agreement with Virotek Inc., effective September 3, 2026, to market and distribute Virotek's ophthalmology genetic testing program (Eyegene and Eyegene PLUS) in the United States. The parties will share Net Profit 50/50 after Virotek recovers cost of goods sold (COGS); specific dollar thresholds and test volumes for the 12-month exclusivity milestone are redacted but material to retention of exclusivity. Kala bears all marketing costs; the 5-year initial term is renewable if exclusivity milestone is met, with Kala granted right of first refusal on related ophthalmology products.

On September 10, 2026, OS Therapies filed a prospectus supplement registering 5,874,094 shares for resale by selling stockholders, comprising: 600,000 common shares, 900,000 shares from pre-funded warrant exercises, 1,500,000 shares from warrant exercises, and 2,874,094 shares from conversion of senior secured convertible notes. This represents significant dilution relative to the company's ~$49.6M market cap.

Chief Growth Officer Glavine Paul (CYBN) bought 100K shares (~$1.2M) on the open market (2.3% of holdings). Open-market insider purchase — historically a bullish signal.

Executive Chair So Eric H. L. (CYBN) bought 100K shares (~$1.2M) on the open market (2.2% of holdings). Open-market insider purchase — historically a bullish signal.

EyePoint's LUGANO Phase 3 trial of DURAVYU (vorolanib) in wet AMD enrolled 427 patients (211 DURAVYU vs. 216 aflibercept control). The primary endpoint of non-inferiority in best-corrected visual acuity (BCVA) change from baseline to Week 52/56 was NOT achieved in the full dataset. However, DURAVYU achieved non-inferiority when an asymmetric cohort of 9 patients with ≥15-letter vision loss from non-wet AMD causes (geographic atrophy, glaucoma, retinal detachment) was excluded (nominal p=0.0096). Key secondary wins: 54% supplement-free rates (54% vs. aflibercept control), 42% fewer injections, and superior anatomic control (CST: −76 microns DURAVYU vs. −73 aflibercept). Safety profile was favorable; no insert migration or severe inflammation. Company plans pre-NDA meeting in Q4 2026 and NDA filing in H1 2027 if the parallel LUCIA trial (475 patients) reads out positively in Q4 2026.

On May 15, 2026, MasterCraft completed its merger with Marine Products Corporation (Chaparral and Robalo brands), adding a Recreation and Sport Fishing segment. FY2026 net sales reached $348.9M (+22.8% YoY), but GAAP loss from continuing operations was $1.6M (−$0.09/share) due to a $10.1M non-cash Leisure segment impairment charge and $20.4M acquisition-related costs. Adjusted EBITDA grew 87% to $45.6M; Adjusted Net Income was $30.2M ($1.76/share, +91% YoY). Marine Products contributed $33.3M in Q4 sales and $33.3M full-year incremental sales.

Commerce.com announced a strategic operating plan targeting $60–80 million in annualized cost savings ($0.73–$0.97 per diluted share, based on ~82.6M shares) and non-GAAP operating margins of at least 20% by 2027. The company will incur $4.2–8.8M restructuring charges in Q3 2026 and $4.3–17.5M in Q4 2026. The board authorized a $50 million share repurchase program over two years, and 2026 full-year non-GAAP operating income guidance was raised by $3 million to $31–37 million.

BKV Corporation priced $500 million of 1.625% convertible senior notes due October 15, 2031 (upsized from $400M) on September 9, 2026, settling September 14. Conversion rate 31.3161 shares per $1,000 principal (conversion price $31.93, 32.5% premium to $24.10 stock price); cap price $48.20 (100% premium). Net proceeds ~$481.8M; company will use ~$56.3M for capped calls, ~$35M to repurchase 1,452,282 shares, remainder for debt repayment and capex. Initial purchasers hold $75M greenshoe option.

Disc Medicine reported initial Phase 2 RESTORE-PV trial results for DISC-3405, an anti-TMPRSS6 monoclonal antibody, in 40 PV patients (20 in Cohort A dosed, 13 completed 26 weeks). Efficacy data for Cohort A showed mean phlebotomy events decreased from 4.0 to 0.6 over 26 weeks (p<0.0001), with 61.5% phlebotomy-free through week 26 and 77.8% free during maintenance; hematocrit controlled at ~45%; drug was well-tolerated. Company also presented RALLY-MF Phase 2 data for selcodebart (DISC-0974) in myelofibrosis anemia and expects FDA end-of-phase-2 feedback and pivotal trial plans by year-end 2026.

DigitalOcean entered into a $725 million equipment finance facility maturing September 10, 2030, with MUFG Bank as administrative agent and Axos, BMO, and Wells Fargo as joint lead arrangers. The facility includes a $300 million accordion option. Proceeds will fund GPU, CPU, and infrastructure to meet growing demand for its AI-Native Cloud platform in 2027–2028.

Chief Executive Officer Gu Paul (UPST) bought 50K shares (~$1.3M) on the open market (28% of holdings). Open-market insider purchase — historically a bullish signal.

CEO Miles Patrick (ATEC) bought 115K shares (~$1.0M) on the open market (1.9% of holdings). Open-market insider purchase — historically a bullish signal.

Cerenome issued Senior Secured Convertible Notes totaling $21,276,596 across three tranches: Initial Notes of $3,191,489, Second Notes of $2,127,660, and Additional Notes of $15,957,447. Notes bear 8% interest with 6% original issue discount, convert at prices ranging from $2.74 to 110% of Nasdaq minimum price, and amortize quarterly starting three months post-closing. Maturity is one year from initial closing, extendable if CNSide CSF test sales reach $10M by Q2 2027 or upon events of default.

Axogen priced 4,910,000 common shares at $42.50/share (gross proceeds ~$208.7M) with a 30-day overallotment option for 736,500 additional shares at the same price. Net proceeds will fund the $200M cash acquisition of BioCircuit Technologies (NerveTape sutureless nerve repair device), with closing expected Q4 2026. The deal is expected accretive to revenue growth and adjusted EBITDA margins in year one while maintaining positive free cash flow.

Designer Brands reported Q2 2026 net sales of $730.6M (down 1.2% YoY) but drove gross margin to 50.0% vs. 43.6% YoY; adjusted gross margin 47.9% vs. 43.6%. Brand Portfolio segment grew 17.9% YoY to $86.3M. The company reduced debt by $93.0M to $423.1M and raised full-year adjusted diluted EPS guidance from $0.28–$0.38 to $0.47–$0.52 (a midpoint increase of ~54%). A $0.05/share dividend was declared for October 7, 2026 payment.

Middleby completed separation from Food Processing (Feb 2025) and residential JV with 26North (Feb 2026), now operating as pure-play commercial foodservice equipment company with FY2025 net sales of $2.35B and adjusted EBITDA of $627M (27% margin). Company announced exit of brewing business (SS Brewtech, Deutsche Beverage, Wild Goose) generating ~$24M sales but -$9M EBITDA in 2025, with 60bps margin benefit. FY2026 guidance raised to $2.48-2.53B sales (+7%), $572-588M EBITDA, and $6.73-6.89 adjusted EPS (+12%), targeting 3-6% organic sales CAGR and 200-400bps adjusted EBITDA margin expansion by 2028, with 10-15% adjusted EPS CAGR target from 2025-2028.