Most material SEC filings — September 16, 2026

On September 14, 2026, Cenntro amended its August 25, 2026 Securities Purchase Agreement with unnamed purchasers. The amendment modifies Section 1.1 to specify issuance of 15,120,000 common shares at $3.773 per share (five-day NASDAQ average as of August 25) for aggregate proceeds of $57,047,760. No counterparty names, individual purchase amounts, or share allocations are disclosed in this exhibit; signature pages remain blank templates.

Veea Inc. (market cap ~$40M) signed a non-binding term sheet to merge with NovaGen Group B.V., a regenerative medicine company, creating a combined entity valued at approximately $750 million. GeoNova Capital committed $10 million as cornerstone investor. The merger targets definitive agreement within weeks, with NovaGen Health Networks platform rollout beginning Q4 2026, integrating Veea's edge AI infrastructure with NovaGen's cellular reprogramming and clinical services.

Synergy CHC Corp. filed an 8-K on 2026-09-16 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard, with a period of report date of 2026-09-11. The filing does not disclose the specific listing standard violated, the exchange involved, remediation timeline, or cure period details—only the bare notice of delisting risk or transfer of listing.

On September 10, 2026, Bone Biologics Corp (public market value ~$7.2M) received notice of delisting or failure to satisfy continued listing standards. The 8-K filing Item 3.01 indicates the company has been notified of a potential transfer of listing or delisting. No specific cure period, financial metrics, or remediation plan details are disclosed in the filing text provided.

Wolfspeed completed its prepackaged Chapter 11 bankruptcy on September 29, 2025, and received all Regulatory Approvals on January 29, 2026. Under the Plan, it issued $1.3B in new Senior Secured Notes, ~$301.1M in New 2L Convertible Notes, and $203.6M in New Renesas 2L Convertible Notes. Renesas received 16.9M shares of New Common Stock, 4.9M warrants at $23.95/share, and convertible notes. Old shareholders were diluted to ~1.3M shares (3% of ~43.6M total issued); pro forma net loss for FY2026 was $665.9M (−$14.44/share).

Battalion Oil Corp (market cap ~$5.0M) filed Form 8-K on 2026-09-16 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. The filing itself contains no substantive details—only the SEC header and exhibit metadata—regarding the specific delisting trigger, timeline, or remediation plan.

On September 10, 2026, Nasdaq granted Exicure an extension through December 2, 2026 to regain compliance with Listing Rule 5550(b)(1), which requires minimum stockholders' equity of $2.5 million. The company failed this requirement as of June 5, 2026 and also does not meet alternative standards (market value or net income). Failure to demonstrate compliance by the deadline risks written delisting notice and potential loss of Nasdaq listing.

BCB Bancorp announced an underwritten public common stock offering (underwriter: Piper Sandler Co.) with proceeds for liquidity and capital support. Concurrently, the company disclosed it identified ~$210M in problem loans for sale (expecting ~$87M pre-tax loss), plans to transfer ~$96M additional commercial real estate and cannabis loans to held-for-sale, recorded a $50M valuation allowance against deferred tax assets, and projects Q3 2026 net loss of $126.2M–$136.1M. Net interest margin expected 2.90%–3.00%; provision for credit losses $112M–$120M.

Xenetic Biosciences (market cap ~$5.1M) agreed to acquire all issued shares of Swiss biotech Santersus AG from multiple sellers via stock exchange. Santersus shareholders will receive Company Common Stock at an Exchange Ratio to be calculated based on Net Cash at Closing; Santersus converts preferred shares to ordinary shares pre-closing; deal contemplates company name change to 'Santersus Bio, Inc.' and requires stockholder approval. No dollar consideration amount is specified in the agreement text; the actual exchange ratio depends on a Net Cash calculation mechanism with dispute resolution via Baker Tilly if parties disagree.

CID Holdco (market cap ~$7.2M) agreed to acquire Envoy Technologies from BladeRanger for 10.8M shares of Series C Convertible Preferred Stock valued at $65M (at $6.00/share reference price), representing 67.3% of post-closing fully diluted capitalization. Blink Charging receives 2.17M shares (20% of Envoy-side consideration) as holder of Envoy's $12.5M convertible note. Concurrently, LHT I LLC's ~$1.08M senior secured note converts into 2.82M shares (outside normal dilution caps), and H Capital Ventures provides $550K convertible debt at 8% annual interest, convertible at lower of $1.50 or 90% of 10-day VWAP (floor $0.50). Post-closing, existing holders own 32.7% and Envoy-side shareholders own 67.3% before additional dilution from H Capital (~9.99% cap) and Yorkville's $15M standby equity purchase agreement. Stockholder approval required for full conversion of Series C; targeted for January 2027.

Range Capital Acquisition Corp. filed an 8-K on September 16, 2026 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. The filing provides no specific details on which listing standard was violated, the nature of the deficiency, timeline for remediation, or the target listing (if transfer is occurring). Concrete dollar amounts, share counts, or counterparties are absent from this disclosure.

Aldel Financial II Inc. filed an 8-K on September 16, 2026 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. The filing does not provide specific dollar amounts, percentages, or detailed reasons for the delisting notice in the extracted text. The company is a blank-check entity (SIC 6770) with a public market value of approximately $241.3M.

Identiv, Inc. completed sale of its IoT business and substantially all operating assets (including Thailand subsidiary) to Trackonomy Systems, Inc. on September 15, 2026. The company received $50 million in Trackonomy Series C Preferred Stock (at $20.07/share) and paid $25 million cash as part of the deal. Identiv changed its name to INVE Technologies, Inc., effective immediately, pivoting to focus on building a physical AI SaaS business through targeted acquisitions and a planned strategic partnership with Trackonomy.

On April 28, 2026, CareDx agreed to acquire precision oncology diagnostics company Naveris, Inc. for $160.0 million in upfront cash consideration plus up to $100.0 million in contingent consideration based on specified revenue milestones for years ending December 31, 2026 and 2027. The transaction closed July 1, 2026. Naveris generated $34.3 million in revenue for 2025 (primarily from its NavDx HPV blood test) and had an accumulated deficit of $65.0 million; CareDx valued acquired intangible assets at $125.1 million and recorded $71.8 million in goodwill.

10% owner HRT FINANCIAL LP (USO) bought 105K shares (~$16.6M) on the open market (63% of holdings). Open-market insider purchase — historically a bullish signal.

Fluence Energy revised FY2026 revenue guidance downward from $3.0B to $2.4B (20% cut) and Adjusted EBITDA from -$10M loss to -$200M loss, citing Houston contract manufacturing facility delays. Simultaneously, the company hired Bernerd Da Santos as Executive Vice President and Chief Operating Officer (effective Sept 15, 2026) with total compensation of ~$3.65M in first-year guaranteed pay ($650K base + $700K sign-on bonus + $1.5M LTI minimum + $700K sign-on LTI grant).

10% owner NIPPON LIFE INSURANCE CO (CRBG) bought 296K shares (~$10.3M) on the open market (0.2% of holdings). Open-market insider purchase — historically a bullish signal.

On September 11, 2026, DataMeds AI (NASDAQ: MEDS, ~$27.1M market cap) acquired 100% of Helomics Corporation from Axe Compute Inc. (NASDAQ: AGPU) for 636,328 shares of DataMeds common stock (19.99% of DataMeds' pre-transaction outstanding shares, ~$635K at market) plus a $1.363672M convertible note at 7% annual interest, convertible at $1.00/share, maturing September 2029. Helomics is a CLIA/CAP-certified cancer diagnostics lab with precision oncology CRO services. DataMeds received the lab, equipment, business operations, and $1.5M cash; no third-party debt transferred. The transaction closed with Axe Compute retaining a significant equity stake in DataMeds post-close.

Tenon Medical (market cap ~$7.3M) closed a warrant inducement on September 14, 2026, with institutional investor Armistice Capital Master Fund Ltd. exercising 572,179 existing Series A warrants for $2,872,338.58 gross cash proceeds at $5.02/share exercise price. In exchange, the investor received 858,269 new Series B warrants (150% of exercised shares) at $5.02/share exercise price, 5-year term. WallachBeth Capital received 7% financial advisory fee (~$201K). The company must file a resale registration statement within 30 days and use commercially reasonable efforts to make it effective within 60-90 days.

Executive Chair, CEO MURDOCH LACHLAN K (FOX) bought 150K shares (~$10.3M) on the open market (9.7% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner Strategic Value Partners, LLC (NFE) bought 70K shares (~$34.5M) on the open market (34% of holdings). Open-market insider purchase — historically a bullish signal.

Barnwell Industries completed the sale of its remaining Hawaii development interests (KKM Makai, LLLP and KD Kona 2013 LLLP partnership interests plus related development rights) for a gross purchase price of $1.77 million, netting $1.54 million in cash proceeds plus $0.14 million in pre-closing distributions, totaling $1.7 million in cash receipts. The transaction eliminates future capital commitments, simplifies the portfolio, and completes the company's exit from Hawaii.

PEDEVCO won a BLM competitive lease sale on September 9-10, 2026, acquiring approximately 5,678 net acres in Wyoming's Powder River Basin Mowry formation for $5.9 million ($1,045/acre). The acquisition, funded from cash on hand, nearly doubles the company's Mowry acreage position to ~12,000 net acres with ten-year lease terms and 12.5% royalty rate (87.5% NRI retained).

ACP Holdings Acquisition Corp. (a $218.4M SPAC) has signed a definitive Business Combination Agreement dated September 15, 2026 to merge with May Mobility, Inc., an autonomous vehicle software company. The deal includes domestication of the SPAC from Cayman Islands to Delaware, issuance of PIPE securities (12% Series A Preferred Stock and warrants), shareholder approvals, and standard closing conditions. No specific merger consideration dollar amount, share exchange ratio, or valuation is stated in this excerpt.

Oasis Management Company Ltd. and affiliates disclosed ownership of ~5.0 million shares (approximately 5.1% of Vail Resorts common stock) acquired between July–September 2026 at prices ranging $135–$150/share. Oasis simultaneously nominated four director candidates (Robert Chapek, Bryce Roberts, Picabo Street, M. Ashton Hudson) via Schedule 13D filing dated September 16, 2026. Chapek received $100k/month compensation plus a $500k forgivable loan; other nominees received standard nomination fees ($50k each at nomination and proxy filing stages, with required reinvestment of after-tax proceeds in company stock). The filing includes detailed nomination agreements, trading activity, and governance undertakings.

Reliance Global Group completed the sale of Southwestern Montana Insurance Center on September 11, 2026, for $2.625 million in cash at closing plus an uncapped earnout based on the subsidiary's EBITDA performance through August 31, 2027 (earnout calculated at 8.75× any EBITDA above $300,000). The transaction generated no share dilution and represents execution of the company's 2025 portfolio monetization strategy to divest non-core agencies and redeploy capital into its AI platform RELI Exchange and debt repayment.

ChronoScale Intermediate LLC (formerly Ekso Bionics Holdings) amended its $2,000,000 secured promissory note with B. Riley Commercial Capital, extending the maturity date from September 12, 2025 to November 12, 2026. The amendment permits a 'Permitted Disposition' (sale of Ekso Bionics Inc., the parent/guarantor) without triggering a Change of Control clause or accelerating repayment, and provides automatic lien release upon sale consummation.

On September 16, 2026, Adial Pharmaceuticals amended its June 2026 Securities Purchase Agreement and Note Exchange Agreements with investors (PIPE Investors and former Azora Noteholders) to remove 'Penalty Provisions' that reduced milestone warrant participation if investors exercised initial pre-funded warrants early. The removal triggered reclassification of $22.7M in milestone warrant liabilities (primarily $19.7M from PIPE investors, $3.0M from Azora noteholders) from liability to equity classification on the balance sheet. Additionally, the company's 12.9M shares of Series A Preferred Stock are expected to convert into common stock, increasing common shares outstanding from 2.6M to 15.6M.

Change Agents Corporation filed an amended S-1 registering 5,375,797 shares for resale by selling stockholders. Key components: 5M shares at $2.00/share to Hudson Global Ventures under an Equity Purchase Agreement (amended three times between July–September 2026); 46,297 warrant shares to Hudson at $0.20/share; common shares issued to Agile Capital Funding (28,000 shares), Vision Capital NY (15,000), Dune Equity (65,000 including warrant shares), FirstFire Global (49,000 including warrant shares), One-Eyed Jack Enterprises (22,500), and C/M Capital/WVP funds (150,000 combined warrant shares). No pricing or valuation details provided for non-Hudson tranches.

Clene Inc. priced a registered direct offering of 1,219,513 shares at $3.28 per share for gross proceeds of $4.0 million, closing September 17, 2026. Purchasers include Chairman David Matlin, founding investor Kensington Capital Holdings, CEO Robert Etherington, and other existing shareholders—no placement agent or underwriter involved. Net proceeds fund operations through mid-Q1 2027, primarily for CNM-Au8 regulatory preparation, expanded access protocols, and manufacturing expansion.

FG Nexus's Board approved a $10 million investment in FG Communities, Inc. (a privately held affordable housing operator with 96 communities and 4,000+ home sites), acquiring approximately 10% of FG Communities' outstanding common stock. The investment was vetted by an independent Special Committee and financial advisor due to related-party conflicts (CEO Kyle Cerminara holds significant equity in both companies). FG Nexus simultaneously announced a strategic pivot to become an affordable housing real estate operating company, planning direct property acquisitions via cash, debt, and equity issuance, and will rebrand to FG Communities Holdings, Inc. with new Nasdaq ticker FGC.

RTB Digital entered an Executive Services Agreement with Heckman Media LLC (100% owned by James Heckman) effective June 1, 2026, through December 31, 2030. Heckman receives $75,000/month base salary (June–December 2026), then $50,000/month thereafter; a $250,000 initial bonus; annual performance bonuses up to 100% of base salary; and RSU grants up to 3.47M shares (or 10% fully diluted) upon Nasdaq listing and $100M revenue milestones, plus 10% of incremental stock-price gains above 20% annual thresholds through 2031. The agreement treats Heckman as an independent contractor through the LLC, with health/office expense reimbursement and 12-month severance if terminated without cause.

Director Three Lions Sponsor, LLC (TLAC) bought 400K shares (~$2.0M) on the open market (67% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner THRIVENT FINANCIAL FOR LUTHERANS (ARDC) bought 240K shares (~$6.0M) on the open market (50% of holdings). Open-market insider purchase — historically a bullish signal.

AH Realty Trust completed sale of 9 multifamily properties to Harbor Group International for $485M (closed May 20, 2026), with 2 additional assets under contract for $77M. Proceeds reduced net leverage from 8.3x to 7.1x, targeting 5.5x–6.5x post-transformation. Company also repurchased 5.6M shares ($33.2M at $5.92/share YTD), reset dividend to sustainable level, and exited non-core businesses (general contracting, real estate financing platform).

Executive Chairman RADY ERNEST S (AAT) bought 50K shares (~$1.1M) on the open market (2.0% of holdings). Open-market insider purchase — historically a bullish signal.

Aeluma signed a non-binding Letter of Intent with the Department of Commerce CHIPS R&D Office for up to $30 million to develop photonics for AI and advanced computing (subject to definitive agreement). The company raised $20.1 million net via at-the-market offering (830,484 shares at $24.87/share average), bringing cash to $56.0 million at June 30, 2026. Full-year FY2026 net loss widened to $9.2 million ($0.52/share) from $3.0 million ($0.23/share) prior year; revenue flat at $4.5 million. Executed new Sumitomo Chemical Advanced Technologies manufacturing partnership and six government contracts worth $5.3 million.

Director ROBO JAMES L (KBDC) bought 400K shares (~$5.2M) on the open market (50% of holdings). Open-market insider purchase — historically a bullish signal.

American Battery Technology Company (ABAT, market cap ~$438M) reported FY2026 revenue of $21.7M (vs. $4.3M in FY2025, +407%), with adjusted gross profit turning positive at $1.7M (vs. -$6.2M loss in FY2025). Cash increased to $49.5M (from $7.5M), total assets to $132.8M, and the company eliminated all debt. Key milestones include selection for a $30M battery cleanup project, a partnership with The Battery Network, and reinstatement of a $57.7M DOE grant for its Tonopah Flats Lithium Project; however, GAAP gross loss was -$3.1M and net loss was -$73.4M (weighted average 127.6M shares outstanding).

10% owner Opaleye Management Inc. (ACOG) bought 124K shares (~$1.1M) on the open market (3.8% of holdings). Open-market insider purchase — historically a bullish signal.

See Remarks WARD TOM L. (MNR) bought 172K shares (~$2.0M) on the open market (1.3% of holdings). Open-market insider purchase — historically a bullish signal.

Sandra Cohen Kalter, former Vice President and Chief Regulatory Counsel at Medtronic with 20 years tenure, appointed to Autonomix Medical's Board of Directors on September 16, 2026. Kalter brings 40+ years of MedTech experience, including oversight of 27+ acquisitions and regulatory work on renal denervation and electrophysiology platforms. She will provide strategic guidance on FDA pathways, technology development, and industry partnerships.

BCB Bancorp priced an underwritten public offering of 11,000,000 shares at $7.75/share for gross proceeds of $85,250,000 (before underwriting costs), expected to close September 18, 2026. Piper Sandler Co. is sole book-runner; a 30-day overallotment option was granted. Proceeds will support capital ratios, liquidity, loan loss provisions, debt reduction, and disposition of problem loans.

Karman Holdings disclosed Q2 2026 results in investor update: backlog increased to $1.322B (69% organic growth from $580M at Q4 2024), book-to-bill ratio ~1.6x over 18 months, Adjusted EBITDA margin ~30%, and 5 acquisitions totaling ~$453M enterprise value since IPO with average $11M EBITDA at close. Company deployed $35–38M capex in 2026 for facility expansions (Skagit WA energetics, Salt Lake City nozzle production, Horsham PA materials). Revenue grew 58% YoY in Q3 2026E, exceeding analyst consensus. No specific counterparties or share counts disclosed; Walker acquisition closed August 2026 (post-Q2, excluded from results).

La Rosa Holdings Corp. (public market cap ~$7.6M) executed a Securities Purchase Agreement dated September 15, 2026, with JAK Opportunities XI LLC to issue 200 shares of Series E Convertible Preferred Stock at $1,000 per share ($200,000 total). The preferred shares are convertible into common stock at a floor price (terms in Certificate of Designations). Company must reserve 200% of maximum conversion shares and maintain Nasdaq listing. Initial closing triggered mandatory Form 8-K and press release disclosure.

My Size, Inc. (market cap ~$4.0M) entered into a Securities Purchase Agreement dated September 15, 2026, to issue and sell approximately $2.5 million aggregate of common stock, pre-funded warrants, and common stock warrants to accredited investors. Per Share Purchase Price: $1.91. Investors receive: Shares, Series C Warrants (5-year term, $1.66 exercise price), Series D Warrants (18-month term, $1.66 exercise price), and optionally Pre-Funded Warrants ($0.001 exercise price). Placement agent: H.C. Wainwright Co., LLC.