Most material SEC filings — September 17, 2026

Aethlon Medical (Parent, ~$5.7M market cap) agreed to merge with North Immunology (Company) in an all-stock transaction dated September 17, 2026. Company valued at $150M equity value plus proceeds from pre-closing financing. Exchange ratio determined by formula: Company Merger Shares / Company Outstanding Shares, where valuations and Parent Net Cash are calculated and subject to dispute resolution. Surviving entity becomes North Immunology, Inc.; Parent shareholders receive contingent value rights (CVRs) tied to future milestones.

As of September 16, 2026, Eightco Holdings (market cap ~$3.8M) reported total holdings of approximately $380M, comprising $90M OpenAI equity (indirect), $18M Beast Industries equity, 301.97M WLD tokens (8.4% of circulating supply), 16,278 ETH, and $120M cash/stablecoins. During Q3, the company repurchased over 26 million shares under its $125M share repurchase authorization program. No specific dates or counterparty identities for the repurchases were disclosed.

Lisata Therapeutics (public market cap ~$23.6M) agreed to merge with private biotech Marea Therapeutics in a two-step merger dated September 17, 2026. Marea stockholders receive 1,793,129 shares of Lisata common stock (capped at 19.9% of Lisata's outstanding shares pre-closing) plus up to 211,365 shares of Lisata Series C Preferred Stock (each convertible into 1,000 common shares, subject to stockholder vote). The transaction also includes a concurrent PIPE investment. No dollar purchase price stated; consideration structured entirely in Lisata equity.

On July 1, 2026, Nomad Transportable Power Systems closed a reverse-merger transaction with Lixte Biotechnology Holdings (Lixte), receiving $16.5M in total cash consideration ($6.5M advanced in June 2026, $9M at close). Nomad is the accounting acquirer; Lixte the legal acquirer. Post-close, Nomad repaid ~$1.028B in outstanding debt (Half Brothers, Northern Horizon, mezzanine, and receivables-based loans). As of June 30, 2026 (pre-close), Nomad had $170k cash, a $158.8M stockholders deficit, and had incurred a net loss of $153.6M in H1 2026.

Fortitude Mining Holdings announced Jaime Leverton (former Hut 8 CEO) as Chief Executive Officer effective September 21, 2026, with Andrea Childs transitioning to COO. Upon completion of Fortitude's proposed business combination with HeartSciences Inc. (announced June 23, 2026, expected to close Q4 2026), the combined company will operate under the Fortitude brand and trade on Nasdaq Capital Market under ticker TUDE. Fortitude mined 72,696 ZEC in H1 2026 (28% of network production) with $20.9M Q2 revenue and 60+ megawatts owned/operated power capacity.

Fifth Era Acquisition Corp I (SPAC, ~$235.7M market cap) received a Notice of Delisting or Failure to Satisfy Continued Listing Rule or Standard from its exchange, with a transfer of listing mentioned. The filing does not specify which exchange rule was violated, the timeline for cure, or whether the delisting has occurred. This is the core disclosure of the 8-K filed September 17, 2026, with report date September 14, 2026.

GeoVax Labs filed Form S-1 on September 17, 2026 to register resale of 11,395,256 common shares issuable upon exercise of a warrant issued to an institutional investor on August 25, 2026. The filing is a legal registration statement with counsel opinion (Womble Bond Dickinson) confirming the shares will be duly authorized and validly issued upon warrant exercise. Auditor Wipfli LLP's April 2026 opinion included a going-concern explanatory paragraph.

Director RA CAPITAL MANAGEMENT, L.P. (TYRA) bought 9.1M shares (~$200.0M) on the open market (44% of holdings). Open-market insider purchase — historically a bullish signal.

Hub Group received a Nasdaq Staff Delisting Determination on September 16, 2026, for failure to file its 2025 Form 10-K and 2026 Q1 and Q2 Form 10-Qs. The company has appealed and will request a hearing before the Nasdaq Hearings Panel (due by September 23, 2026), which automatically stays delisting for 15 days. Trading is expected to continue during the hearing process, with management planning to present a compliance remediation plan.

On September 16, 2026, a consortium led by co-founders Dr. Gang Yu and Mr. Junling Liu, plus sponsor Huadeng Tech BioArray Ventures Ltd, proposed acquiring all Class A shares of 111, Inc. not owned by them at $0.226 per share ($4.52 per ADS)—a 29.5% premium to the prior trading close and 20% above the 60-day average. The co-founders currently own ~41.6% of capitalization and 91.3% of voting power; Huadeng will contribute ~$20.7M cash while co-founders roll over ~$16.6M in existing shares. The transaction requires special committee approval, has no financing condition, and is governed by a binding consortium agreement dated September 16, 2026.

Bank7 Corp. (Buyer, ~$175M market cap) agreed to merge with Century Financial Services Corporation (Century) in a stock-and-cash transaction dated September 16, 2026. Century shareholders will receive per-share cash consideration (Per Share Cash Consideration, amount unspecified in text) plus Buyer Common Stock (Per Share Stock Consideration, amount unspecified). The transaction is structured as a back-stop to a receivership share purchase agreement: approximately 71% of Century's ~332,683 outstanding shares are held by the Peters Family Group and subject to receivership in U.S. District Court (Case No. CV-25-02576-PHX-ROS). Buyer reserved rights under the prior Receivership Share Purchase Agreement (dated July 1, 2026, amended September 3, 2026) with receiver Morris C. Aaron and/or Keith Bierman.

Axe Compute Inc. sold 100% of its subsidiary Helomics Corporation to DataMeds AI, Inc. (NASDAQ: MEDS) on September 11, 2026 in an all-stock transaction. Axe Compute received 636,328 shares of DataMeds common stock (19.99% of DataMeds' then-outstanding shares) plus a $1.363672M convertible note (convertible at $1.00/share). The sale divests Axe's legacy AI cancer diagnostics lab business, allowing strategic focus on GPU-as-a-service.

Loop Industries' Board established a Strategic Alternatives Committee (no specific members named) led by newly appointed Chairman Jeff Geygan, separating the Chairman and CEO roles previously held together. The Committee's immediate priority is securing capital for Loop's India joint venture through debt, equity, or strategic partnerships; concurrently, it will evaluate strategic alternatives including licensing, joint ventures, business combinations, potential sale, merger, or going-private transaction. No specific dollar amounts, timeline, or decision has been made; the company states no assurance any transaction will result.

Azio AI amended its Series A Non-Voting Convertible Preferred Stock certificate (973,450 shares outstanding) to remove third-party tender offers from the definition of 'Fundamental Transaction' that would trigger conversion rights. The amendment, adopted by the Board on 15 September 2026, narrows the circumstances under which preferred stockholders can convert and receive alternate consideration in a change-of-control event, now excluding scenarios where external parties launch tender offers for >50% of common stock.

Rexford Industrial Realty agreed to sell a portfolio of 28 industrial properties across California to Exeter 10545 Production, LLC (an EQT affiliate) for $1,179,150,000. The agreement, dated August 13, 2026, requires an earnest money deposit of $30 million (later increased by $6 million extension deposit) with closing targeted for September 11, 2026. The sale includes a $25 million capital improvements credit to the buyer and allocates the purchase price across properties as specified in schedules.

Interparfums and Marquee Brands extended their exclusive worldwide fragrance license agreement for Roberto Cavalli and Just Cavalli through December 31, 2046 (20-year extension from original term). The partnership, which began in 2023, has driven Roberto Cavalli to become one of Interparfums' fastest-growing brands; the 2025 launch of Serpentine exceeded expectations. No financial terms disclosed in the filing.

Director RAKOLTA JOHN JR (ADC) bought 20K shares (~$1.4M) on the open market (3.0% of holdings). Open-market insider purchase — historically a bullish signal.

Atlanticus completed the sale of its entire CAR Auto Finance segment to an unaffiliated third party on September 17, 2026, for total consideration of approximately $71.2 million ($56.2 million cash and $15.0 million seller note). The transaction eliminated the company's entire Auto Finance segment and resulted in 154 employees transitioning to the buyer. Proceeds will be used to reduce debt and invest in higher-growth consumer credit product lines.

Hallador closed a $600M senior secured term loan facility on September 15, 2026, from Kennedy Lewis Investment Management LLC, plus up to $75M revolving credit capacity, totaling $675M available for the Turtle Creek 460-MW natural gas project (estimated <$800M cost). The company will use ~$120M of proceeds to repay existing $45M term loan and $75M revolver, with remainder funding turbine purchases, transportation, refurbishment, and construction. Combined with $2.4B in contracted forward sales as of June 30, 2026, management believes this covers the majority of capital needs with credible pathway to full funding with little-to-no equity dilution.

MIRA Pharmaceuticals announced that its Ketamir-2 Phase 2a protocol for chemotherapy-induced peripheral neuropathy (CIPN) was submitted for IRB review at a leading cancer research institution following FDA feedback. The randomized, double-blind, placebo-controlled crossover study will enroll adults with moderate-to-severe persistent CIPN receiving Ketamir-2 at 300 mg and 600 mg doses plus placebo across three 7-day periods with 13-day washouts. Site initiation is targeted for Q1 2027, subject to IRB approval and routine activation requirements; this represents the first clinical evaluation of Ketamir-2 in CIPN patients, advancing from completed Phase 1 healthy volunteer work that showed favorable safety and no serious adverse events.

Director Troim Tor Olav (BORR) bought 1.0M shares (~$4.3M) on the open market (3.2% of holdings). Open-market insider purchase — historically a bullish signal.

On September 14, 2026, Surgery Partners completed the sale of its ownership interests in Mountain View Hospital, LLC and Idaho Falls Community Hospital, LLC to Intermountain Health for approximately $797 million in gross proceeds ($587 million net cash at closing), subject to customary post-closing adjustments. The transaction removes ~$722.6 million in annual revenues (21.8% of 2025 total) and ~$596.7 million in goodwill/intangibles. Post-transaction, the company narrows focus to pure-play short-stay surgical services, eliminating neonatology, obstetrics, inpatient pediatrics, and reducing Medicaid exposure from ~4% to under 2% of revenue; full-year 2026 guidance updated to $3.08–$3.18 billion revenue and ≥$489 million Adjusted EBITDA.

Insider Pappas Alexandros (SBLK) bought 74K shares (~$2.1M) on the open market (2.9% of holdings). Open-market insider purchase — historically a bullish signal.

Director Pappa Milena Maria (SBLK) bought 74K shares (~$2.1M) on the open market (2.3% of holdings). Open-market insider purchase — historically a bullish signal.

Director Zagari Raffaele (SBLK) bought 60K shares (~$1.7M) on the open market (3.0% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner HRT FINANCIAL LP (USO) bought 44K shares (~$6.8M) on the open market (25% of holdings). Open-market insider purchase — historically a bullish signal.

Effective September 14, 2026, Dr. Philipp Stratmann stepped down as President, CEO, and Board member by mutual agreement. Tracy Pagliara, former 6-year public-company CEO and current SVP/General Counsel, became Acting CEO and Board member. Jason Weed, SVP Commercial Sales, became COO with responsibility for sales, operations, and technology. The stated goal is to accelerate backlog conversion and commercial execution.

10% owner Avenue RP Opportunities Fund, L.P. (XBP) bought 528K shares (~$1.5M) on the open market (46% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner NIPPON LIFE INSURANCE CO (CRBG) bought 211K shares (~$7.4M) on the open market (0.2% of holdings). Open-market insider purchase — historically a bullish signal.

Aquestive Therapeutics resubmitted its New Drug Application for Anaphylm (dibutepinephrine) sublingual film to the FDA on September 17, 2026, addressing a Complete Response Letter issued January 30, 2026. The resubmission is supported by human factors and pharmacokinetic studies showing median pouch-opening time reduced from 17 seconds to 3 seconds, zero protocol-defined use errors in self-administration, and pharmacodynamic responses comparable to or greater than auto-injectors. No counterparties, dollar amounts, percentages, or share counts are disclosed in the filing.

Indivior's Board declared a special cash dividend of $8.13 per share payable to shareholders of record on October 30, 2026, contingent upon closing of the previously announced merger with Supernus Pharmaceuticals (expected ~November 2, 2026). Payment is anticipated November 6, 2026 if merger closes. Supernus shareholders will not receive the special dividend on Indivior stock obtained as merger consideration.

Dominari Holdings Inc. announced on September 17, 2026, a share repurchase program authorizing up to $5,000,000 in common stock buybacks. Repurchases may occur through open-market transactions or Rule 10b5-1/10b-18 compliant methods, with timing and pricing subject to market conditions and blackout period restrictions. No specific share count, price range, or completion timeline was disclosed.

Effective October 5, 2026, Ethena Foundation and Ethena OpCo Ltd. waived all lock-up and vesting restrictions on ENA tokens held by StablecoinX Inc. and StablecoinX Assets Inc., removing a 48-month contractual lock-up and installment unlock schedule from token purchase agreements dated July 21, 2025 and September 5, 2025. However, the Foundation retains prior written consent rights over any ENA sales under the Collaboration Agreement; StablecoinX may only sell ENA to fund 'Working Capital and Strategic Requirements' (strategic investments, share buybacks, working capital, or product development) through a five-business-day notice-and-review process where the Foundation can elect to acquire tokens at the offered price or block sales it deems disruptive or non-value-accretive.

Michael J. Kasbar, co-founder and Executive Chairman of World Kinect (World Fuel), will step down effective December 31, 2026. Independent director Ken Bakshi, a Board member since 2002 with 20+ years of service, has been appointed Chairman. CEO Ira Birns remains in place. The change moves from a founder-led executive chair to an independent governance structure.

Colony Bankcorp finalized a 2-year employment agreement with R. Dallis Copeland (President of both Colony Bank and parent company) at $400,000 base salary, effective September 13, 2026, with severance of 1–2× base salary plus bonus depending on termination timing and Change in Control. Concurrently, Colony and First Reliance Bancshares (OTCQX: FSRL) announced receipt of all regulatory approvals for their merger, announced June 24, 2026, valued at ~$163M in stock and cash; shareholders of both firms will vote October 14, 2026, targeting Q4 close; pro-forma combined entity will have ~$5B assets, $4B deposits, $3.2B loans.

PetMed Express appointed Jeff Willard as CEO and President effective September 28, 2026, replacing interim CEO Leslie C.G. Campbell who is retiring from the Board. Willard receives a $550,000 base salary, $120,000 signing bonus, 75% target annual bonus (up to 150% max), initial equity grant of 250,000 restricted shares plus up to 250,000 performance stock units, and $750,000 annual long-term incentive target. Severance varies: 12 months base salary outside change-of-control window, 24 months within 12 months post-acquisition, plus benefits. Board Chair Justin Mennen succeeds Campbell effective same date.

Fennec announced positive Phase 2 STS-J01 trial results from Japan (33 patients, 11 institutions) showing PEDMARK reduced cisplatin-induced hearing loss to 24.0% vs a prespecified 56.4% historical benchmark (p=0.001), with 84% achieving Grade 0 hearing loss and no Grade 3/4 cases. Tumor response was 95.8% (23/24 evaluable patients). The company is pursuing Japanese registration and exploring partnering/licensing opportunities for PEDMARK globally.

Centrus Energy and Antares Nuclear signed a definitive multi-year contract for HALEU supply with deliveries commencing before end of decade. The agreement includes prepayments from Antares to support Centrus's HALEU capacity expansion. Antares, a microreactor developer for defense and space applications founded in 2023 with $600M+ funding, will use the fuel for U.S. national security missions.