Most material SEC filings — September 18, 2026

Evolution Metals Technologies Corp. issued $22M principal amount convertible debentures (EMAT-3) to YA II PN, Ltd. (Yorkville Advisors) at 97% of subscription amount on September 17, 2026, with 4% base interest, 2-year maturity (September 17, 2028), and conversion at $5.02 fixed price or 95% of 5-day VWAP floor at $0.76. Two additional tranches ($2M upon registration statement filing, $6.9M upon effectiveness) total $30.9M. Company has 625M shares outstanding; $22M = 0.31% of company market cap (~$7.1M).

On September 15, 2026, TELA Bio received notice of failure to satisfy Nasdaq continued listing standards, triggering Item 3.01 disclosure. The filing provides no details on the specific listing rule violated, remediation timeline, or company response. This is a critical regulatory event for a $76.8M market-cap company.

On September 17, 2026, Hyperfine received notice of failure to satisfy continued listing rules or standards, triggering Item 3.01 disclosure. The filing does not specify which listing standard was breached, the timeline for cure, or any proposed remediation. This represents a critical threat to the company's public market status.

Filana Therapeutics (public market value ~$87M) filed an 8-K on 2026-09-18 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing indicates the company has failed to meet continued listing requirements and faces potential transfer of listing or delisting. No specific dollar amounts, remediation timeline, or detailed reasons are disclosed in the filing header.

Fusemachines Inc. (total assets ~$3.2M) received a notice of failure to satisfy continued listing rules on the exchange as of September 18, 2026. The filing does not disclose specific reasons, remediation plans, appeal deadlines, or grace periods in the extracted text. This represents a critical corporate event for a micro-cap company.

On September 15, 2026, Moleculin Biotech filed an 8-K reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing indicates the company has received a delisting notice from its exchange. No specific remediation timeline, financial details, or counterparty information is disclosed in the available filing header and document metadata.

InMed's shareholders' equity fell to $1,075,007 as of June 30, 2026, below Nasdaq's $2,500,000 minimum requirement, driven by merger-related transaction expenses, BayMedica wind-down costs, and operating losses. The company has 45 days to submit a compliance plan; Nasdaq may grant a 180-day extension. The pending merger with Mentari (expected Q4 2026) is projected to inject ~$490M in gross proceeds, which management expects will restore compliance and prevent delisting.

CDT Equity Inc. (market cap ~$55K) issued a $1,575,000 senior secured convertible note to J.J. Astor Co. on September 14, 2026, with original principal amount of $2,126,250 (35% original issue discount). The note is payable in 24 weekly installments of $88,593.75 (maturing March 1, 2027) and converts at a floor price of $0.05 per share. Simultaneously, the company issued a warrant to purchase 3,468,500 common shares at $0.25 per share (5-year term). This is the third financing from Astor within 3 months (prior warrants issued June 11 and August 31, 2026). ATM financing proceeds (80% net) are prioritized to repay this note before an August 31 note and an existing note.

BeyondSpring Inc. (market cap ~$69.7M) filed a Form 8-K on 2026-09-18 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 specific dollar amounts, counterparties, dates of non-compliance, or remediation details—only notification that the company has received a delisting notice and potential transfer of listing. The concrete reasons for non-compliance and any cure period or next steps are not disclosed in this cover filing.

RTB Digital (market cap ~$8.5M) entered a 10-year strategic platform agreement with Paradium.AI, Inc. (f/k/a The Arena Group Holdings, Inc.) effective September 14, 2026. RTB will issue shares worth $11.5M (calculated using 10-day VWAP around public disclosure, floor at 5-day prior NOCP) to Arena in exchange for licensing Arena's web properties and technology onto RTB's platform, revenue-sharing arrangements, and RTB assuming Arena's operational expenses. RTB must maintain $7M unrestricted cash before migration begins and cannot have going-concern warnings in audited financials.

AMC Robotics (AMCI, $58.6M market cap) entered into a Standby Equity Purchase Agreement dated Sept 17, 2026 with Ayame Asset Holdings LLC. The agreement provides up to $50M in common stock purchases: $3.88M in convertible promissory notes ($2.22M due immediately, $1.66M on second closing after registration effectiveness), plus up to $50M in future advances at company discretion. Company also issued 450,000 commitment shares to investor and paid $40K structuring fee. Registration statement required within 21 days, effective within 60 days.

Silicon Valley Acquisition Corp. (SVAQ), a SPAC with ~$220M in assets, entered into a Securities Purchase Agreement on September 17, 2026 with EOT AC LLC (controlled by Ayrton Capital LLC) to raise $44.45M via senior secured convertible notes ($22.225M initial; $22.225M additional at Business Combination closing) plus warrants. Notes bear 8% cash/10% PIK interest, mature March 17, 2027 (extendable to June 17, 2027), convert at $5.00/share, and carry a 30% prepayment premium. Ayrton receives 1M SVAQ Class B shares (Sponsor Shares), 30% participation rights in future equity issuances, and extensive protective covenants. The transaction is secured by substantially all company assets.

San Juan Basin Royalty Trust announced on September 18, 2026, that it will not declare a monthly cash distribution for September due to cumulative excess production costs of $12.6 million gross ($9.4 million net) and low natural gas prices. The excess cost balance increased $1.1 million gross ($0.8 million net) from the prior month. No distributions will resume until excess costs are repaid, a $2 million reserve is replenished, and a Texas Bank line of credit is satisfied.

On September 15, 2026, NEXTNRG, Inc. received notice of delisting or failure to satisfy continued listing standards. The filing does not specify which exchange, which listing rule was violated, or remediation timeline. Item 3.01 was triggered, indicating a material corporate development; detailed delisting causes and cure periods are not disclosed in this 8-K excerpt.

10% owner NIPPON LIFE INSURANCE CO (CRBG) bought 321K shares (~$11.2M) on the open market (0.3% of holdings). Open-market insider purchase — historically a bullish signal.

On September 17, 2026, Flux Power Holdings and subsidiary Flux Power Inc. amended their loan agreement with Gibraltar Business Capital LLC. The amendment acknowledges an existing default (unspecified) and imposes strict new covenants: borrowers must raise at least $4M in net equity proceeds within 50 days (by November 6, 2026) or face immediate default with no cure period; must provide weekly cash flow budgets and compliance reports with 80% sales and cash receipt targets and 110% spending caps; and must pay a $135K amendment fee ($45K upfront, remainder over 60 days). The lender explicitly reserves all rights to declare default, demand full repayment, seize collateral, and charge default interest rates. Failure to deliver budgets, equity raise, or any 'Material Budget Deviation' triggers immediate default.

On September 7, 2026, Greenwave Technology Solutions issued 3,750 shares of Series B Convertible Preferred Stock (stated value $1,000/share = $3.75M total) to unnamed investors via a Preferred Stock Purchase Agreement. These shares are convertible into 3,571,429 common shares and are being registered for resale. The company's auditor noted substantial doubt about going concern as of December 31, 2025.

VisionWave Holdings, Inc. (public market cap ~$24.1M) established an at-the-market (ATM) issuance agreement with Aegis Capital Corp. on September 18, 2026, authorizing the sale of up to $30.0 million in common stock at a 2.0% commission to the sales agent. The offering is registered on Form S-3 (File No. 333-297939). VisionWave's non-affiliate public float was approximately $115.9 million as of September 16, 2026 (47.5M shares outstanding, 30.0M non-affiliate shares at $3.86/share as of July 20, 2026).

Lakewood-Amedex (Nevada corp, ~$5M assets) filed Form S-1 to register resale of 4,512,400 common shares issuable upon conversion of Series C Convertible Preferred Stock by a single selling stockholder. The shares have $0.0001 par value. Counsel (Lucosky Brookman) opines shares will be duly authorized, validly issued, fully paid, and non-assessable upon conversion per the Certificate of Designation. Filing dated September 18, 2026; financial statements restated as of March 11, 2026, and include a one-for-ten reverse stock split (August 21, 2026) and prior one-for-5.92 reverse stock split (January 9, 2026).

BCB Bancorp (NASDAQ: BCBP) closed an underwritten public offering of 12,650,000 shares (including full exercise of 1,650,000 over-allotment shares) at $7.75/share for gross proceeds of $98,037,500 on September 18, 2026. Sole underwriter was Piper Sandler Co. Net proceeds will support capital adequacy, liquidity, working capital, problem loan disposition, and debt reduction for the $131.7M market-cap company.

Paradium.AI signed a 10-year strategic platform agreement with Roundtable (Nasdaq: RTB) under which Roundtable will assume substantial operating costs and receive a percentage of media brand revenues plus a perpetual technology license, in exchange for Roundtable common stock. Separately, Roundtable agreed to acquire approximately 49.5% of Paradium.AI common stock from largest shareholder Simplify Inventions at $3.80/share in a private transaction (not involving new Paradium shares or proceeds to Paradium). Both transactions are subject to closing conditions, including Roundtable's funding requirements, with closing scheduled for Q4 2026.

BlossomHill Therapeutics, a clinical-stage biotech founded by Jean Cui, raised $168.3 million gross in an August 2026 IPO (10,516,240 shares sold). Lead candidate BH-30643 (EGFR inhibitor) received FDA Fast Track designation for C797S-positive NSCLC; Phase 1/2 SOLARA trial showed 45% objective response rate and 88% disease control rate in that population. Q2 2026 net loss was $23.8M on $21.4M R&D spend; cash position post-IPO sufficient through Q2 2028.

Bill Smith, founder and executive chairman since March 2026, has been appointed president and CEO of Smith Micro Software, effective September 18, 2026. Tim Huffmyer, who joined as COO/CFO in 2025 and became CEO, has resigned to pursue other opportunities but remains on the board. Smith returns after leading the company for 44 years through March 2026 and will provide continuity as the company pursues new products and customer expansion.

Burke & Herbert Financial Services (BHRB, $777.6M market cap) closed its acquisition of LINKBANCORP, Inc. on May 1, 2026, in a 100% stock transaction valued at $329.7 million fully diluted (0.1350x per LNKB share). The merger created an ~$11.0B asset bank with expanded presence across Virginia, Maryland, Pennsylvania, West Virginia, Delaware, and Kentucky. Q2 2026 results reflect first full quarter post-close: net income $9.3M, diluted EPS $0.50 (adjusted $2.03), net interest margin 4.06% (4.15% FTE), with 34 bps accretion from purchase accounting. Adjusted efficiency ratio improved to 57.2% ex-merger costs. Tangible book value dilution was 7.5% ($49.23/share); goodwill created was $82.1M vs. $105.6M modeled. Capital ratios exceeded guidance: CET1 12.1%, Tier 1 14.4%, Total 14.4%.

Nauticus Robotics executed a Fifth Amendment to its Senior Secured Term Loan Agreement (dated September 18, 2023) extending the maturity date from September 18, 2026 to January 31, 2028—a 16-month extension. The amendment eliminates earlier alternative maturity triggers and waives any maturity-related defaults that occurred before the September 14, 2026 effective date. No extension fee, consent fee, or exit fee was paid in connection with this amendment; however, exit fees remain due upon the new maturity date or earlier repayment.

Melar Acquisition Corp. I is merging with Everli, an Italian online grocery marketplace, in a transaction valuing Everli at $313M enterprise value ($243.8M equity value after $69.2M net cash). Everli generated $77.9M GTV and $16.7M net revenue in FY2025 across 769k orders, achieving gross profit positive per order (~7% margin) with 95 retail partners covering 89%+ of Italian grocery market. Pro forma capitalization: 18M Everli rollover shares (57.5%), 5.6M Melar founder shares (18%), 3.9M public shares (12.5%), 3M PIPE shares (9.6%), plus $10M bridge financing. No specific redemption assumptions stated; $30M PIPE investment not yet committed.

KLX Energy Services announced that its $125 million backstopped rights offering expires on September 23, 2026 at 5:00 pm ET. Each subscription right entitles holders to purchase 3.885 shares at $1.49 per share. The offering is fully backstopped, meaning unexercised rights will be purchased by backstop parties (names not specified in this filing), ensuring the $125 million capital raise will be completed.

Permian Basin Royalty Trust declared a monthly cash distribution of $0.019593 per unit (total $913,228 to 46.6M units outstanding), payable October 15, 2026. Waddell Ranch properties remained in excess-cost position for August (production costs exceeded gross proceeds, no distribution from that asset). Separately, SoftVest L.P. (>15% unitholder) and affiliates propose a Business Combination with Blackbeard Holdings to merge Trust assets into new public corporation PBT Land and Minerals, Inc., pending unitholder vote via special meeting.

Cato Corporation announced 70 additional store closures in Q3–Q4 2026, bringing total planned closures to 120 stores for fiscal 2026. The company expects $1.0–$1.3 million in exit costs through end-2026, primarily for fixture disposal and system returns; no ongoing rent obligations as leases end in 2026. Management cited weak consumer discretionary spending and expects closures to improve operating results in FY2027+.

Mesa Royalty Trust announced on September 18, 2026, that there will be no distribution paid to unitholders for September 2026 because costs, charges, and expenses exceeded royalty revenue from oil, natural gas, and other hydrocarbons. The Trust holds overriding royalty interests in the Hugoton field (Kansas) and San Juan Basin (New Mexico/Colorado). The Trust is also building cash reserves to $2.0 million, which will materially reduce distributions until that target is reached.

Blaize Holdings-related entities BurTech LP (borrower) and BurKhan LLC (guarantor) executed a third forbearance agreement with BESS Ventures dated September 16, 2026, covering $13M and $12M loans. The agreement extends forbearance on multiple payment defaults and covenant breaches through December 31, 2026, reduces interest rates to 8% per annum, caps lender's counsel fees at 50%, and requires transfer of 'Advisory Shares' to lender with credit against principal based on stock price. All defaults remain unwaived; lender retains full enforcement rights upon forbearance termination.

Anthony Brian Goodman sold 245,445 shares of common stock between July 20 and September 17, 2026, at prices ranging from $13.03 to $14.50 per share, totaling approximately $3.39M. Luxor Capital LLC also sold 2,529 shares on July 27, 2026 at $13.71/share. These sales represent ~9.2% of Meridian's estimated market capitalization ($36.1M), signaling substantial insider liquidation.

Karyopharm Therapeutics designated and created 20,000 authorized shares of 0% Series A Convertible Perpetual Preferred Stock on September 17, 2026. The preferred stock has a $1,000 initial liquidation preference per share, converts to common stock at $1.62/share (226 shares initially), ranks senior to common stock on liquidation, and grants holders repurchase rights upon fundamental change or on/after September 17, 2029 (put trigger date). The filing is a certificate of designations establishing the terms; it does not specify the number of shares actually issued or the identity of investors.

CapsoVision issued 3,163,444 shares of common stock at $5.69 per share (95% of recent trading prices) on September 17, 2026, pursuant to a registered offering. Total gross proceeds: approximately $18.0M. The shares were sold to undisclosed purchasers under a Securities Purchase Agreement and registered on Form S-3 (File 333-298315, effective August 21, 2026). No counterparty names or specific allocations disclosed in this filing.

ChampionsGate Acquisition Corp (SPAC, $78.3M assets) signed a definitive merger agreement dated August 2026 with Futuremain Co., Ltd., a Korean machinery diagnostics company. The deal values the transaction at $80,000,000 payable in Pubco Shares at $10/share deemed value. The structure involves two mergers: Merger Sub I merges with Holdco (Futuremain parent), and Merger Sub II merges with ChampionsGate, resulting in a combined public company. Closing is subject to regulatory approvals, Purchaser shareholder vote, HSR clearance, and standard conditions.

Fold Holdings filed Form S-1 on September 18, 2026 to register up to 51,229,508 shares of common stock for resale under a Common Stock Purchase Agreement dated September 4, 2026 with Roth Principal Investments, LLC. The shares may be issued at the Company's sole discretion at prices not below a Board-determined minimum. The filing includes standard legal opinions, consent of auditors (CBIZ CPAs and Marcum LLP), and a new insider trading policy effective September 14, 2026.

SmartKem (SMTK) filed Form S-1 on September 18, 2026, registering up to 30,000,000 shares of common stock for resale by Keystone Capital Partners, LLC under a Purchase Agreement dated March 30, 2026. SmartKem may sell up to $500 million in aggregate gross proceeds to Keystone at market prices (subject to stockholder approval obtained June 23, 2026 and a 4.99% ownership cap). The company also completed a 1-for-50 reverse stock split (August 20, 2026), issued $13.1M in gross proceeds from Series A Preferred Stock closings (March–July 2026), received $3.75M in senior secured notes (March 2026), and entered a Business Combination Agreement to acquire Ferrox Critical Minerals for ~$125M in all-stock consideration (August 3, 2026, pending stockholder/shareholder approval and other closing conditions).

Paradium.AI (f/k/a The Arena Group Holdings) entered into a strategic platform agreement with RTB Digital, Inc. (Roundtable) effective September 14, 2026. RTB will host Paradium's web properties on its platform and provide publishing, advertising, and payments services at RTB's expense in exchange for revenue sharing. RTB will issue Paradium $11.5M in RTB common stock (calculated via 10-day VWAP with a floor at NOCP) within 2 weeks, and Paradium must transfer its technology to RTB within 90 days. The initial term is 10 years with automatic 12-month renewals unless either party provides 60 days' notice. RTB must maintain at least $7M unrestricted cash before migration commences.

On Sept 15, 2026, Westport (total assets ~$94M) entered a Committed Equity Facility with Roth Principal Investments for up to $25,000,000 in gross proceeds via share sales over 36 months. Roth may resell 12,690,355 registered shares (66.8% of current outstanding shares). Company pays Roth up to $500K commitment fee (2% of commitment), $100K legal fee upfront, and $10K/quarter ongoing. Sales are at company discretion at market prices less 3–5% discount. Without shareholder approval, issuance capped at 3,797,247 shares (19.99% Exchange Cap); company must seek approval to exceed that. Filing reveals going-concern doubt in unaudited June 30, 2026 financials.

BioStem Technologies filed Form S-1 on September 18, 2026, registering 12,050,000 common shares ($0.001 par) for resale by a selling stockholder under a purchase agreement dated the same day. The filing references an acquisition of BioTissue Surgical and Wound Care product lines, with Grant Thornton providing audit consent for those acquired assets as of June 30, 2026. KPMG audited BioStem's consolidated statements as of April 16, 2026.

Credit Acceptance entered consent judgments with 41 state attorneys general (led by Maryland, NY, and others) on September 17, 2026, settling a multistate investigation begun in 2020. The company will pay $15.5M to state AGs and $60M into a consumer relief fund; provide debt waivers estimated at $388M for Early Defaulted Accounts and $246M for Other Identified Early Defaulted Accounts (originating Nov 2015–Nov 2025); and implement enhanced controls on vehicle pricing, ancillary products, dealer oversight, and affordability disclosures for subprime borrowers. No admission of liability. The company states the settlement was already accrued and does not fundamentally alter its business model.

Four funds affiliated with Strategic Value Partners (managed by Lewis Schwartz; Victor Khosla listed as individual signatory) purchased preferred stock in New Fortress Energy across three tranches on 09/14, 09/16, and 09/18/2026. Total: approximately 79,000 preferred shares at prices ranging from $490–$505 per share, representing aggregate investment of ~$39.6M. Schedule 13D filing indicates these entities now hold ≥5% of voting securities.

Ready Capital's subsidiary priced $225M of 10.00% Senior Secured Notes due 2031 at 99.5% of principal (closing Sept 28, 2026), with net proceeds plus cash used to redeem the entire $350M outstanding 4.50% Senior Secured Notes due 2026 at 100% plus accrued interest. The transaction reduces corporate secured debt by $125M net, completes the company's balance sheet repositioning program announced Q4 2025 (involving ~$2.3B cash generated, $1.7B asset-level financing repaid, $549M corporate debt retired), and leaves only $100M 2026 corporate debt maturity due November 2026.

President & CEO Lyons Michael P. (TFC) bought 21K shares (~$1.0M) on the open market (50% of holdings). Open-market insider purchase — historically a bullish signal.

Halozyme priced $1.3B aggregate principal of 1.50% convertible senior notes due 2033 (upsized from $1.05B announced), with a 13-day overallotment option for up to $200M additional. Conversion price is $139.84/share (27.5% premium to $109.68 closing price on 9/17/26). Net proceeds ~$1.275B ($1.471B if overallotment exercised) will be used to fund $162.5M capped call transactions, repurchase $651.7M principal of existing 2027/2028 convertible notes (~$652.5M total cost), and general corporate purposes including potential acquisitions.

Director Stinnett David (KRMN) bought 27K shares (~$1.0M) on the open market (0.8% of holdings). Open-market insider purchase — historically a bullish signal.

On September 15, 2026, Faraday Future amended a $10M Senior Convertible Note (original principal) issued May 15, 2026 by an undisclosed investor. The investor had converted $671,010, leaving $9.33M outstanding. FF amended the note to: (1) permit prepayment from a restricted cash reserve account held at East West Bank, and (2) establish a fixed repayment schedule. Concurrently, FF released $5M from the restricted account to the investor as prepayment. The remaining ~$5.88M (including accrued interest and make-whole premium) is due in full within 6 months in cash. Interest accrual ceases as of the effective date. The counterparty's identity is redacted. FF estimates this reduces dilution by ~25.16% (based on $5.00/share conversion floor).

Beazer Homes USA amended two senior note indentures (8.0% due 2032 and 7.5% due 2031) effective September 18, 2026, with majority bondholder consent, to exclude the pending merger with Dream Finders Homes Inc. (announced August 6, 2026) from triggering a Change of Control event. The amendments eliminate mandatory debt repurchase obligations that would otherwise be required upon a change of control, conditional on payment of a consent fee to noteholders and satisfaction of merger closing conditions.

Paul (surname not provided) resigned immediately from Glucotrack's board of directors, citing a potential conflict of interest arising from ongoing discussions regarding duties, rights, and obligations under a merger agreement between parent and subsidiary entities. No financial details, timeline, or replacement announcement provided.

10% owner Shen Ching Hang (CV) bought 879K shares (~$5.0M) on the open market (23% of holdings). Open-market insider purchase — historically a bullish signal.