Most material SEC filings — October 9, 2026

GigCapital8 Corp. (a $260.7M SPAC) signed a definitive merger agreement with Quantisimo Corp., a quantum technology platform formed by WISeQey (Nasdaq: WQEY) and SEALSQ (Nasdaq: LAES). Upon closing, WISeQey and SEALSQ will receive 66,610,000 shares of the new public company (PubCo, ticker QSMO), implying a $666.1M valuation for Quantisimo at $10/share. The transaction requires minimum $15M cash (from GigCapital8 trust and SEALSQ contribution), with expected Q1 2027 closing. WISeQey/SEALSQ will hold majority voting control post-close; GigCapital8 sponsor has agreed to vote for the deal and not redeem shares.

On October 5, 2026, Alaunos Therapeutics received notice from its exchange regarding failure to satisfy continued listing standards, triggering Item 3.01 disclosure requirements. The filing provides no details on remediation timeline, specific non-compliance reasons, or appeal plans. This represents a critical regulatory threat to the company's public market status.

T Stamp Inc. (market cap ~$5.2M) entered an Equity Distribution Agreement with Maxim Group LLC on October 9, 2026, to sell up to $5,323,474 of common stock at-the-market via Nasdaq. The agent receives a 3% commission on gross proceeds. This at-the-market offering is registered under Form S-3 (File No. 333-295319, effective April 30, 2026) and provides the company flexible capital-raising capability over three years, with no minimum pricing or volume commitments required per transaction.

DataMeds AI (market cap ~$27.1M, 4.5M shares outstanding as of Sept 28, 2026) filed an S-1/A to register 34,462,057 shares for resale by stockholders. These consist of: (1) 1.3M previously issued shares; (2) 21.3M shares from conversion of $21.1M in convertible notes (May 2026) at assumed $1/share; (3) 8.3M shares from warrant exercise at $7.50/share; (4) 3.6M shares from placement agent warrants. At a $1 conversion price, existing shareholders would own only 8.8% post-conversion. Company also acquired Helomics (Sept 11, 2026) for 636,328 shares + $1.36M convertible note at $1/share conversion price.

Vivakor, Inc. (market cap ~$21.6M) announced a non-binding Letter of Intent to acquire 100% of Direct Midstream, LLC for a gross purchase price of $40M (valued at 4x targeted 2027 free cash flow of $10M). Vivakor would invest $10M capital (reducing net consideration to ~$30M), with payment in ~$29M Series B Preferred Stock and ~$1M common stock; final price adjusts based on 2027 actual free cash flow (range $30M–$50M). Transaction is contingent on due diligence, definitive agreement, board fairness opinion, and other closing conditions; no certainty of completion.

Streamex Corp. received a Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard on October 7, 2026. The filing provides no specific details regarding which listing standard was breached, remediation timeline, or financial impact. This is a critical regulatory event for a $190M public company.

Sunshine Biopharma (NASDAQ: SBFM, market cap ~$7.1M) closed a best-efforts public offering on October 9, 2026, raising $6.0 million gross from sale of 10,909,082 common units at $0.55 per unit. Each unit includes one common share (or pre-funded warrant exercisable at $0.00001) plus two Series D warrants (exercise price $0.66, 5-year term). Total potential proceeds including warrant exercise: ~$20.4 million. Aegis Capital Corp. is exclusive placement agent (7% commission plus 1% expense allowance). Registration statement (Form S-1, File 333-299274) became effective October 7, 2026. Closing expected October 9, 2026. Net proceeds for general corporate purposes and working capital.

Director Yin Chung-Yao (GGR) bought 14.2M shares (~$35.1M) on the open market (78% of holdings). Open-market insider purchase — historically a bullish signal.

On October 9, 2026, Pilgrim's Pride Corporation announced formation of a special committee of independent directors to evaluate JBS N.V.'s unsolicited proposal (received August 18, 2026) to acquire all PPC shares not currently owned by JBS. The special committee retained Ropes Gray LLP as legal counsel and Moelis Company LLC as financial advisor. Any transaction requires special committee recommendation, majority shareholder vote (excluding JBS), and board approval; no definitive agreement has been reached.

IT Tech Packaging (NYSE American: ITP), a ~$2.2M market-cap Chinese paper manufacturer, announced on October 9, 2026 that NYSE Regulation accepted its extension request, granting a plan period through April 15, 2027 to file overdue SEC reports (2025 Form 10-K and Q1/Q2 2026 Form 10-Qs). The company remains listed but under late-filer (.LF) indicator; failure to complete filings by the deadline triggers delisting proceedings.

Director Alvarez Rubens Aguiar (BBD) bought 1.8M shares (~$32.0M) on the open market (33% of holdings). Open-market insider purchase — historically a bullish signal.

Quanome's subsidiary XDT Infrastructure I, LLC signed a Master Services Agreement with an unnamed enterprise customer for dedicated AI inference services over 60 months with total commitment value exceeding $100 million, conditional on service-start conditions met within ~2 months. Separately, Quanome purchased 32 GPU server units for ~$18.8 million to support delivery. This is XDT's first customer agreement and marks transition from infrastructure planning to recurring managed-services revenue.

10% owner NIPPON LIFE INSURANCE CO (CRBG) bought 607K shares (~$20.9M) on the open market (0.5% of holdings). Open-market insider purchase — historically a bullish signal.

Better Home & Finance Holding Co filed an 8-K on October 9, 2026 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing does not disclose the specific listing rule violated, the exchange involved, cure period, or remediation plan—only that a delisting notice has been issued. For a $169M market-cap company, delisting would be material to market access and valuation.

Quantum Cyber N.V. (Netherlands-incorporated, $5.7M market cap) entered into a sales agreement dated October 9, 2026 with Titan Partners Securities LLC to conduct an at-the-market (ATM) offering of ordinary shares under an S-3 registration statement (File No. 333-296480, effective June 15, 2026). The offering covers up to $100,000,000 in aggregate proceeds. Titan Partners acts as sales agent on a non-commitment basis, earning 3.0% commission on shares sold. Shares will be sold at prevailing market prices via the Nasdaq Capital Market. No minimum price, maximum share count, or timeline is specified; the company and agent may suspend sales at any time with notice.

Gran Tierra Energy stockholders voted on October 9, 2026 to approve the sale of Colombian and Ecuadorian operations to Maurel Prom for approximately US$1.33 billion total consideration (including debt assumption). Gran Tierra expects to receive ~US$315 million net cash proceeds ($250M at closing, $65M after 364 days). The company will become debt-free post-closing and plans Canadian and Azerbaijan portfolio focus with potential capital return to shareholders via buyback; regulatory approvals in Colombia and Ecuador remain required for December 31, 2026 target close.

Japan's Financial Services Agency issued business suspension orders to Prudential of Japan (POJ) and partial suspension to Gibraltar Life, extending prohibitions on new business solicitation through January 31, 2027. Both entities also received business improvement orders requiring submission of remediation plans by end of November 2026. The suspensions follow a Special Investigation Committee's findings of misconduct and governance failures; both subsidiaries remain financially sound and able to meet obligations.

Quince Therapeutics changed its name to IRulya Therapeutics effective October 9, 2026, and begins trading on Nasdaq under ticker 'IRLA' on October 12, 2026. The company completed a May 2026 merger with Orphai Therapeutics and concurrent private placement raising ~$115 million gross proceeds. Leadership restructured: Brigette Roberts (CEO, ex-Orphai CEO), John Militello (CFO, $440k base + 1.6M RSUs vesting over 4 years), Keith Fandrick (COO, $450k base). Board expanded with five new directors. Cash balance of $116 million as of June 30, 2026 expected to fund operations through end of 2028. Core asset is LAM-001 (inhaled rapamycin) in Phase 2 trials for three pulmonary indications. Prior CEO Dirk Thye and COO Brendan Hannah resigned.

Evolution Metals raised FY2026 revenue guidance from $5-8M to $10-11M (62% midpoint increase) on Oct 9, 2026, citing expanded ex-China rare earth feedstock position and strong customer demand. Thirteen ULVAC magnet production machines scheduled for Oct 2026 delivery in Pohang will expand annual capacity to >10,000 metric tons. FY2027 guidance of $400-460M was reaffirmed; no specific dollar amounts changed for that year.

On January 1, 2026, Baldwin Insurance Group Inc. completed acquisition of Cobbs Allen Capital Holdings LLC for $438M cash (subject to adjustments), $70M deferred payment (due year 4), and 23.2M Baldwin Class A shares (~$495M at stated valuation), plus contingent consideration up to $250M on revenue metrics. Cobbs Allen had 2025 revenues of $299.2M but net losses of $478.6M; the filing shows pro forma combined 2025 revenues of $1.85B with pro forma net loss of $224.6M after integration adjustments.

On October 6, 2026, Accendra Health received notice from NYSE that its Class A Common Stock failed to meet the continued listing standard—average closing price fell below $1.00 per share over a consecutive 30 trading-day period. The company has six months to cure the deficiency and is considering alternatives including a potential reverse stock split (subject to stockholder approval by May 2027 annual meeting). Stock will remain listed during the cure period if other NYSE standards are met.

On October 9, 2026, INNOVATE Corp. amended its 9.5% Convertible Senior Secured Notes (due 2027) via Fourth Supplemental Indenture with consent of all holders. The amendment relates to a Transaction Agreement dated August 7, 2026 whereby IES Holdings, Inc. acquires assets from INNOVATE ("DBMG Sale"). Key change: the DBMG Sale is explicitly excluded from triggering a "Fundamental Change" (thus no noteholder repurchase rights are triggered). Critically, a new mandatory redemption provision requires INNOVATE to redeem ALL outstanding Notes at 100% of principal plus accrued interest within 15 business days after termination of a 60-day lock-up period on the sale proceeds (or earlier if a registration statement is declared effective). The filing does not disclose the principal amount of Notes outstanding, sale price, or proceeds expected. Company will reimburse noteholder counsel (Gibson, Dunn & Crutcher LLP) for documented fees and expenses; trustee is U.S. Bank Trust Company, N.A.

Universal Safety Products, Inc. issued a $1,060,000 convertible promissory note to SJC Lending, LLC, dated October 9, 2026, maturing in 2027. The note carries 8% interest (20% default rate), converts to common stock at a floor price of $1.00/share or 20% discount to VWAP (max $10.00), with accrued interest also convertible. This is the third tranche under an amended securities purchase agreement; prior tranches totaled $1,590,000, bringing cumulative investment to $2,650,000 against a $2,500,000 maximum investment cap.

Cosmos Health reported preliminary nine-month 2026 revenue of $54.3M (up 19% or $8.7M from $45.6M in 9M 2025), with Q3 2026 at $17.4M (up 2% from $17.1M in Q3 2025, up 40% YoY). The company reaffirmed full-year 2026 revenue outlook exceeding $90M (38% growth vs. 2025's $65.3M). Growth spans all segments: Cana Laboratories contract manufacturing reached 32.7M unit pipeline; CosmoFarm pharmaceutical distribution serves 1,500+ pharmacies; proprietary brands (Sky Premium Life, C-Sept, C-Scrub) expanded globally with accelerating U.S. momentum.

BIO-key International filed Form S-1 on October 9, 2026, to register 1,236,668 common shares issuable upon exercise of warrants issued August 11, 2026, to an unnamed selling stockholder. The auditor's consent references substantial going-concern doubt in the company's June 2026 financials. No pricing, financing amount, or dilution percentage is disclosed in this legal opinion exhibit.

Crescent Energy priced an underwritten public offering of 80 million shares of Class A common stock at $12.50 per share (total ~$1.0B), with underwriters granted a 30-day option to purchase up to 12 million additional shares. KKR-affiliated Independence Energy Aggregator L.P. committed to purchase 40 million shares (~$500M) at the public offering price. Net proceeds will fund a portion of the pending Devon Energy Eagle Ford Basin asset acquisition (expected Q4 2026 or early 2027); if that deal fails, proceeds go to general corporate purposes and debt repayment. Lead underwriters: J.P. Morgan, KKR Capital Markets, Raymond James. Expected closing: October 13, 2026.

For Q2 2026 (ended June 30), SolarMax reported revenue of $10.2M (up 49% YoY from $6.9M) and gross profit of $2.4M (up 299% YoY from $605K). However, operating expenses totaled $6.9M, including a one-time $4.3M legal judgment related to the China segment, resulting in a net loss of $4.7M ($0.98/share) versus $1.9M loss ($0.50/share) in Q2 2025. The judgment is material: at $4.3M it represents 8.5% of the company's $50.4M market cap.

GT Biopharma filed Form S-1 to register 13.5M common shares issuable from: (i) 8,611 Series M Preferred shares ($8.6M stated value, $7.75M Sept 2026 private placement) convertible at $6.10; (ii) Series M warrants (1.4M shares at $6.10, plus 5.7M vesting); (iii) 341 Series L Preferred shares ($6.6M stated value, $5.95M May 2025 placement) convertible at $11.35; (iv) Series L warrants (233K common, 2M vesting at $11.35); plus dividend shares. Company receives $0 from resales but may receive proceeds if investors exercise warrants or greenshoe options. Critical: company has substantial going-concern doubt, only $8.6M market cap, 2.1M common shares outstanding pre-offering, Nasdaq previously delisted then regained compliance Sept 2026.

H.B. Fuller priced $850M of 7.625% senior unsecured notes due 2034 at par (100% of principal), closing expected ~October 21, 2026. Proceeds will fund the acquisition of Advanced Medical Solutions Group plc, repay existing borrowings under its credit agreement, and redeem/repay $4.0% notes due February 15, 2027. Contingent redemption obligation: if AMS acquisition fails to close by June 25, 2027 (one-year outside date), Fuller must redeem $450M of the new notes at par plus accrued interest.

10% owner SCULLY WILLIAM P (PRTA) bought 215K shares (~$1.8M) on the open market (29% of holdings). Open-market insider purchase — historically a bullish signal.

10% owner SUBIN NEIL S (OPTU) bought 3.0M shares (~$2.5M) on the open market (13% of holdings). Open-market insider purchase — historically a bullish signal.

Director KAMFAR RAMIN (BPRE) bought 651K shares (~$8.5M) on the open market (26% of holdings). Open-market insider purchase — historically a bullish signal.

Director Coyle John Joseph (REF) bought 200K shares (~$3.0M) on the open market (43% of holdings). Open-market insider purchase — historically a bullish signal.

Avient's Board appointed Mike Frank, former CEO of UPL Corporation (a $5B revenue agricultural solutions company), as President and Chief Executive Officer effective immediately, replacing Dr. Ashish K. Khandpur who stepped down but will serve in an advisory capacity through December 31, 2026. Richard H. Fearon, Lead Independent Director, was elected Non-Executive Chairman. The company reaffirmed full-year and Q3 2026 financial guidance.

New Horizon Aircraft (NASDAQ: HOVR, market cap ~$72.5M) reported Q1 FY2027 results with $70M+ in cash as of August 31, 2026, sufficient for 24 months of operations. The company is advancing full-scale Cavorite X7 hybrid-electric VTOL development on track for completion by Q1 calendar 2027, with initial testing planned for early 2027. Company reports >US$1B in letters of intent for up to 200 aircraft and 5 leases, supported by partnerships including BETA Technologies and Marshall Aerospace.

Stride, Inc. (market cap ~$2.0B) entered into a Cooperation Agreement with Fivespan Partners, LP on October 8, 2026. Fivespan (which owns approximately 1,039,000+ shares, per the Company Ownership Level Minimum cited) will have Dylan Haggart appointed as an independent director effective October 30, 2026, and Dr. Steven Guttentag appointed as a board observer immediately, then as an independent director after the December 10, 2026 annual meeting. The company is forming a new Capital Allocation Committee co-chaired by Haggart and Brian Shepherd to review capital structure and capital allocation strategy, with the company to announce a target capital structure and cash allocation framework within three months. In exchange, Fivespan agrees to standstill restrictions: maximum 7.5% beneficial ownership (12.5% with economic interests), no activism, no proxy contests, and voting with board recommendations during the standstill period (through ~30 days before 2027 annual meeting nominations deadline).

Zedge, Inc. hired Morris Berger as Chief Executive Officer effective October 1, 2026, under a three-year employment agreement (through September 30, 2029). Compensation includes $450,000 annual base salary, $25,000 signing bonus, $25,000 one-year stay bonus, and stock options representing 3.0% of fully-diluted common shares outstanding at grant date, vesting over 5 years in 20 quarterly installments. Termination without cause triggers full option vesting acceleration plus one year's base salary paid over 26 weeks; termination for good reason triggers same.

Richard Gorman, an independent board member since 2022 with 30 years of biopharmaceutical commercial experience, transitioned to Chief Commercial Officer effective October 12, 2026. He will lead commercial operations, market development for post-bariatric hypoglycemia and gastroparesis, corporate strategy, and business development for mizagliflozin. Gorman resigned from the board and Vogenx will search for a replacement independent director.

Aethlon Medical filed a Certificate of Amendment to its Articles of Incorporation with the Nevada Secretary of State on 10/08/2026, increasing authorized shares to 2 billion common shares at $0.001 par value. The amendment was approved by stockholders with 92% voting support. No specific details on current issued share count, dilution impact, or rationale for the increase are disclosed in this filing.

On October 5, 2026, Alpine Income Property Trust agreed to purchase a 13-property industrial portfolio across 11 states for $117.3 million ($63/sq ft), totaling ~1.9M sq ft, 100% leased with 10.2-year weighted average lease term and no expirations before late 2031. The $1M earnest money deposit became non-refundable October 9, 2026; closing expected Q4 2026, funded via revolving credit facility, dispositions, and loan repayments.