Most material SEC filings — October 13, 2026

CDT Equity Inc. (market cap ~$55K) issued a $6.75M Senior Secured Convertible Note to J.J. Astor Co. on October 6, 2026, funded in two tranches ($3M immediately, $2M conditional). The note converts at 70% of 20-day VWAP or a Floor Price of $0.18354, with 225,000 warrant shares at $0.9177 exercise price. Critically, 80% of all ATM financing net proceeds must flow to Astor until both this note and the existing $2.68M note are paid; weekly installments of $168,750 begin October 14, 2026, maturing March 24, 2027. Failure to maintain Nasdaq listing ($1.00+ bid) triggers mandatory reverse splits up to 1-for-1,000 ratio.

Newton Golf Company, Inc. (market cap ~$6.4M) filed an 8-K on October 13, 2026 reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. The filing itself contains no specific dollar amounts, percentages, share counts, or detailed explanation of which listing standard was breached—only the bare notice that a delisting risk or listing standard violation has occurred. No remediation plan, timeline, or specific regulatory requirement is disclosed in the extracted text.

SkyAI intends to commence a cash tender offer to repurchase up to 95% of outstanding common stock and warrants (46.37M shares and 20.72M warrants) at $3.00 per share, representing a 65% premium to the October 9, 2026 closing price and over 100% premium to 60-day VWAP. The maximum aggregate purchase price is approximately $201M, funded by existing cash and Solana token sales (company holds ~1M SOL, has sold ~1M SOL). The offer requires minimum 50% tender of each class and SOL price remaining above $100. Concurrently, the Board unanimously rejected Forward Industries' unsolicited acquisition proposal (0.306 FWDI shares per SKYA share) as undervaluing the company.

The S-4 registration statement for Agility Robotics' proposed business combination with Churchill Capital Corp XI (Nasdaq: CCXI) was declared effective by the SEC on October 13, 2026. Churchill XI shareholders will vote on November 2, 2026 to approve the merger. The transaction is expected to provide approximately $620 million in gross proceeds: ~$424 million from Churchill XI's trust account (assuming no redemptions) plus ~$200 million from a PIPE led by Foxconn; closing expected November 2026. The combined company will trade as AGLT on Nasdaq and will be positioned as the only U.S. publicly listed pure-play humanoid robotics company with active commercial deployments.

CN Healthy Food Tech Group Corp. filed an 8-K on October 13, 2026, reporting Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard, with a transfer of listing effective October 7, 2026. The filing provides no detail on which specific listing standard was violated, dollar amounts at stake, or remediation plans. This represents a loss of public market status for the $69.4M company.

On October 8, 2026, ClearOne Inc received a notice regarding delisting or failure to satisfy continued listing standards on Nasdaq (Item 3.01). No specific rule violation, remediation plan, or timeline details are disclosed in this 8-K filing stub. The company is a small-cap audio/communications manufacturer with a market value of approximately $5.1M.

Alaunos Therapeutics (market cap ~$9.6M) is acquiring Velaris Therapeutics in a reverse merger. Velaris valued at $200M, Alaunos at $15M (pre-cash). Merger consideration: 33,054 shares Parent Series C Preferred Stock to common holders + 105,286 shares Series B Preferred Stock to preferred holders (each convertible 1:1000 to common stock, subject to stockholder approval). Concurrent $250M-$350M financing from lead investors. Transaction closes immediately via two-step merger structure; post-closing, combined entity rebrands to Velaris Therapeutics, Inc.

On July 14, 2026, Glucotrack merged with Lokahi Therapeutics in an all-stock transaction valued at $33.3M, with former Lokahi shareholders receiving 90% of combined equity. Glucotrack simultaneously raised $4.45M in convertible notes (22% OID, 8% coupon, due April 2027) and $3.5M in follow-on convertible notes (same terms, due May 2027), plus $2M equity PIPE at $11.25/share. The merger created $40.1M in intangible assets and goodwill. Pro forma H1 2026 net loss was $19.7M on zero revenue; pro forma 2025 net loss was $28.1M on zero revenue.

CID HoldCo (Nasdaq: DAIC), a $7.2M market-cap company, closed acquisition of Envoy Technologies from BladeRanger Ltd. for ~$65M in all-stock consideration (reference price $6.00/share): BladeRanger receives 233,543 common shares + 8,433,123 Series C Preferred shares; Blink Charging's $12.5M convertible note remains outstanding, converts to 2,166,667 common shares upon stockholder approval and registration statement effectiveness. Transaction valued at ~9x company market cap; BladeRanger expected to hold majority of common stock post-conversion.

Co-Diagnostics, Inc. (market cap ~$10M) issued a $2.835M original principal senior secured convertible note to J.J. Astor Co. on October 9, 2026, funded at $2.1M net ($2.016M after $84K origination fee). The note features 30 weekly installments of $94.5K, convertible at 90% of 10-day VWAP (floor price 20% of $1.09 Nasdaq minimum = $0.218/share). An additional $1M loan tranche is available within 60 days. Lender receives 600,000 commitment shares; defaults trigger 120% penalty and 19% default interest. All ATM Financing proceeds (via Maxim Group) flow to DACA Account; 80% services debt, 20% to company until weekly payments satisfied.

Nurix received $700M upfront from Roche for global co-development and co-commercialization of bexobrutideg across hematologic malignancies, immunology, and neurology; development costs split 40/60 (Nurix/Roche), U.S. profits/losses shared equally, with tiered ex-U.S. royalties. First patient dosed in Phase 3 DAYBreak CLL-306 trial (620 patients, bexobrutideg vs. pirtobrutinib). Q3 2026 revenue jumped to $673.1M (prior year $7.9M) driven primarily by $653.2M license revenue from Roche; net income $549.8M vs. prior loss of $86.4M. Cash position now $1.1B with runway to H2 2029.

Arxis, Inc., a Delaware corporation with ~$7.0B in assets, filed a Form S-1 registration statement on October 13, 2026, to register 13,351,964 shares of Class A common stock (par value $0.01/share) for public offering under the Securities Act of 1933. Davis Polk & Wardwell LLP opined the securities are validly issued, fully paid, and non-assessable. The company operates 140+ subsidiaries across aerospace, engineered products, and specialty components sectors.

Director Troim Tor Olav (BORR) bought 2.5M shares (~$11.8M) on the open market (6.3% of holdings). Open-market insider purchase — historically a bullish signal.

As of October 11, 2026, Bitmine holds 6,028,946 ETH tokens valued at ~$15.3B (at $2,544/ETH), plus $612M cash/marketable securities, $180M stake in Beast Industries, and $85M stake in Eightco (ORBS), totaling $16.2B. The company has staked 5,067,309 ETH ($12.9B) via its MAVAN platform and purchased 12,532 ETH in the prior week. Management projects $400M annualized staking rewards at full scale and believes a major crypto bull market is underway, with ETH supply constraint from digital asset treasuries favoring price appreciation.

Wheeler Real Estate Investment Trust, Inc. established a promissory note program with blank principal amounts (up to $25M aggregate across multiple investors). Notes feature 0% interest, 18-month maturity, daily amortization at 0.4% (adjustable 0.2%–0.6%) payable in common stock at market price or cash if equity conditions unmet. Consideration: investors exchange Series D Preferred Stock (liquidation preference $25/share plus accrued dividends). Closing contingent on stockholder approval (Nasdaq Rule 5635(d)—>19.99% share issuance) and registration statement effectiveness. Company must file S-11 within 60 days post-approval; broad registration rights and indemnification provisions included. Specific counterparty names not disclosed in this form document.

President, CEO and Chairman Cohen Ryan (GME) bought 844K shares (~$22.8M) on the open market (1.9% of holdings). Open-market insider purchase — historically a bullish signal.

On September 30, 2026, Open World Ltd. (Cayman Islands) completed a reverse merger with VerifyMe Inc. (Nasdaq: VRME), a publicly traded Nevada corporation. OpenWorld shareholders received 11,686,124 shares at an exchange ratio of 1:77.27 per ordinary share, owning ~85.5% of the combined company post-closing. The combined entity has ~16.0M shares outstanding (fully diluted) and market capitalization of ~$144M at VerifyMe's closing stock price of $8.98/share on September 30, 2026.

On October 13, 2026, Vulcan Infrastructure & Power Inc. completed redemption of all outstanding 8.50% Senior Notes due 2026, paying $30.345 million principal plus $523,000 accrued interest (total ~$30.9M). The redemption eliminates the 2026 debt maturity; as of September 30, 2026, the company had $16.9M in cash and digital assets remaining after this redemption and ~$1.4M in PIPE-related transaction expenses.

Copley Acquisition Corp (SPAC) and Ignite Proteomics LLC mutually terminated their Business Combination Agreement effective October 9, 2026, after failing to satisfy closing conditions by the September 30, 2026 outside date (as extended). Both parties released all claims against each other related to the failed transaction; each party bears its own transaction expenses. No financial terms, deal value, or merger consideration amounts are disclosed in this termination document.

BridgeBio announced FDA acceptance of its NDA for oral infigratinib for children with achondroplasia, granted Priority Review with PDUFA target action date of February 4, 2027. PROPEL 3 met primary endpoint (annualized height velocity +2.10 cm/year, p<0.0001) and key secondary endpoints, with first-ever statistically significant improvements in body proportionality and arm span in an achondroplasia Phase 3 trial. If approved, oral infigratinib would be the first and only oral therapy for this indication; BridgeBio plans U.S. launch upon approval and European MAA submission in Q4 2026.

ImmuCell announced Q3 2026 total sales of $8.0 million, up 46% year-over-year ($5.5M in Q3 2025), with domestic sales at $6.9M (+29.2%). Nine-month 2026 sales reached $25.6M, up 27.8% from $20.0M in nine months 2025. Growth was driven by sales team expansion and manufacturing improvements, with Tri-Shield growing 51%, Dual-Force 36%, and new functional feed products 37%.

Nurix Therapeutics and Roche (including Genentech and F. Hoffmann-La Roche Ltd) entered into a comprehensive license and collaboration agreement effective June 8, 2026. Roche receives an exclusive, worldwide license to Nurix's BTK degrader technology (Bexobrutideg/NX-5948 and derivatives) for development, manufacturing, and commercialization in all indications. Financial consideration includes: $700M upfront payment, up to $160M in oncology development milestones, up to $280M in oncology approval milestones, up to $130M in [redacted field] development milestones, up to $210M in oncology launch milestones, up to $90M in [redacted field] launch milestones, up to $710M in annual net sales milestones, tiered royalties (rates redacted) in Roche Territory, and 50/50 profit/loss sharing in US (Joint Territory). Nurix retains co-development/co-commercialization rights in US and option rights to additional BTK degraders.

ADC Therapeutics announced a $86.6 million PIPE at $1.42/share (common) and $1.324/pre-funded warrant, with 12.9M shares and 48.1M pre-funded warrants. Simultaneously, it amended its HealthCare Royalty agreement (eliminating $150M change-of-control payment, capping third-party debt at $50M) and refinanced its senior loan (reducing principal from $120M to $50M, eliminating amortization and minimum liquidity covenant). Placement agents: Jefferies, Guggenheim, Cantor. Closing expected October 22, 2026.

Reliance Global Group repaid in full its Oak Street Funding term loan of approximately $4.4 million as of June 30, 2026, using $1.2M from sale of Southwestern Montana Insurance Center (closed Sept 11, 2026), $2.2M from sale of Altrius Benefit Consulting (closed Sept 24, 2026), and $1.0M of collateral cash. The company now holds >$6M cash, eliminates ~$1M annual debt service (~$400K annual interest/fees), and has zero term debt outstanding.

XTI Aerospace completed an internal review initiated in July 2026 (oversight by special committee of independent directors and outside counsel) and found no financial misstatements. The company is on track to file its Form 10-Q by October 26, 2026. Preliminary Q2 2026 results: revenue ~$32.4M, gross profit ~$5.6M, operating loss ~$9.1M. The company withdrew its previously issued 2026 guidance and disclosed going-concern doubts in its August 17, 2026 Form 12b-25 filing.

On August 5, 2026, Nasdaq notified Eightco Holdings (ORBS) that its stock had fallen below the $1.00 minimum bid price requirement for 30 consecutive business days. As of October 7, 2026, the closing bid price recovered to $1.00 or greater for 10 consecutive business days (September 24–October 7, 2026), restoring compliance with Listing Rule 5550(a)(2). The delisting threat is now closed.

First Tracks Biotherapeutics announced positive top-line results from Cohort 1 of ANB033's Phase 1b trial in celiac disease. In a 32-patient study (17 ANB033, 15 placebo), ANB033 achieved statistically significant protection against gluten-induced intestinal damage (Vh:Cd ratio placebo-adjusted delta +0.49, p=0.009) and symptoms (prevented symptom increase vs. marked increase in placebo), with no serious adverse events. The company plans to initiate late-stage development in 2027 and expects Cohort 2 data in Q1 2027.

Bumble Inc. (NASDAQ: BMBL) agreed to be acquired by Ithaca Holdco, Inc. (backed by Blackstone and founder Whitney Wolfe Herd) in an all-cash transaction. Each Class A share receives $6.05; Class B shares receive $0.000001. Founder Wolfe Herd rolls over equity into Parent. Deal valued at approximately $479.4M equity value based on company market cap; merger consideration funded via $102M escrow deposit and Greenoaks Prime Radiant LP equity commitment. Closing expected by November 26, 2026, subject to regulatory approval and customary closing conditions.

On October 5, 2026, SS Innovations submitted its response to an FDA Additional Information Not-Enough (AINN) letter regarding its 510(k) submission for the SSi Mantra surgical robotic system. The response includes final data from an expanded human clinical and human factors validation study and a bridging study completed in August 2026 at Hospital Internacional de Colombia. The company anticipates FDA review completion in Q1 2027 for the initial indication of cholecystectomy.

On September 30, 2026, Boxlight issued 106,250 shares of Series E Convertible Preferred Stock to J.J. Astor & Co. for $850,000. Three Series D Convertible Preferred holders—Secure Net Capital (616,444 shares), ClearThink Capital Partners (62,500 shares), and Shakawe Capital LLC (241,402 shares)—consented to and waived certain anti-dilution rights under the Series D agreement, including voting rights parity and most-favored-nation provisions. The Series E Preferred is junior to Series D but ranks pari passu in voting rights on an as-converted basis; Series E conversion is blocked until Series D holders' registration and stockholder approval conditions are satisfied.

On July 31, 2026, Tarsus Pharmaceuticals agreed to acquire private biotech Alkeus Pharmaceuticals for $450M upfront ($270M cash, $180M stock at $83.21/share = 2.77M shares) plus up to $350M in regulatory/sales milestones and low-single-digit royalties on ALK-001 (gildeuretinol) net sales. Alkeus is a pre-revenue R&D-stage company with $109.6M accumulated deficit (as of June 30, 2026), $48.7M cash, and substantial going-concern doubt. The merger closed September 4, 2026; Tarsus also completed a concurrent $125M private placement at $56/share.

Wheeler Real Estate Investment Trust filed Form 8-K on 2026-10-13 disclosing an unregistered sale of equity securities (Item 3.02), effective 2026-10-06. The filing document itself contains no narrative details—only XBRL taxonomy files and metadata. Specific counterparty, share count, pricing, and dollar amount are not disclosed in the available filing text.

On October 9, 2026, Medalist Diversified Holdings, L.P. (via subsidiary MDI Mira Sav, LLC) and Spandrel Sponsors Fund II, LP jointly executed three guaranties totaling $13.8M in principal to GLP 2505 LLC for a loan to Mira SAV Property, LLC (Chatham County, Georgia property). The guaranties include: (1) Non-Recourse Carveout Guaranty covering fraud, environmental breach, willful misconduct, and specified events; (2) Completion Guaranty covering all construction completion costs and expenses; (3) Environmental Indemnity covering hazardous substances, remediation, and compliance with environmental laws. A Contribution Agreement allocates liability between MDI (Medalist) and MSV (Spandrel) based on Pro Rata Shares (typically 50/50 unless caused by one party's bad acts), with MSV bearing sole cost overruns. Loan amount: $13,800,000.00.

Flyte Aviation announced preliminary Q3 2026 revenue of $2.15M (vs. $1.02M in Q2), a 110% sequential increase. Aviation segment revenue grew 150% to $1.87M; MedTech segment grew 4% sequentially to $280K. The company's redesigned digital platform added 13,000+ new accounts since late May 2026, bringing total users to 20,000+ (185% growth), with direct-to-consumer revenue already surpassing $500K in Q3. Management stated plans to add aircraft, expand to Canada, and grow Caribbean operations.

Third Coast Bancshares, Inc. (TCBX) agreed to acquire Great Plains Bancshares, Inc. in an all-stock merger dated October 6, 2026. TCBX will issue approximately 5.57 million shares of common stock (exchange ratio to be calculated based on a minimum adjusted equity of $153.3 million for Great Plains). The transaction includes a three-step structure: merger of TCBX's subsidiary into Great Plains, merger of Great Plains into TCBX, and merger of Great Plains National Bank into Third Coast Bank. Closing is expected within 30 days after regulatory approvals.

Offerpad's special purpose entity (OP SPE Summit, LLC) refinanced and restated its revolving construction loan with WHGG II Trust and Ascent Developer Solutions LLC, effective October 7, 2026. The facility provides up to $200 million for acquisition and renovation of residential properties ("Reno" and "Non-Reno" properties), with an original maturity date of August 1, 2027, extendable six months at borrower's option upon payment of 0.75% extension fee. Offerpad Holdings LLC and Offerpad Solutions Inc. guarantee the loan. The agreement is cross-defaulted and cross-collateralized with other Offerpad loans from the same lenders. Prior obligations under a July 29, 2026 Second Amended agreement continue in full force, secured by first-priority mortgages on properties.

Strive, Inc. announced a proposed IPO of 5,000,000 shares of 15.00% Series A Perpetual Preferred Stock (SATS Stock) at $100 stated amount per share, targeting ~$500M gross proceeds. Proceeds intended for bitcoin acquisition, income-generating assets, capital expenditures, share repurchases, and potential M&A. Barclays and Cantor are joint book-running managers; offering is registered on effective shelf.

On October 9, 2026, Consumer Portfolio Services amended its revolving credit agreement with Capital One, N.A., increasing total facility capacity by $128 million (33%) from $390M to $518M. The facility, secured by automobile receivables, extends through October 17, 2027, followed by an optional 18-month amortization period. This brings total company credit capacity across all facilities to $1.026 billion, the first time exceeding $1 billion.

On October 6, 2026, Equus Total Return, Inc. received notice from NYSE that its stock price fell below $1.00 average over 30 consecutive trading days, violating Section 802.01C of the NYSE Listed Company Manual. The company has six months to cure the deficiency by achieving at least $1.00 closing price and $1.00 average closing price over a 30-day period in any calendar month, with options including a reverse stock split. No immediate delisting occurs; trading continues subject to other NYSE compliance standards.

Porch Group subsidiary Homeowners of America Holding Corporation and Porch Insurance Reciprocal Exchange are acquiring 100% of Allied Underwriters LLC (AU MGA), Lonestar Lagniappe Reinsurance Holdings LLC, and Allied Trust Insurance Company (ATIC) from Allied Trust Holdings LLC. Total consideration: AU MGA Base Price $80M + Lonestar Base Price $15M + ATIC Base Price $55M (~$150M), minus estimated closing indebtedness, plus deferred payments (~$50M paid monthly over 12 months by Reciprocal to Seller). Closing expected in January 2027 or later, subject to regulatory approvals.

On July 31, 2026, Liberty Global completed acquisition of Vodafone Group's 50% shareholding in VodafoneZiggo Group Holding B.V. for approximately €977.5 million in cash, plus a 10% equity interest in Ziggo Group (valued at €479.9 million) and off-market consideration (€169.1 million). Liberty Global now owns 100% of VodafoneZiggo; Vodafone retains 10% interest in Ziggo Group (which holds VodafoneZiggo and Telenet). Transaction converts VodafoneZiggo from 50/50 JV to wholly-owned subsidiary.

Sizzle Acquisition Corp. II (public market cap ~$233M) announced a proposed SPAC merger with Trasteel Holding S.A., a Luxembourg-based global steel trading and industrial group. Pro forma enterprise value is ~$1.32 billion. Trasteel generated $1.95B revenue and $68M EBITDA in 2025; existing shareholders roll 100% equity. Transaction funded by ~$230M Sizzle trust cash (0% redemption assumption). Post-close ownership: Trasteel shareholders 70.4%, Sizzle public shareholders 22.3%, other 7.3%. No binding financial commitments disclosed; terms flagged as indicative and subject to negotiation.

On October 8–13, 2026, Pedro Escudero (directly and via DOMA Perpetual LO Equity Master Fund LP, The John Templeton Foundation, and affiliated LLCs) sold a combined 2,936,794 shares of Pacira at ~$36.29–$36.34 per share, generating approximately $106.7M in gross proceeds. The entities executed a joint filing agreement on October 13, 2026, confirming coordinated SEC reporting. No disclosure states the rationale, size of remaining stake, or whether this represents a full exit.

Equinox Partners, L.P. purchased approximately 631,787 shares of Silvercrest common stock between September 1 and October 13, 2026, at prices ranging from $9.17 to $10.54 per share. Total investment approximately $6.35M. This represents a substantial accumulation by a reporting person during the disclosed 60-day period.

Control Empresarial executed four sales of Talos Energy common shares between 10/08/2026–10/13/2026: 2.31M shares at $17.031/share (10/8), 1.73M at $17.078/share (10/9), 2.2M at $17.252/share (10/12), and 2.7M at $17.510/share (10/13). Total shares sold: 8.94M at weighted average prices ranging $17.03–$17.51. Aggregate proceeds approximately $152M. This is an amendment to a prior Schedule 13D filing documenting insider/significant shareholder disposition activity.

On July 14, 2026, Glucotrack completed a merger with Lokahi Therapeutics, with Lokahi shareholders receiving 90% of combined entity on fully-diluted basis. Company raised ~$7.95M in Bridge Notes (22% OID, 8% interest, 9-month maturity) and secured $50M ELOC with White Lion Capital. Subsequently issued $11.6M in September Notes (22% OID, 8% interest) and $2M in Interim PIPE. Total registered shares represent ~1,825% of current outstanding (2.37M shares); company has $5.4M market cap and ~$156M accumulated deficit with going-concern doubt.

Liquidia settled six pending lawsuits with United Therapeutics (UTC) for a net payment of $380.7M: $175M upfront within 30 business days, plus $145.4M in two equal installments (Jan & Apr 2027). Liquidia also paid $60.3M to resolve interests of Sandoz, Henderson SPV, and PBM in antitrust litigation. Liquidia removes PH-ILD indication from YUTREPIA label, ceases PH-ILD promotion, and retains unrestricted right to sell YUTREPIA for PAH. Q3 2026 YUTREPIA sales were $222.7M; cash position $396.1M as of Sept 30, 2026.

IonQ, Inc. agreed to acquire Elisity, Inc. via merger, with merger consideration of $1.15 billion divided by the Parent Stock Price (IonQ's stock price) to determine share count, minus a Leakage Share Amount. Additional contingent earnout payments possible based on Elisity's revenue during an earnout period. Transaction structured as tax-free reorganization under Section 368(a) of the Internal Revenue Code.

SS Innovations International, Inc. issued a $21.025M secured convertible promissory note (original principal) to Growth Capital Partners, LLC on October 9, 2026. The company received $20M cash after a $1M original issue discount and $25K transaction expense fee. The 36-month note carries 8.75% annual interest, is convertible into common shares at 95% of market price, and is secured by company and subsidiary assets including intellectual property (50+ patents, trademarks). Five subsidiaries guarantee the obligation. Growth Capital Partners has redemption rights beginning 12 months post-closing, subject to Nasdaq listing rule caps.

Brenton L. Saunders, CEO of Bausch & Lomb since 2023, departed effective October 12, 2026, per a separation agreement dated October 11, 2026. The company paid Saunders US$75.5 million in separation consideration plus up to US$50,000 in attorneys' fees, in exchange for a broad release of claims including equity awards forfeiture and restrictive covenants. Thomas J. Appio, who became Board Chairman in August 2026, was appointed interim CEO. The company simultaneously announced it expects to raise full-year 2026 adjusted EBITDA guidance based on strong Q3 performance.