Debt Financings

Rocket Lab Corp incurred credit facility of up to $120,000,000 with Trinity Capital, Inc. at rate factor of 0.022266 or 0.026306, subject to adjustment based on Prime Rate maturing 60 months.

“On December 29, 2023 (the “Effective Date”), Rocket Lab USA, Inc. (the “Company”) and certain of its subsidiaries (the “Subsidiaries”, together with the Company, the “Borrowers”), entered into a Master Equipment Financing Agreement (the “Loan Agreement”) with Trinity Capital, Inc., a Maryland corporation (the “Lender”) to provide financing for certain equipment and other property (the “Equipment”). The Loan Agreement provides that the Lender shall provide equipment financing in the aggregate of up to $120,000,000 (the “Conditional Commitment")”

XBiotech Inc. incurred loan of $10 million with John Simard at eight percent per year.

“On January 3, 2024, XBiotech Inc. (“XBiotech” or the “Company”) entered into a Convertible Loan Agreement (the “Loan”) with John Simard, the Company’s Founder, President, Chief Executive Officer and Chairman. The Loan provides $10 million in immediate funding for the construction of a new, state-of-the-art research and development facility at 5217 Winnebago Lane in Austin, Texas. The Loan is secured by the real estate and cash holdings of the Company, with interest to accrue at a simple rate equal to eight percent per year and interest-only payments to be made at six-month intervals after the Loan is funded.”

Senseonics Holdings, Inc. incurred term loan of $10.0 million with Hercules Capital, Inc..

“On January 2, 2024, the Tranche 2 Loan was funded in an amount of $10.0 million following the Company’s satisfaction of certain terms and conditions set forth in the Loan Agreement in the fourth quarter of 2023.”

KBS Real Estate Investment Trust III, Inc. reported a default on loan of $125.0 million with 201 Spear Street Lender at 5.0% plus the greater of (a) one-month term SOFR plus 1.45% or (b) the Prime Rat.

“payment, resulting in an event of default on the loan on November 14, 2023. The 201 Spear Street property is currently valued at substantially less than the outstanding debt of $125.0 million. As of November 15, 2023, interest on the loan began to accrue at the default interest rate of the lesser of (i) the maximum rate allowed by law or (ii) 5.0% plus the greater of”

KBS Real Estate Investment Trust III, Inc. incurred credit facility of $5.0 million with Bank of America, N.A., as administrative agent maturing February 6, 2024.

“In addition, the Third Extension Agreement required that the Amended and Restated Portfolio Loan Facility Borrowers make a principal paydown on the loan in the amount of $5.0 million, and the aggregate commitment under the Amended and Restated Portfolio Loan Facility was permanently reduced by that amount. The aggregate outstanding principal balance of the”

Global Water Resources, Inc. incurred senior notes of $20,000,000 of 6.91% Senior Secured Notes with U.S. Bank Trust Company, National Association at 6.91% maturing January 3, 2034.

“2023, Global Water Resources, Inc. (the “Company”) entered into a note purchase agreement (the “Note Purchase Agreement”) for the issuance of an aggregate principal amount of $20,000,000 of 6.91% Senior Secured Notes due on January 3, 2034 (the “Notes”). Pursuant to the terms of the Note Purchase Agreement, the Company issued the Notes on January 3, 2024. In”

VSE CORP amended credit facility of from $177.5 million to $300.0 million with Citizens Bank, N.A. maturing October 7, 2026.

“an increase in the aggregate principal amount of the term loan (“Term loan”) from $177.5 million to $300.0 million and an extension of the maturity date of the Company’s Term Loan by one year to October 7, 2026”

LANDS' END, INC. incurred term loan of $260 million with Blue Torch Finance LLC. at adjusted term SOFR (subject to a 2% floor) plus an applicable margin; applicable maturing December 29, 2028.

“On December 29, 2023, Lands’ End, Inc. (the “Company”) entered into a term loan credit agreement by and among the Company, Blue Torch Finance LLC., as Administrative Agent and Collateral Agent and the other lender parties thereto (the “Term Loan Credit Agreement”) which provides the Company a term loan of $260 million (the “New Term Loan Facility”)”

PRO DEX INC amended credit facility with Minnesota Bank and Trust, a division of HTLF Bank maturing December 29, 2025.

“The Amendment extends the maturity date of the Company’s Amended and Restated Revolving Credit Note (the “Revolving Note”) and the Supplemental Revolving Note (the “Supplemental Note”) with MBT from December 29, 2024, to December 29, 2025.”

AVIS BUDGET GROUP, INC. amended revolving credit with JPMorgan Chase Bank, N.A., as Administrative Agent and the other lenders party thereto maturing December 27, 2028.

“extended the maturity of the Company’s revolving credit facility thereunder to December 27, 2028”

Aquaron Acquisition Corp. incurred loan of $70,000 with Bestpath IoT Technology Ltd. at does not bear interest maturing upon closing of a business combination by the Company.

“On January 3, 2024, Aquaron Acquisition Corp. (the “ Company ”) issued an unsecured promissory note in the aggregate principal amount of $70,000 (the “ Note ”) to Bestpath IoT Technology Ltd. (“ Bestpath ”) in exchange for Bestpath depositing such amount into the Company’s trust account in order to extend the amount of time it has available to complete a business combination. The Note does not bear interest and mature upon closing of a business combination by the Company.”

AERWINS Technologies Inc. faced acceleration on convertible notes of $4,200,000 with Lind Global Fund II LP.

“The proceedings in Japan described in Item 1.03 above constitute an event of default pursuant to the secured convertible notes in the aggregate principal amount of $4,200,000 (collectively, the "Notes") issued by the Company to Lind Global Fund II LP ("Lind Global") on April 12, 2023 and May 23, 2023 and as amended on August 25, 2023.”

Learn CW Investment Corp incurred loan of up to $2,487,000 with CWAM LC Sponsor LLC at does not bear interest maturing upon the consummation of a Business Combination.

“On December 29, 2023, Learn CW Investment Corporation (the “Company”) issued an amended and restated promissory note (the “Restated Note”) in the principal amount of up to $2,487,000 to CWAM LC Sponsor LLC, the Company’s sponsor (“Sponsor”).”

Ace Global Business Acquisition Ltd incurred loan of $98,858.95 with Ace Global Investment Limited at does not bear interest maturing upon the closing of a business combination by the Company.

“On January 2, 2024, Ace Global Business Acquisition Limited (the “Company”) issued an unsecured promissory note in the aggregate principal amount of $98,858.95 (the “Note”) to Ace Global Investment Limited, the Company’s initial public offering sponsor (“Sponsor”)”

Serve Robotics Inc. /DE/ incurred loan of up to $200,000 with Ali Kashani at 7.67% per annum.

“On December 27, 2023, Serve Operating Co., a wholly-owned subsidiary of Serve Robotics Inc., a Delaware corporation (the “Company”), issued a Secured Subordinated Promissory Note (the “Kashani Note”) to Ali Kashani, a holder of greater than 5% of the Company’s capital stock who serves as Chief Executive Officer and is a member of the Company’s Board of Directors (the “Board”), in exchange for a loan with the aggregate principal amount of up to $200,000.”

Serve Robotics Inc. /DE/ incurred convertible notes of $3,000,000 with certain accredited investors at 6.00% per year maturing due and payable upon request by each Purchaser on or after the 12-month anniversary of the original issuance date of each Note.

“At an initial closing on January 2, 2024, the Company borrowed an aggregate principal amount of $3,000,000 by issuing Notes to certain accredited investors”

AMERICAN REBEL HOLDINGS INC incurred loan of $500,000 with Alt Banq Inc. at 22% per annum maturing 52 weekly payments.

“On December 28, 2023, the Registrant entered into a $500,000 Business Loan and Security Agreement (the “Secured Loan”) with Alt Banq Inc., an accredited investor lending source (the “Lender”). Under the Secured Loan, the Registrant received $490,000 on December 29, 2023, which was net of fees to the Lender. The Secured Loan requires 52 weekly payments of $11,731, for a total repayment of $610,000 to the Lender. The principal balance bears interest at 22% per annum.”

NextDecade Corp incurred term loan of $251 million with Wilmington Trust, National Association, as the administrative agent; Mizuho Bank (USA), as the P1 collateral agent; and the senior lenders party thereto at 7.11% per annum maturing September 2047.

“Collateral Agent ”), and the senior lenders party thereto (the “ Senior Lenders ”). The Credit Agreement provides for a term loan facility (the “ Senior Loans ”) in an amount of $251 million to finance a portion of Rio Grande LNG Trains 1, 2 and 3 and related common facilities (“ Phase 1 ”) and to pay certain fees and expenses associated with the Credit Agreement and”

SANUWAVE Health, Inc. incurred convertible notes of aggregate principal amount of approximately $1.9 million with Purchasers at fifteen percent (15%) per annum maturing maturity date.

“On December 30, 2023, the Company issued Notes to the Purchasers in an aggregate principal amount of $1.9 million. Pursuant to the Notes, the Company promised to pay each Purchaser, its designee or registered assigns (the "Holder") in cash and/or in shares of common stock, at a conversion price of $0.04 (the "Conversion Price"), the principal amount (subject to reduction pursuant to the terms of the Note, the "Principal") as may be advanced in disbursements (each, a "Disbursement" and together, the "Disbursements," with total principal of outstanding Disbursements equaling Principal), and to pay interest at a rate of fifteen percent (15%) per annum ("Interest") on any outstanding Principal at the applicable Interest rate from the date of the Notes until the Notes are accelerated, converted, redeemed or otherwise.”

SPIRE INC incurred term loan of $200 million with U.S. Bank National Association at one-month term secured overnight financing rate ("SOFR") plus a SOFR adjustment maturing October 3, 2024.

“On January 3, 2024, Spire Missouri Inc. (the "Company") entered into a loan agreement (the "Loan Agreement") among the Company, U.S. Bank National Association, as administrative agent, and the lenders party thereto. The Loan Agreement provides for a $200 million unsecured term loan, which was fully disbursed on January 3, 2024. The term loan matures on October 3, 2024. Interest accrues on the term loan at the one-month term secured overnight financing rate ("SOFR") plus a SOFR adjustment of 0.10% per annum plus a margin of 0.90% per annum.”

SOUTHERN FIRST BANCSHARES INC incurred revolving credit of $15,000,000 with TIB, National Association at The Wall Street Journal Prime Rate plus 0.25% per annum maturing 14 months from the closing date.

“On December 28, 2023, Southern First Bancshares, Inc. (the "Company") entered into a Loan Agreement (the "Loan Agreement") with TIB, National Association (the "Lender") providing for a revolving multiple advances loan of up to an aggregate principal amount of $15,000,000.”

Blue World Acquisition Corp incurred loan of unsecure promissory note in the principal amount of $33,333 with Fuji Solar Co., Ltd at The Notes bear no interest maturing payable in full upon the consummation of BWAQ’s business combination.

“On December 28, 2023, pursuant to the Merger Agreement, BWAQ issued another unsecure promissory note in the principal amount of $33,333 to Fuji Solar”

Verano Holdings Corp. incurred loan of $27,998,750 with First Federal Bank at 8.34% maturing December 26, 2028.

“The Loan Agreements provide for $27,998,750 in principal borrowings and require sixty monthly installment payments based on a 300-month amortization schedule. All unpaid principal and interest is due in full on December 26, 2028.”

Healthcare Triangle, Inc. incurred convertible notes of $2,000,000 maturing 18 months after issuance.

“Under the first tranche of funding, which closed upon signing of the Purchase Agreement on December 28, 2023, the Company issued a Note to the Investor in the principal amount of $2,000,000 which resulted in gross proceeds to the Company of $1,700,000 and Warrants to purchase up to an aggregate of 357,500 Warrant Shares.”

Altus Power, Inc. incurred term loan of $100 million with Goldman Sachs and CPP Investments at 8.50% maturing December 27, 2029.

“entered into a Credit Agreement with an affiliate of Goldman Sachs Asset Management (“Goldman Sachs”) and CPPIB Credit Investments III Inc., a subsidiary of Canada Pension Plan Investment Board (“CPP Investments”; and together with Goldman Sachs, the “Lenders”) and Wilmington Trust, National Association, as administrative agent for the Lenders (the “Credit Agreement”) under the terms of which the Lenders committed to lend the Company up to $100 million in term loan financing to support its growth needs (the “Facility”).”

Odyssey Semiconductor Technologies, Inc. incurred convertible notes of $30,000 with Nina and John Edmunds 1998 Family Trust at ten percent (10%) per annum maturing earlier of (i) the date upon which the Promissory Note is converted into equity securities of the Company, or (ii) June 30, 2025.

“On December 26, 2023, Odyssey Semiconductor Technologies, Inc. (the “Company”) issued a secured convertible promissory note in the amount of $30,000 (the “Promissory Note”) to the Nina and John Edmunds 1998 Family Trust dated January 27, 1998 (the “Edmunds Trust”), of which the Company’s Chairman, John Edmunds, is the trustee.”

Lazydays Holdings, Inc. incurred mortgage of $35.0 million with Coliseum Holdings I, LLC at 12.0% per annum or, if the Borrower exercises its option during the first year o maturing December 29, 2026.

“On December 29, 2023, LD Real Estate, LLC, Lazydays RV of Ohio, LLC, Airstream of Knoxville at Lazydays RV, LLC, Lone Star Acquisition LLC, Lazydays Land of Phoenix, LLC and Lazydays Land of Chicagoland, LLC (collectively, the “Borrower”), each a wholly owned subsidiary of the Company, entered into a Loan Agreement (the “Loan Agreement”), with Coliseum Holdings I, LLC as lender (the “Lender”). The Loan Agreement evidences a $35.0 million mortgage loan with an interest rate of 12.0% per annum or, if the Borrower exercises its option during the first year of the mortgage loan to pay interest in kind rather than currently (which would add the amount thereof to the outstanding principal balance of the loan), 14.0% per annum.”

Verona Pharma plc incurred term loan of $400.0 million with Oxford Finance LLC and funds managed by Oxford and Hercules Capital, Inc. at (a) the greater of (i) the 1-Month CME Term SOFR reference rate...and (ii) 5.34% maturing December 1, 2028.

“On December 27, 2023 (the “Effective Date”), Verona Pharma, Inc. (the “Borrower”), a wholly-owned subsidiary of Verona Pharma plc (the “Company”), entered into a term loan facility of up to $400.0 million (the “Term Loan”), consisting of a term loan advance in an aggregate amount of $50.0 million funded on the Effective Date (the “Term A Loan”)”

NantHealth, Inc. amended convertible notes of Not specified in excerpt with U.S. Bank Trust Company, National Association at Not specified in excerpt maturing Not specified in excerpt.

“On December 26, 2023, NantHealth, Inc. (the “ Company ”), NaviNet, Inc. and The OpenNMS Group, Inc. as subsidiary guarantors, and U.S. Bank Trust Company, National Association, as trustee and notes collateral agent, entered into a Second Supplemental Indenture (the “ Second Supplemental Indenture ”), which amends that certain Indenture, dated as of April 27, 2021 (as amended and restated by the First Supplemental Indenture, dated May 17, 2023, the “ Convertible Notes Indenture ”) to, among other things, (i) permit the transactions disclosed in the Company’s Current Report on Form 8-K filed on December 21, 2023 (the “ Highbridge Settlement ”), (ii) waive all Defaults and Events of Default (as each term is defined in the Convertible Notes Indenture) that have occurred or are occurring as of the date of the Second Supplemental Indenture, and (iii) increase flexibility for future Dispositions (as defined in the Convertible Notes Indenture).”

Athene Holding Ltd. amended senior notes of Not specified in excerpt. with U.S. Bank Trust Company, National Association at Not specified in excerpt. maturing Not specified in excerpt..

“In connection with and effective upon completion of the Redomestication, the Company and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association), as trustee, entered into the Eighth Supplemental Indenture (the “Eighth Supplemental Indenture”) to the Base Indenture dated January 12, 2018 (the “Base Indenture” and together with the Eighth Supplemental Indenture, the “Indenture”). In connection with the Eighth Supplemental Indenture, the Company succeeds to all liabilities and obligations of Athene Bermuda relating to the Indenture (including each series of debt securities issued thereunder).”

FuboTV Inc. incurred convertible notes of $177,506,000 in aggregate principal amount with U.S. Bank Trust Company, National Association at (i) 7.500% per annum ... if interest is paid in cash and (ii) 10.000% per annum maturing February 15, 2029.

“On December 29, 2023, fuboTV Inc. (the "Company") entered into a privately negotiated exchange agreement (the "Exchange Agreement") with certain affiliates and related funds of Mudrick Capital Management, L.P. (collectively, "Mudrick"), which were holders of the Company's existing 3.25% Convertible Senior Notes due 2026 (the "2026 Notes"), to exchange (the "Exchange") $205,835,000 principal amount of the 2026 Notes for $177,506,000 in aggregate principal amount of the Company's new convertible senior secured notes due 2029 (the "2029 Notes"). The 2029 Notes were issued pursuant to, and are governed by, an indenture (the "Indenture"), dated as of January 2, 2024, among the Company, the guarantors identified therein (the "Guarantors") and U.S. Bank Trust Company, National Association, as trustee (the "Trustee") and collateral agent (the "Collateral Agent").”

Outset Medical, Inc. incurred term loan of approximately $66.5 million term loans with SLR Investment Corp..

“On January 2, 2024, Outset Medical, Inc. (the Company) borrowed and received approximately $66.5 million term loans under its existing term loan facility pursuant to a loan and security agreement among SLR Investment Corp., as collateral agent, the lenders from time to time party thereto and the Company (the SLR Term Loan Facility). After giving effect to such borrowing and the recent borrowing the Company made on December 11, 2023, the outstanding principal amount of the SLR Term Loan Facility is $200.0 million.”

ORTHOPEDIATRICS CORP incurred revolving credit of $50 million (the "Revolving Loan") with MidCap Funding IV Trust, as Agent; MidCap Financial Trust, as Term Loan Servicer; Lenders at the greater of (a) One Month Term SOFR plus 4.0% or (b) 6.50% maturing upon the earlier of December 1, 2028, or ....

“a revolving loan in an aggregate principal amount that will not exceed $50 million (the "Revolving Loan")”

ORTHOPEDIATRICS CORP incurred term loan of $30 million available in three tranches of $10 million each with MidCap Funding IV Trust, as Agent; MidCap Financial Trust, as Term Loan Servicer; Lenders at the greater of (a) One Month Term SOFR plus 6.50% or (b) 9.0% maturing the earlier of December 1, 2028, or ....

“the Lenders have provided to Borrowers a term loan in an aggregate principal amount that will not exceed $30 million available in three tranches of $10 million each subject to certain conditions (the "Term Loan")”

NOVANTA INC incurred revolving credit of $198.0 million with Bank of America, N.A. maturing in December 2027.

“On January 2, 2024, Novanta Inc. (the “Company”) drew down $198.0 million on its revolving credit facility under its Third Amended and Restated Credit Agreement, as amended, by and among the Company, certain of the Company’s subsidiaries, Bank of America, N.A., as Administrative Agent, Swing Line Lender, L/C Issuer and lender, and the other lender parties thereto (“Third Amended and Restated Credit Agreement”).”

NovAccess Global Inc. incurred convertible notes of $7.05 million with Sumner Global LLC at 10% a year maturing five-year term.

“”), pursuant to which Sumner agreed to purchase 33.0 million newly issued shares of our unregistered common stock for $0.11 a share, or $3.63 million in total, and to loan us $7.05 million (collectively, the “ transaction ”). We expect to use this investment to fund operations and repay debt. Sumner is a global company that has created value across a diverse range”

SONIC FOUNDRY INC amended debt of $6,000,000 with Mark Burish at 12% per annum.

“The Burish Third Amendment provides for an increase to the principal amount by $500,000 from $5,500,000 to $6,000,000.”

Vistra Corp. incurred senior notes of $350 million with Initial Purchasers at 7.750% per annum maturing October 15, 2031.

“and $350 million aggregate principal amount of the Issuer’s 7.750% senior unsecured notes due 2031 (the “Unsecured Notes” and, together with the Secured Notes, the “Notes”), which form a part of the same series as the Issuer’s outstanding 7.750% Senior Notes due 2031 issued on September 26, 2023, in a concurrent private offering (the “Unsecured Offering” and, together with the Secured Offering, the “Offerings”)”

Vistra Corp. incurred senior notes of $400 million with Initial Purchasers at 6.950% per annum maturing October 15, 2033.

“by and among Vistra Operations, Citigroup Global Markets Inc. as representative of the several initial purchasers named in Schedule I thereto (the “Initial Purchasers”) and certain subsidiaries of the Issuer that are guarantors under that certain credit agreement, dated as of October 3, 2016, by and among the Issuer, Vistra Intermediate Company LLC, the guarantors party thereto, Credit Suisse AG, Cayman Islands Branch (as successor to Deutsche Bank AG New York Branch), as administrative and collateral agent, various lenders and letter of credit issuers party thereto, and the other parties named therein (as amended, restated, amended and restated, supplemented and/or otherwise modified from time to time, the “Credit Agreement”) (together with such other subsidiaries that become guarantors from time to time, the “Subsidiary Guarantors”), in connection with the offer and sale by the Issuer, and the purchase by the Initial Purchasers, of $400 million aggregate principal amount of the Issue”

ALPINE 4 HOLDINGS, INC. incurred credit facility of up to 85% of the aggregate outstanding amount of Eligible Accounts plus the lowest of (i) an amount up to 60% of the agg with North Mill Capital LLC d/b/a SLR Business Credit.

“of DTI. Loan and Security Agreement with North Mill Capital LLC Under the Loan Agreement, the Lender agreed to provide the Borrower with one or more advances in an amount up to 85% of the aggregate outstanding amount of Eligible Accounts (as defined below) (the “Eligible Accounts Loan Value”); plus the lowest of (i) an amount up to 60% of the aggregate”

Oscar Health, Inc. amended revolving credit of $115,000,000 total commitments with Wells Fargo Bank, National Association at adjusted term SOFR or alternative base rate plus applicable margin of 4.50% for maturing December 28, 2025.

“On December 28, 2023, Oscar Health, Inc. (the “Company”) entered into the Third Amendment to Credit Agreement (the “Third Amendment”) with Wells Fargo Bank, National Association, as administrative agent (in such capacity, the “Administrative Agent”), Oscar Management Corporation, as a subsidiary guarantor and the lenders party thereto, which amends the Credit Agreement, dated as of February 21, 2021 (as amended by the First Amendment to Credit Agreement, dated as of January 27, 2022, and as further amended by the Second Amendment to Credit Agreement, dated as of July 21, 2023, the “Credit Agreement” and as amended by the Third Amendment, the “Amended Credit Agreement”). The Third Amendment amended the Credit Agreement to, among other things: (i) extend the maturity date of the revolving loan facility (as amended by the Third Amendment, the “Revolving Loan Facility”) to December 28, 2025 and (ii) decrease the total commitments under the Revolving Loan Facility to $115,000,000.”

UNITED FIRE GROUP INC incurred credit facility with Federal Home Loan Bank of Des Moines.

“ubsidiary of the Company, completed its admission to the membership of the Federal Home Loan Bank of Des Moines (“FHLB”) upon its acquisition of FHLB membership stock in exchange for $1,248,500.”