Debt Financings

Bionano Genomics, Inc. incurred senior notes of $35.0 million aggregate principal amount of senior secured convertible notes due 2025 with High Trail Special Situations LLC maturing 2025.

“securities purchase agreement (the “Purchase Agreement”) with High Trail Special Situations LLC (the “Purchaser”) pursuant to which the Company agreed to issue and sell , (i) in a”

Bionano Genomics, Inc. incurred senior notes of $45.0 million aggregate principal amount of senior secured convertible notes due 2025 with High Trail Special Situations LLC maturing 2025.

“securities purchase agreement (the “Purchase Agreement”) with High Trail Special Situations LLC (the “Purchaser”) pursuant to which the Company agreed to issue and sell , (i) in a”

TIPTREE INC. incurred revolving credit of $125.0 million with Fifth Third Bank, National Association at base rate plus an applicable interest margin or the term secured overnight finan maturing October 2026.

“On October 6, 2023, South Bay Financial Corporation (“SBAC”) and South Bay Funding LLC (“SBF”; together with SBAC (the “Borrowers”), subsidiaries of The Fortegra Group, Inc. (“Fortegra”) (a subsidiary of Tiptree Inc.), entered into a three-year $125.0 million secured credit agreement”

PAR PACIFIC HOLDINGS, INC. incurred credit facility of $900,000,000 with Wells Fargo Bank, National Association.

“Second Amendment provided for, among other things (i) incremental commitments that increase the total revolver commitment under the ABL Loan Agreement to $900,000,000”

MESA LABORATORIES INC /CO/ amended revolving credit of $125.0 million with JPMorgan Chase Bank, N.A..

“Chase Bank, N.A., as administrative agent. The terms of the original credit agreement, as amended, have not changed, except: 1) The Revolving Commitment has been increased to $125.0 million, from $75.0 million; and 2) Certain administrative amendments have been made to accommodate changes in the business. As of the date of this Form 8-K, no amounts have been drawn”

New Mountain Guardian IV Income Fund, L.L.C. amended credit facility of $35,000,000 with BMO Bank N.A..

“On October 5, 2023, New Mountain Guardian IV Income Fund, L.L.C. (the “ Company ”) entered into an amendment (the “Amendment” ) to the Loan Authorization Agreement by and among the Company and BMO Bank N.A. (formerly known as BMO Harris Bank N.A.), dated June 29, 2023 (as amended from time to time, the “Loan Agreement” ). Pursuant to the Amendment, among other things, the Amount of Maximum Credit (as defined therein) available under the Loan Agreement was increased to a maximum of $35,000,000, instead of a maximum of $15,000,000 in effect prior to the Amendment.”

MariaDB plc faced acceleration on loan with European Investment Bank.

“Under terms of the EIB Loan, transactions contemplated by the Note and the Security Agreement may allow the European Investment Bank to demand the Company immediately repay all amounts outstanding under the EIB Loan.”

MariaDB plc incurred senior notes of $26.5 million with RP Ventures LLC at ten percent (10%) per annum maturing the earlier of (i) January 10, 2024, (ii) the occurrence of a Change of Control... (iii) the occurrence of any breach of any of the documentation relating to th.

“On October 10, 2023 (the "Closing Date"), MariaDB plc (the "Company") issued a senior secured promissory note to RP Ventures LLC ("RP Ventures"), a Delaware limited liability company, in the principal amount of $26.5 million (the "Note").”

Nova Vision Acquisition Corp incurred loan of $69,763.37 with Nova Pulsar Holdings Limited at does not bear interest maturing upon the closing of a business combination.

“On October 6, 2023, Nova Vision Acquisition Corp. (the “Company”) issued an unsecured promissory note in the aggregate principal amount of $69,763.37 (the “Note”) to Nova Pulsar Holdings Limited, the Company’s initial public offering sponsor (“Sponsor”) in exchange for Sponsor 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.”

Enphys Acquisition Corp. incurred loan of maximum aggregate amount of Deposits shall be $400,000 with Enphys Acquisition Sponsor LLC maturing February 8, 2024.

“until the earlier of (i) the Company’s completion of a business combination and (ii) February 8, 2024 (the “Extended Date”). The maximum aggregate amount of Deposits shall be $400,000. The foregoing description of the Extension Note does not purport to be complete and is qualified in its entirety by reference to the full text of the Extension Note, a copy of”

iLearningEngines, Inc. incurred loan of $160,000 with Arrowroot Acquisition LLC at does not bear interest maturing upon closing of the Company's initial business combination.

“The board of directors of Arrowroot Acquisition Corp., a Delaware corporation (the “ Company ”), approved a draw of an aggregate of $160,000 (the “ Extension Funds ”) pursuant to the Promissory Note, dated as of March 6, 2023 (the “ Note ”), between the Company and Arrowroot Acquisition LLC (the “ Lender ”), which Extension Funds were deposited into the Company’s trust account for its public stockholders on October 4, 2023.”

Franklin BSP Capital Corp incurred credit facility of $400.0 million with JPMorgan Chase Bank, National Association, as administrative agent at benchmark rate, currently SOFR, plus a margin of 2.75% per annum maturing October 4, 2027.

“On October 4, 2023, Franklin BSP Capital Corporation (the “Corporation”) refinanced the $400.0 million credit facility”

Archer Aviation Inc. incurred credit facility of up to $65.0 million with Synovus Bank at SOFR, plus 2.00% subject to a SOFR floor of 0.00% maturing October 5, 2033.

“Pursuant to the Credit Agreement, the Company may request the Lenders to provide multiple delayed term loan advances (“Loans”) in an aggregate principal amount of up to $65.0 million for the construction and development of the Project, subject to certain limitations and requirements. The Loans under the Credit Agreement shall accrue interest from and”

BBX Capital, Inc. amended credit facility of temporarily increase availability under the revolving line of credit from $22.0 million to $24.5 million with The Toronto-Dominion Bank.

“On October 5, 2023, the TD Bank Credit Facility was further amended to, among other things, temporarily increase availability under the revolving line of credit from $22.0 million to $24.5 million through November 2023.”

SHIFT TECHNOLOGIES, INC. faced acceleration on credit facility with Ally Bank and Ally Financial Inc..

“The Inventory Financing and Security Agreement, dated as of December 9, 2021, as amended, by and among the Company, certain of the Company’s subsidiaries party thereto, Ally Bank and Ally Financial Inc.”

SHIFT TECHNOLOGIES, INC. faced acceleration on senior notes with SoftBank at 6.00% maturing 2025.

“6.00% Senior Unsecured Notes due 2025 (the “SoftBank Notes”) issued under that certain Note Purchase Agreement, dated as of May 11, 2022, by and between the Company, as issuer, certain of the Company’s subsidiaries party thereto, as guarantors, and SoftBank, as purchaser;”

SHIFT TECHNOLOGIES, INC. faced acceleration on convertible notes with U.S. Bank National Association at 4.75% maturing 2026.

“The filing of the Chapter 11 Cases constitutes an event of default that accelerated the obligations of the Company Parties under the following debt instruments and agreements (collectively, the “Debt Instruments”): ● The Company’s 4.75% Convertible Senior Notes due 2026 (the “Convertible Notes”) issued under that certain Indenture, dated as of May 27, 2021, by and between the Company, as issuer, and U.S. Bank National Association, as trustee (the “Indenture”);”

Lunai Bioworks Inc. incurred convertible notes of $2,105,264 with five investors at 12% per annum maturing September 5, 2024.

“Agreements with five investors (the “Investors”) to purchase 5% Original Issue Discount Convertible Promissory Notes (the “Notes”) for an aggregate principal amount of $2,105,264. The Company received a total of $2,000,000 in gross proceeds from the offering, taking into account the 5% original issue discount. The Notes bear an interest rate of 12%”

PROS Holdings, Inc. incurred senior notes of $116.8 million aggregate principal amount at 2.250% maturing September 15, 2027.

“On October 10, 2023, PROS Holdings, Inc. (“ PROS ”) settled the previously announced exchange agreements for the exchange of $122.0 million aggregate principal amount of its outstanding 1.00% Convertible Senior Notes due 2024 (the “ 2024 Notes ”) for newly issued $116.8 million aggregate principal amount of its outstanding 2.250% Convertible Senior Notes due 2027 (the “ 2027 Notes ”) (the “ Exchanges ”).”

HEALTHSTREAM INC incurred revolving credit of $50 million with Truist Bank at base rate plus .50% applicable margin or SOFR plus 1.50% applicable margin maturing October 6, 2026.

“The New Credit Facility consists of revolving loans in the maximum principal amount of $50 million”

AMGEN INC incurred term loan of $4 billion with Citibank, N.A., as administrative agent, Bank of America, N.A., as syndication agent, Citibank, Bank of America, Goldman Sachs Bank USA and Mizuho Bank, Ltd., as lead arrangers and book runners, and Goldman Sachs Bank USA and Mizuho Bank, Ltd., as documentation agents.

“On October 6, 2023, Amgen borrowed $4 billion under the Term Loan Credit Agreement”

Borealis Foods Inc. incurred loan of up to an aggregate principal amount of $6,000,000 with Oxus Capital PTE. LTD at non-interest bearing maturing due on the date on which Oxus consummates its initial business combination.

“On October 2, 2023, Oxus Acquisition Corp. (“ Oxus ”) entered into the Second Amended and Restated Promissory Note (the “ Amended Note ”) with Oxus Capital PTE. LTD (the “ Sponsor ”) pursuant to which Oxus may borrow up to an aggregate principal amount of $6,000,000.”

Local Bounti Corporation/DE amended credit facility with Cargill Financial Services International, Inc..

“Seventh Amendment to Credit Agreements As previously disclosed, in September 2021, Local Bounti Corporation (the “Company”), along with certain subsidiaries of the Company, and Cargill Financial Services International, Inc. (“Cargill Financial”) entered into (a) a credit agreement (the “Original Senior Credit Agreement”) and (b) a subordinated credit agreement (the “Original Subordinated Credit Agreement” and, together with the Original Senior Credit Agreement, the “Original Credit Agreements”).”

Serina Therapeutics, Inc. incurred loan of $500,000 with Juvenescence Limited maturing February 14, 2024.

“On October 3, 2023, AgeX drew $500,000 of its credit available under the Amended and Restated Secured Convertible Promissory Note, as amended, (“Secured Note”) with Juvenescence Limited.”

NEWELL BRANDS INC. incurred debt of up to $275 million with Royal Bank of Canada, as administrative agent at SOFR calculated based on term SOFR for a one-month interest period, plus 0.10% maturing three-year.

“The New A/R Facility provides for liquidity in an amount of up to $275 million between April and February of each year and up to $225 million at all other times.”

Cardiff Lexington Corp incurred debt of initial advance of not less than $500,000 and a maximum advance amount of $4,500,000 with DML HC Series, LLC Series 308 maturing two years from the date of the Agreement.

“On September 29, 2023 Cardiff Lexington Corporation (the “Company”) entered into a Revolving Purchase and Security Agreement (the “Agreement”) with Nova Ortho and Spine, PLLC, a Florida professional limited liability company and the Company’s wholly-owned subsidiary (“Nova”; the Company and Nova are referred to individually as “Seller” and collectively as, “Sellers”), and DML HC Series, LLC Series 308, a Texas limited liability company (the “Purchaser”) for a facility under which Purchaser will, from time to time, buy approved pools of accounts receivables from the Seller with an initial advance of not less than $500,000 and a maximum advance amount of $4,500,000.”

Fortune Rise Acquisition Corp incurred loan of $100,000 with Water On Demand, Inc. at non-interest bearing maturing earlier of (i) consummation of the Company's initial business combination and (ii) the date of the liquidation of the Company.

“ompany issued an unsecured promissory note (the “ Note ”) to Water On Demand, Inc., a Nevada corporation and the entity which controls the Company’s sponsor.”

FOXO TECHNOLOGIES INC. incurred loan of $42,500 with Andrew J. Poole at 13.25% per annum maturing one year from the issuance date.

“On October 2, 2023, FOXO Technologies Inc. (the “Company”) obtained a $42,500 loan from Andrew J. Poole, a director of the Company (the “Loan”), to be used to pay for the legal fees of Mitchell Silberberg & Knupp LLP through October 2023.”

NeueHealth, Inc. incurred term loan of $6.4 million with California State Teachers’ Retirement System.

“Existing Lender (as amended by Incremental Amendment No. 1, the “Amended Credit Agreement”) to provide for a term loan commitment increase in an aggregate principal amount of $6.4 million (the “Commitment Increase”) by the New Lender under the Amended Credit Agreement. Loans under the Commitment Increase will have the same terms as loans under the original term”

Priority Technology Holdings, Inc. incurred term loan of $50,000,000 with Truist Bank.

“for 2023-1 Incremental Term Loans (as defined in the Fourth Amendment) under the Credit Agreement from the 2023-1 Incremental Term Lender in an aggregate principal amount of $50,000,000. The 2023-1 Incremental Term Loans will be part of the same class of Initial Term Loans under the Credit Agreement, and subject to the same terms and secured and guarantied on”

NantHealth, Inc. reported a default on convertible notes of approximately $75 million in aggregate principal amount of Convertible Notes with Highbridge Capital Management, LLC at accrued interest (rate not specified) maturing October 18, 2023.

“On September 29, 2023, NantHealth, Inc. (the " Company ") received notice from U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association) (the " Trustee ") that, pursuant to the terms of the Amended and Restated Indenture, dated as of May 17, 2023 (as amended, restated, modified or supplemented from time to time, the " Convertible Notes Indenture "), by and among the Company, as issuer, NaviNet, Inc. and OpenNMS Group, Inc., as guarantors, and the Trustee, that Highbridge Capital Management, LLC and its affiliated funds (" Highbridge "), as holders of approximately $75 million in aggregate principal amount of Convertible Notes (the " Notes "), have exercised their right under the Convertible Note Indenture to require the Company to repurchase their Notes (the " Repurchase Right ") on October 18, 2023.”

Orgenesis Inc. incurred convertible notes of $25,000,000 (up to) with Sai Traders at 10% per annum maturing December 1, 2027.

“On September 29, 2023, Koligo Therapeutics Inc. (“Borrower”), a subsidiary of Orgenesis Inc. (the “Company”) entered into a convertible loan agreement (the “Convertible Loan Agreement”) with Sai Traders (the “Lender,” and together with the Borrower, the “Parties”), pursuant to which the Lender agreed to loan the Borrower up to $25,000,000 (the “Convertible Loan”).”

Willdan Group, Inc. incurred credit facility of $100.0 million term loan and $50.0 million revolving credit facility with BMO Bank, N.A. at Base Rate or adjusted SOFR plus an applicable margin ranging from 0.75% to 2.00% maturing September 29, 2026.

“by and among the Company, the guarantors party thereto, BMO as administrative agent and lender and the lenders party thereto. ​ The Credit Agreement provides for (i) a $100.0 million term loan (the “Term Loan”) and (ii) a $50.0 million revolving credit facility (the “Revolving Credit Facility”, and collectively with the Term Loan, the “Credit Facilities”),”

INVO Fertility, Inc. incurred loan of $1,500,000 with Decathlon Alpha V LP at based on a minimum amount that increases from thirty five percent (35%) of the L maturing June 29, 2028.

“under which the Lender made a revenue loan advance in the gross amount of $1,500,000”

NISOURCE INC. amended credit facility with JPMorgan Chase Bank, N.A., as Administrative Agent maturing March 15, 2024.

“change the definition of “Termination Date” from the earlier of December 19, 2023, and the date of termination of commitments or certain events of acceleration to the earlier of March 15, 2024, and the date of certain events of acceleration”

OCEANEERING INTERNATIONAL INC incurred senior notes of $200,000,000 aggregate principal amount with Initial purchasers (J.P. Morgan Securities LLC as representative) at 6.000% per annum maturing February 1, 2028.

“On October 2, 2023, Oceaneering International, Inc. (“Oceaneering”) completed a private placement (the “Offering”) of $200,000,000 aggregate principal amount of additional 6.000% Senior Notes due 2028 (the “2028 Notes”) to persons reasonably believed to be qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended (the “Securities Act”), and to non-U.S. persons outside the United States pursuant to Regulation S under the Securities Act.”

Sitio Royalties Corp. incurred senior notes of $600.0 million aggregate principal amount with Citibank, N.A., as trustee at 7.875% maturing November 1, 2028.

“On October 3, 2023, Sitio Royalties Operating Partnership, LP, a Delaware limited partnership (“Sitio OpCo”) and subsidiary of Sitio Royalties Corp., a Delaware corporation (NYSE: STR) (the “Company”), and Sitio Finance Corp., a Delaware corporation (“Finance Corp.” and, together with Sitio OpCo, the “Issuers”) and subsidiary of Sitio OpCo, issued and sold (the “Notes Offering”) $600.0 million aggregate principal amount of their 7.875% Senior Notes due 2028 (the “Notes”).”

TREASURE GLOBAL INC faced acceleration on convertible notes of aggregate principal amount of up to $5,500,000 with YA II PN, Ltd. at 4% per annum maturing twelve months.

“to the Securities Purchase Agreement the Buyer purchased two unsecured convertible debentures (the “ Convertible Debentures ”), in the aggregate principal amount of up to $5,500,000. Each of the Convertible Debentures has a term of twelve months and bears interest at 4% per annum. As of October 3, 2023 an aggregate of $3,550,000 remain outstanding under the”

Banzai International, Inc. incurred loan of up to an aggregate of $500,000 with 7GC & Co. Holdings LLC (Sponsor) at The Note does not bear interest maturing repayable in full upon the earlier of the consummation of a business combination or the date the Company liquidates the trust account.

“On October 3, 2023, 7GC & Co. Holdings Inc. (the “ Company ”) issued an unsecured promissory note (the “ Note ”) to 7GC & Co. Holdings LLC (the “ Sponsor ”), which provides for borrowings from time to time of up to an aggregate of $500,000 for working capital purposes.”

Inspirato Inc incurred convertible notes of $25,000,000 with Oakstone Ventures, Inc. at 8% maturing due 2028.

“sale and issuance to Oakstone Ventures, Inc. (the “Purchaser”) of an 8% Senior Secured Convertible Note due 2028 in an aggregate principal amount of $25,000,000”

Rackspace Technology, Inc. entered an off-balance-sheet arrangement for debt of $300 million aggregate purchase limit with PNC Bank, National Association.

“may continue to sell and transfer, such receivables to Purchaser and to other purchasers under the RPA (the "A/R Facility"). The A/R Facility has an aggregate purchase limit of $300 million and advances are permitted to the extent that the face amount of eligible receivables in the collateral pool exceeds the outstanding advances by a specified amount. On the”

Rackspace Technology, Inc. incurred revolving credit of $209.0 million.

“On the Closing Date, the Company drew $209.0 million under the A/R Facility and intends to use the proceeds for general corporate purposes, including investing into ongoing business needs and strategic initiatives, and to pre-pay the principal balance of $50.0 million outstanding under the Company's revolving credit facility.”

Rackspace Technology, Inc. incurred debt of $300 million aggregate purchase limit with PNC Bank, National Association at at the rate specified in the RPA maturing September 29, 2026.

“may continue to sell and transfer, such receivables to Purchaser and to other purchasers under the RPA (the "A/R Facility"). The A/R Facility has an aggregate purchase limit of $300 million and advances are permitted to the extent that the face amount of eligible receivables in the collateral pool exceeds the outstanding advances by a specified amount. On the”

XPLR Infrastructure, LP incurred revolving credit of $140 million.

“On September 28, 2023, NextEra Energy US Partners Holdings, LLC (NEP US Holdings), an indirect subsidiary of NextEra Energy Partners, LP (NEP), drew $140 million under an existing revolving credit facility”

V2X, Inc. incurred term loan of $911,125,000 with Royal Bank of Canada, as administrative agent and collateral agent, and the other financial institutions and lenders party thereto at SOFR plus a margin of 3.25% per annum maturing December 6, 2028.

“The Amendment provides for, among other things, a new tranche of term loans under the Credit Agreement in an aggregate original principal amount of $911,125,000 (the “New Term Loans”), which New Term Loans replace or refinance in full all of the existing term loans outstanding under the Credit Agreement (as in effect immediately prior to the Amendment), as further set forth in the Amendment.”

General Motors Co incurred revolving credit of $6.0 billion with JPMorgan Chase Bank, N.A., as administrative agent, and the other lenders named therein at Term SOFR loans, Daily Simple SOFR loans or an alternative base rate, each subje maturing October 1, 2024.

“JPMorgan Chase Bank, N.A., as administrative agent, and the other lenders named therein (the “Facility”). The Facility is unsecured, provides available borrowing capacity of $6.0 billion, and matures on October 1, 2024. Interest rates on obligations under the Facility are based on prevailing annual interest rates for Term SOFR loans, Daily Simple SOFR loans or an”

IMPEL PHARMACEUTICALS INC amended credit facility of $2,500,000 with Oaktree Fund Administration, LLC.

“of the Company under the Original Agreement. Under the Amended Credit Agreement, terms of the tranche B term loans funding were modified, and the Company drew an additional $2,500,000 of tranche B term loans, at signing of the Amended Credit Agreement (of which 75% was funded on October 2, 2023 and 25% is expected to be funded by October 5, 2023). The Company”

PENNSYLVANIA REAL ESTATE INVESTMENT TRUST incurred credit facility of $54 million with Wilmington Savings Fund Society, FSB maturing December 10, 2023.

“(collectively with the Trust and PREIT Associates, L.P., the “ Borrower ”), Wilmington Savings Fund Society, FSB, as administrative agent, and the lenders that are signatories thereto entered into that certain Second Amendment to Amended and Restated First Lien Credit Agreement (the “ Amendment ”), which amends that certain Amended and Restated First Lien Credit Agreement, dated as of December 10, 2020 (as amended by that certain Agency Resignation, Appointment, Acceptance and Waiver Agreement, dated as of April 13, 2021, that certain First Amendment to the First Lien Credit Agreement, dated as of May 12, 2023 and the Amendment, the “ First Lien Credit Agreement ”).”

Goldman Sachs Private Credit Corp. incurred revolving credit of $200,000,000 with BNP Paribas at 1-month or 3-month Term SOFR plus an applicable margin of 1.80% maturing three years after the closing date of the BNPP Revolving Credit Facility.

“period, the applicable margin on all outstanding advances will be 2.80% per annum. The initial principal amount of the commitments under the BNPP Revolving Credit Facility is $200,000,000. The BNPP Revolving Credit Facility also has an accordion provision, subject to the satisfaction of various conditions, which could bring total commitments under the BNPP”

DIH HOLDING US, INC. incurred loan of $810,000 with ATAC Sponsor LLC maturing upon the earlier of (a) the date of the consummation of the Company's initial business combination, or (b) the date of the Company's liquidation.

“the Company issued an unsecured promissory note to ATAC Sponsor LLC, sponsor of the Company (the “Sponsor”), with a principal amount equal to $810,000”