Debt Financings

IX Acquisition Corp. incurred convertible notes of up to $1 million with Sponsor at no interest 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.

“On April 13, 2023, the Sponsor advanced $160,000 to the Company for the first month of extension. In connection with the Contribution and advances the Sponsor may make in the future to the Company for working capital expenses, on April 13, 2023, the Company issued a convertible promissory note to the Sponsor with a principal amount up to $1 million (the “Note”).”

Bannix Acquisition Corp. incurred loan of $75,000 with Sponsor at no interest maturing upon the earlier of (a) the date of the consummation of Bannix’s initial business combination, or (b) the date of Bannix’s liquidation.

“On April 13, 2023, Bannix issued an unsecured promissory note to the Sponsor with a principal amount equal to $75,000 (the “Extension Note”).”

Industrial Tech Acquisitions II, Inc. incurred loan of up to $300,000 with Industrial Tech Partners II, LLC at no interest maturing upon the earlier to occur of (a) the date of the consummation of the Business Combination or (b) the date of the liquidation of the Company.

“On April 12, 2023, the Company issued a second promissory note (the “ Working Capital Loan Note ” and, together with the Extension Note, the “ Notes ”) in the principal amount of up to $300,000 to the Sponsor.”

Industrial Tech Acquisitions II, Inc. incurred loan of up to $280,000 with Industrial Tech Partners II, LLC at no interest maturing upon the earlier of (a) the date of the consummation of the Business Combination or (b) the date of the liquidation of the Company.

“On April 12, 2023, Industrial Tech Acquisitions II, Inc., a Delaware corporation (the “ Company ”) issued a promissory note (the “ Extension Note ”) in the principal amount of up to $280,000 to Industrial Tech Partners II, LLC (the “ Sponsor ”)”

Stardust Power Inc. incurred loan of $150,000 with Global Partner Sponsor II LLC at does not bear interest maturing upon closing of the Company’s initial business combination.

“On April 12, 2023, Global Partner Acquisition Corp II (the “Company”) drew an aggregate of $150,000 (the “Extension Funds”), pursuant to the Promissory Note, dated January 13, 2023 between the Company and Global Partner Sponsor II LLC (the “Note”)”

Fathom Holdings Inc. incurred convertible notes of $3,500,000 with an accredited investor at monthly average SOFR plus 5% per annum, minimum 8% maturing April 12, 2025.

“On April 13, 2023, Fathom Holdings Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with an accredited investor (the “Investor”) and issued a Senior Secured Convertible Promissory Note in principal amount of $3,500,000 (the “Note”), in a private placement (the “Offering”).”

Nikola Corp incurred convertible notes of $100.0 million aggregate principal amount with Antara Capital LP. at 8.00% per annum, to the extent paid in cash ... and 11.00% per annum, to the ext maturing May 31, 2026.

“in exchange for the Company’s issuance to the Investor of $100.0 million aggregate principal amount of the Company’s 8.00% / 11.00% Series B Convertible Senior PIK Toggle Notes due 2026”

Runway Growth Finance Corp. incurred senior notes of $25.0 million at 8.54% per year maturing April 13, 2026.

“governing the issuance of a 8.54% Series 2023A Senior Note due April 13, 2026 (the “Series 2023A Note”), in aggregate principal amount of $25.0 million”

Liberty Global Ltd. incurred term loan of EUR 1 billion (approximately $1.1 billion) with The Bank of Nova Scotia, BNP Paribas S.A., BNP Paribas Fortis S.A./N.V., National Westminster Bank plc, NatWest Markets Plc at EURIBOR plus (i) 4.00% per annum for the first year, (ii) 4.50% per annum for th maturing the date falling on the third anniversary of the earlier of (i) the first drawdown under Facility B and (ii) the date falling nine months after the date of the.

“the Initial Original Lenders have agreed to provide a EUR 1 billion (approximately $1.1 billion at the April 11, 2023 exchange rate) term loan facility”

Apollo Asset Management, Inc. incurred guarantee with Citibank, N.A..

“Pursuant to the Joinder, each New Guarantor guarantees to the Administrative Agent, for the benefit of the Issuing Banks and the Lenders, the prompt payment of the Loan Obligations in full when due as set forth in the Credit Agreement.”

Apollo Asset Management, Inc. incurred guarantee with Computershare Trust Company, National Association maturing due 2050.

“Pursuant to the First Supplemental Indenture, each New Guarantor agreed to fully and unconditionally, jointly and severally, with the Existing Guarantors, guarantee the Issuer’s 4.950% Fixed-Rate Resettable Subordinated Notes due 2050.”

Apollo Asset Management, Inc. incurred guarantee with Computershare Trust Company, National Association.

“Pursuant to the Tenth Supplemental Indenture, each New Guarantor agreed to fully and unconditionally, jointly and severally, with the Existing Guarantors, guarantee the Issuer’s: (i) 4.000% Senior Notes due 2024; (ii) 4.400% Senior Notes due 2026; (iii) 5.000% Senior Notes due 2048; (iv) 4.872% Senior Notes due 2029; and (v) 2.650% Senior Notes due 2030.”

SARATOGA INVESTMENT CORP. incurred senior notes of $50,000,000 aggregate principal amount at 8.50% per year maturing April 15, 2028.

“Advisors, LLC and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named in Schedule I thereto, in connection with the issuance and sale of $50,000,000 aggregate principal amount of the Company’s 8.50% Notes due 2028 (the “Notes” and the issuance and sale of the Notes, the “Offering”). The underwriters also may purchase from the”

Estrella Immunopharma, Inc. incurred loan of $45,511 with Estrella at no interest maturing upon the consummation of the Company's business combination.

“Estrella has deposited a monthly extension payment of $45,511 to the trust account of the Company to extend the deadline for the Company to complete the business combination contemplated therein by May 19, 2023. Such deposit is evidenced by an unsecured promissory note in the principal amount of o $45,511 issued by the Company to Estrella (the “Extension Note”).”

Hawks Acquisition Corp incurred debt of $0.03 for each outstanding share of Class A Common Stock (which shall not include shares of the Company's Class A common with Hawks Sponsor LLC at short-term applicable federal rate maturing the earlier of (1) the date the Company consummates a business combination and (2) the date that the winding up of the Company is effective.

“Hawks Sponsor LLC (the “Sponsor”) agreed to make monthly deposits directly to the trust account (the “Trust Account”) of Hawks Acquisition Corp (the “Company”) in the amount of $0.03 for each outstanding share of Class A Common Stock (which shall not include shares of the Company’s Class A common stock, par value $0.0001 per share (the “Class A Common Stock”)”

Leo Holdings Corp. II incurred loan of $240,000 with Leo Investors II Limited Partnership at does not bear interest maturing matures upon closing of the Company’s initial business combination.

“On April 11, 2023, Leo Holdings Corp. II (the “Company” or “Leo”) drew an aggregate of $240,000 (the “Extension Funds”), pursuant to the Promissory Note, dated January 12, 2023 between the Company and Leo Investors II Limited Partnership (the “Note”)”

FUSE GROUP HOLDING INC. incurred convertible notes of $50,000 with Liu Marketing (M) Sdn. Bhd. at 3% per annum maturing twenty-four months from the date that the purchase price of the Second Note is paid to the Company.

“the Company sold a Convertible Promissory Note to the Purchaser with a principal amount of $50,000 (the "Second Note"). The Second Note bears interest at the rate of 3% per annum, which are payable on April 10 of 2024 and 2025.”

FUSE GROUP HOLDING INC. incurred convertible notes of $50,000 with Liu Marketing (M) Sdn. Bhd. at 3% per annum maturing twenty-four months from the date that the purchase price of the First Note is paid to the Company.

“the Company sold a Convertible Promissory Note to the Purchaser with a principal amount of $50,000 (the "First Note"). The First Note bears interest at the rate of 3% per annum, which are payable on February 24 of 2024 and 2025.”

Ascent Solar Technologies, Inc. amended convertible notes with two institutional investors at at a price equal to 100% of the principal amount of the Advance Notes to be prep.

“On April 12, 2023, the Company and each of the Investors entered in a further amendment to the Amendment (the “Revised Amendment”), to provide for a consistent prepayment schedule for the Advance Notes held by each of the Investors.”

KKR & Co. Inc. incurred revolving credit of up to $750 million with Mizuho Bank, Ltd., as administrative agent at SOFR plus 1.50% to 2.75% maturing April 5, 2024.

“with a later maturity (the “Agreement”) with Mizuho Bank, Ltd., as administrative agent, and the lenders party thereto. The Agreement provides for revolving borrowings of up to $750 million, expires on April 5, 2024 and ranks pari passu with the existing $750 million revolving credit facility provided by them for KKR’s capital markets business. The prior 364-day”

SIFCO INDUSTRIES INC reported a default on credit facility with JPMorgan Chase Bank, N.A., as Lender.

“On April 5, 2023, the Company received written correspondence (the “Subsequent Notice”) with respect to the Credit Agreements in which Lender indicated further that (i) it is still in the process of evaluating the Existing Default described in the Notice; (ii) Lender may reduce the Reserves under the Borrowing Base in the Credit Agreements by up to $1,000,000”

Legacy IMBDS, Inc. incurred convertible notes of $3,500,000 at 7.75% per annum, increasing to 15% per annum effective January 1, 2024 maturing December 31, 2023.

“entered into a Loan Agreement (the “Loan Agreement”) with certain individuals and entities (each an “Investor”), for the purchase and sale of unsecured convertible promissory notes (the “Notes”) in the original aggregate principal amount of $3,500,000”

RAYMOND JAMES FINANCIAL INC amended credit facility of $750,000,000 with Bank of America, N.A. maturing April 6, 2028.

“The Amended and Restated Credit Agreement amends and restates the Credit Agreement to (i) extend the maturity date for any borrowings under the Amended and Restated Credit Agreement to April 6, 2028, (ii) increase the facility amount to $750,000,000 and (iii) modify the interest rate provisions to allow for borrowings in alternative currencies.”

Jushi Holdings Inc. incurred loan of twenty million dollars ($20,000,000) with FVCbank at 30-day average secured overnight financing rate plus 3.55%, with a floor rate of maturing five (5) year term.

“On April 6, 2023, subsidiaries of Jushi Holdings Inc. (the “Company”) entered into a loan agreement (the “Loan Agreement”) with FVCbank (the “Lender”) for a commercial loan in an aggregate principal amount of twenty million dollars ($20,000,000) (the “Loan”). The Loan has a five (5) year term and is principally secured by the Company’s cultivation and manufacturing facility located in Manassas, Virginia (the “Property”). The Loan will bear interest based on the 30-day average secured overnight financing rate plus 3.55%, with a floor rate of not less than 8.25%.”

Semnur Pharmaceuticals, Inc. incurred convertible notes of up to $825,000 with Denali Capital Global Investments LLC at interest equivalent to the lowest short-term Applicable Federal Rate maturing upon the earlier of (i) the closing of Denali's initial business combination and (ii) the date of the liquidation of Denali.

“On April 11, 2023, Denali issued a convertible promissory note (the "Convertible Promissory Note") in the total principal amount of up to $825,000 to the Sponsor.”

Acri Capital Acquisition Corp incurred loan of $227,730.87 with Acri Capital Sponsor LLC 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.

“In connection with the Monthly Extension Payment, the Company issued an unsecured promissory note of $227,730.87 (the “ Note ”) to its sponsor, Acri Capital Sponsor LLC (the “ Sponsor ”). The Note is non-interest bearing and payable (subject to the waiver against trust provisions) on the earlier of (i) consummation of the Company’s initial business combination and (ii) the date of the liquidation of the Company.”

Allarity Therapeutics, Inc. incurred convertible notes of $350,000 with 3i, LP at 5% per annum maturing January 1, 2024.

“On April 11, 2023, 3i purchased an additional note for an aggregate amount of $350,000, which purchase price was paid for in cash. Each note issued under the Purchase Agreement matures on January 1, 2024, carries an interest rate of at 5% per annum, and is secured by all of the Company’s assets pursuant to a security agreement”

Nova Vision Acquisition Corp incurred loan of $75,030.26 with Nova Pulsar Holdings Limited maturing upon the closing of a business combination.

“On April 5, 2023, Nova Vision Acquisition Corp. (the “Company”) issued an unsecured promissory note in the aggregate principal amount of $75,030.26 (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.”

Spectaire Holdings Inc. amended convertible notes of up to $1,200,000 with Perception Capital Partners II LLC at will not bear any interest maturing upon the earlier of (i) the date by which the company must complete an initial business combination and (ii) the consummation of an initial business combination.

“On April 10, 2023, the company issued an amended and restated convertible promissory note (the “A&R extension loan”) to the sponsor, which amended and restated the original extension loan in its entirety to, among other things, increase the aggregate principal amount available thereunder from $720,000 to $1,200,000”

Janus International Group, Inc. amended revolving credit at replaces the interest rate based on the London Interbank Offered Rate ("LIBOR").

“The Amendment, among other things, (i) replaces the interest rate based on the London Interbank Offered Rate ("LIBOR") and related LIBOR-based mechanics applicable to borrowings under the ABL Agreement with an interest rate based on the Secured Overnight Financing Rate ("SOFR") and related SOFR-based mechanics”

System1, Inc. incurred revolving credit of $20.0 million with Lone Star Friends Trust and CEE Holding Trust at SOFR plus 3.15% maturing July 10, 2024.

“Orchid Sub entered into a $20.0 million Revolving Note with the Lenders party thereto”

Tattooed Chef, Inc. incurred loan of $2,000,000 with Salvatore Galletti at daily adjusting term SOFR rate + 3.0% per annum maturing September 30, 2025.

“On April 7, 2023, Tattooed Chef, Inc. (the “Company”) received a $2,000,000 unsecured loan from the Company’s CEO and Chairman of the Board, Salvatore Galletti.”

Datavault AI Inc. reported a default on convertible notes of outstanding principal amount of a senior secured convertible note with institutional investor (August Investor).

“The Company intends to use a portion of the net proceeds of the offering to partially or fully repay the outstanding principal amount of a senior secured convertible note issued to an institutional investor (the “August Investor”) on August 15, 2022, as amended (the “Convertible Note”)”

Evolve Transition Infrastructure LP amended credit facility of from an aggregate principal amount of $65 million to an aggregate principal amount of up to $20 million with Royal Bank of Canada maturing September 30, 2025.

“reduction of the term loan facility from an aggregate principal amount of $65 million to an aggregate principal amount of up to $20 million”

TurnOnGreen, Inc. incurred loan of $300,000 with FAR Holdings International, LLC at bears no interest maturing July 6, 2023.

“the Company borrowed $250,000 and issued a promissory note to the Investor in the principal face amount of $300,000”

DOVER Corp incurred revolving credit of $500 million with JPMorgan Chase Bank, N.A. as Administrative Agent at applicable margin ranging from 0.825% to 1.250% over SOFR or alternate base rate maturing April 4, 2024 (with a one-year Term-Out Option to April 4, 2025).

“On April 6, 2023 the Company also entered into a $500 million 364-day revolving credit facility with the same syndicate of Lenders, pursuant to a 364-Day Revolving Credit Agreement dated as of April 6, 2023 (the “364-Day Credit Agreement” and together with the Five-Year Credit Agreement, the “Credit Agreements”) among the Company, the Lenders and the Agent.”

DOVER Corp incurred revolving credit of $1 billion with JPMorgan Chase Bank, N.A. as Administrative Agent at applicable margin ranging from 0.805% to 1.20% over SOFR or alternate base rate maturing April 6, 2028.

“Replacing a similar existing credit facility with a remaining term of one year, on April 6, 2023, Dover Corporation (the “Company”) entered into a $1 billion five-year unsecured revolving credit facility with a syndicate of twelve banks (the “Lenders”), pursuant to a Credit Agreement dated as of April 6, 2023 (the “Five-Year Credit Agreement”) among the Company, the Lenders, the Issuing Banks party thereto, the Borrowing Subsidiaries party thereto from time to time and JPMorgan Chase Bank, N.A. as Administrative Agent (the “Agent”).”

Battery Future Acquisition Corp. incurred convertible notes of $1,000,000 with Pala Investments Limited at ten percent (10.00%) per annum maturing the earlier of (i) June 16, 2023 (as may be extended in accordance with the terms of the Note) and (ii) the effective date of a business combination.

“On April 5, 2023, Battery Future Acquisition Corp. (“BFAC”) issued an unsecured convertible promissory note in the aggregate principal amount of $1,000,000 (the “Note”) to Pala Investments Limited (“Pala”)”

Perception Capital Corp. III incurred loan of up to $1,250,000 with PFTA I LP at non-interest bearing maturing on the earlier of July 23, 2023 and the date on which the Company consummates a business combination.

“On April 5, 2023, Portage Fintech Acquisition Corporation (the “Company”) issued a promissory note (the “Promissory Note”) to its sponsor, PFTA I LP, an Ontario limited partnership (the “Sponsor”), pursuant to which the Company may borrow up to $1,250,000 from the Sponsor to fund the Company’s working capital expenses prior to completion of any potential initial business combination. Also on April 5, 2023, the Company made a draw on the Promissory Note of $1,250,000. The Promissory Note is non-interest bearing and payable on the earlier of July 23, 2023 and the date on which the Company consummates a business combination.”

Eos Energy Enterprises, Inc. incurred senior notes of $15.0 million with YA II PN, LTD at 5.0% maturing August 31, 2023.

“the Company issued and sold a convertible promissory note with an aggregate principal amount of $15.0 million (the “Promissory Note”) in a private placement to Yorkville”

Financial Strategies Acquisition Corp. incurred loan of $50,000 with Temmelig Investor LLC at does not bear interest maturing the earlier of (a) the closing of a Business Combination and (b) the Company’s liquidation.

“On April 11, 2023, the Company effected the fifth drawdown of $50,000 under the Promissory Note”

Koppers Holdings Inc. incurred term loan of $400,000,000 with PNC Bank, National Association, as revolving administrative agent, collateral agent and swingline loan lender, and Wells Fargo Bank, National Association, as term administrative agent at adjusted Term SOFR Rate or adjusted Daily Simple SOFR, in each case plus 4.00% w maturing April 10, 2030.

“On April 10, 2023 (the “Closing Date”), Koppers Inc. (“Koppers” or the “Company”), a wholly-owned subsidiary of Koppers Holdings Inc. (“Holdings”), entered into Amendment No. 1 (“Amendment No. 1”) to the Credit Agreement, dated June 17, 2022, with Holdings, certain lenders and letter of credit issuers, PNC Bank, National Association, as revolving administrative agent, collateral agent and swingline loan lender, and Wells Fargo Bank, National Association, as term administrative agent (the “Credit Agreement”). Pursuant to Amendment No. 1, the Credit Agreement was amended to, among other things, add a new class of senior secured term loans under the Credit Agreement in an aggregate principal amount of $400,000,000 (the “Term Loan B”).”

HORTON D R INC /DE/ incurred credit facility of up to $300 million with Royal Bank of Canada at SOFR plus a pricing spread.

“The Repurchase Facility provides DHI Mortgage with uncommitted borrowing capacity of up to $300 million.”

ARIZONA PUBLIC SERVICE CO incurred revolving credit of up to $1.25 billion with Barclays Bank PLC, as Agent, Co-Sustainability Structuring Agent and Issuing Bank, Mizuho Bank, Ltd., as Co-Syndication Agent, Co-Sustainability Structuring Agent and Issuing Bank, Wells Fargo Bank, National Association, as Co-Syndication Agent and Issuing Bank, Bank of America, N.A., JPMorgan Chase maturing through April 10, 2028.

“On April 10, 2023, APS entered into a five-year unsecured revolving credit facility (the “APS Facility”) with Barclays Bank PLC, as Agent, Co-Sustainability Structuring Agent and Issuing Bank, Mizuho Bank, Ltd., as Co-Syndication Agent, Co-Sustainability Structuring Agent and Issuing Bank, Wells Fargo Bank, National Association, as Co-Syndication Agent and Issuing Bank, Bank of America, N.A., JPMorgan Chase Bank, N.A., MUFG Bank, Ltd., PNC Bank, National Association, and Truist Bank, as Co-Documentation Agents and Issuing Banks, the other lender parties thereto, allowing APS to borrow, repay and reborrow, from time to time, up to $1.25 billion through April 10, 2028.”

ARIZONA PUBLIC SERVICE CO incurred revolving credit of up to $200 million with Barclays Bank PLC, as Agent, Co-Sustainability Structuring Agent and Issuing Bank, Mizuho Bank, Ltd., as Co-Syndication Agent, Co-Sustainability Structuring Agent and Issuing Bank, Wells Fargo Bank, National Association, as Co-Syndication Agent and Issuing Bank, Bank of America, N.A., JPMorgan Chase maturing through April 10, 2028.

“On April 10, 2023, Pinnacle West entered into a five-year unsecured revolving credit facility (the “Pinnacle West Facility”) with Barclays Bank PLC, as Agent, Co-Sustainability Structuring Agent and Issuing Bank, Mizuho Bank, Ltd., as Co-Syndication Agent, Co-Sustainability Structuring Agent and Issuing Bank, Wells Fargo Bank, National Association, as Co-Syndication Agent and Issuing Bank, Bank of America, N.A., JPMorgan Chase Bank, N.A., MUFG Bank, Ltd., PNC Bank, National Association, and Truist Bank, as Co-Documentation Agents and Issuing Banks, the other lender parties thereto, allowing Pinnacle West to borrow, repay and reborrow, from time to time, up to $200 million through April 10, 2028.”

Schultze Special Purpose Acquisition Corp. II incurred loan of up to $840,000 with Schultze Special Purpose Acquisition Sponsor II, LLC at does not bear interest maturing the earlier of: (i) the date on which the Company consummates its initial business combination and (ii) the date that the winding up of the Company is effective.

“On April 10, 2023, in connection with the implementation of the Extension (as defined below), Schultze Special Purpose Acquisition Corp. II (the “Company”) issued an unsecured promissory note (the “Note”) in the principal amount of up to $840,000 to Schultze Special Purpose Acquisition Sponsor II, LLC (the “Sponsor”)”

NEXTNRG, INC. incurred loan of $262,500 with The Farkas Group, Inc. at 5% per annum for the first month and 13% per annum thereafter maturing April 4, 2024.

“is the beneficial owner of approximately 26% of the Company’s common stock and is the sole shareholder and President of the Lender. The Promissory Note has a principal sum of $262,500 including original issue discount of $12,500 and matures on April 4, 2024 (the “Maturity Date”). The unpaid principal balance of the Promissory Note from time to time outstanding”

XPEL, Inc. incurred revolving credit of up to $125 million with Wells Fargo Bank, N.A. at Base Rate or Adjusted Term SOFR plus an applicable margin ranging from 0.00% to.

“On April 6, 2023, XPEL, Inc. (“XPEL”) entered into a Credit Agreement (“Credit Agreement”) with Wells Fargo Bank, N.A., as Administrative Agent, and other lenders party thereto. The Credit Agreement provides for secured revolving loans and letters of credit in an aggregate amount of up to $125 million.”

AGILITI, INC. \DE amended revolving credit of $300,000,000 revolving credit facility with JPMorgan Chase Bank, N.A., as administrative agent and collateral agent at Adjusted EURIBOR, Daily Simple RFR or Term SOFR plus 2.75% maturing April 6, 2028.

“among other things (i) provides for a refinancing of the existing revolving credit facility through a replacement of the existing $250,000,000 revolving credit facility with a $300,000,000 revolving credit facility (the “Revolving Credit Facility”), which shall be on the same terms as the existing revolving credit facility (with the exception of the maturity date”

CNH Industrial Capital LLC incurred senior notes of $600 million with Deutsche Bank Securities Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. LLC, MUFG Securities Americas Inc., BBVA Securities Inc., Credit Agricole Securities (USA) Inc., Mizuho Securities USA LLC, Rabo Securities USA, Inc. at 4.550% maturing April 10, 2028.

“CNH Industrial Capital LLC, has completed its previously announced offering of $600 million in aggregate principal amount of 4.550% notes due 2028, with an issue price of 98.857%.”