Unregistered sales and modifications of equity under 8-K Items 3.02/3.03.
American Assets Trust, Inc. issued common stock.
“the Board (i) increased the 2011 Excepted Holder Limit to 21.9% (in value or in number, whichever is more restrictive) of the outstanding shares of Common Stock (the “2026 Excepted Holder Limit”) and (ii) decreased each of the Aggregate Stock Ownership Limit and the Common Stock Ownership Limit (each as defined in the Charter) to 6.775% (in value or number, whichever is more restrictive).”
Evolution Metals & Technologies Corp. issued convertible note to YA II PN, LTD. (Yorkville) for $100,000,000 aggregate principal amount.
“The first Convertible Debenture (the “First Debenture”) in the principal amount of $20,000,000 was issued on May 7, 2026.”
Shreya Acquisition Group issued 191,750 units of unit to the Sponsor for $10.00 per Private Unit, generating total proceeds of $1,917,500.
“Simultaneously with the closing of the IPO, the Company consummated a private placement (the “Private Placement”) of an aggregate of 191,750 units (the “Private Units”) to the Sponsor, at a price of $10.00 per Private Unit, generating total proceeds of $1,917,500.”
Black Hawk Acquisition Corp issued convertible note to Black Hawk Management LLC for principal amount of up to $300,000.
“On May 4, 2026, Black Hawk Acquisition Corp., a Cayman Islands exempted company (the “Company”), issued a convertible promissory note (the “Note”) in the principal amount of up to $300,000 to Black Hawk Management LLC (the “Sponsor”).”
Audax Private Credit Fund, LLC issued 2,025,357.476 common shares of common stock to investors under subscription agreements for $50,000,000.
“On April 1, 2026, Audax Private Credit Fund, LLC (the “ Fund ”) sold limited liability company interest (the “ Shares ”). The purchase price per share and number of Shares issued was finalized on May 7, 2026. The purchase price per share was equal to $24.687. The following table details the Shares sold: Date of Issuance Common Shares Issued Total Consideration (in millions) April 1, 2026 2,025,357.476 $ 50.0”
NextTrip, Inc. issued 100,000 shares of the Common Stock of warrant to an accredited investor for $2.7550 per share.
“the Company issued and sold (a) an aggregate of 368,421 restricted shares of newly designated Series B Convertible Preferred Stock, par value $0.001, of the Company (the “Series B Preferred Shares”) plus 40,000 additional Series B Preferred Shares as an issuance fee; and (b) a five-year warrant (the “Warrant”) to purchase 100,000 shares of the Common Stock, par value $0.001 per share, of the Company (“Common Stock”) (the “Series B Offering”) at a purchase price of $2.7550 per share representing the Nasdaq Minimum Price plus $0.125 as of the date of the Purchase Agreement.”
NextTrip, Inc. issued 368,421 restricted shares of newly designated Series B Convertible Preferred Stock of preferred stock to an accredited investor for $2.7550 per share.
“the Company issued and sold (a) an aggregate of 368,421 restricted shares of newly designated Series B Convertible Preferred Stock, par value $0.001, of the Company (the “Series B Preferred Shares”) plus 40,000 additional Series B Preferred Shares as an issuance fee; and (b) a five-year warrant (the “Warrant”) to purchase 100,000 shares of the Common Stock, par value $0.001 per share, of the Company (“Common Stock”) (the “Series B Offering”) at a purchase price of $2.7550 per share representing the Nasdaq Minimum Price plus $0.125 as of the date of the Purchase Agreement.”
Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.