Equity Issuances

BIOTRICITY INC. issued an aggregate of 1,957,297 shares of newly created Series C Preferred Stock of preferred stock to holders of Exchange Securities (Exchange Holders) for exchange of Exchange Securities consisting of common stock, options, and warrants.

“the Exchange Holders exchanged their Exchange Securities for an aggregate of 1,957,297 shares of newly created Series C Preferred Stock of the Company (on the basis of ten Exchange Securities for one share of Series C Preferred Stock).”

Cue Biopharma, Inc. issued up to 551,724 shares of common stock of warrant to Ascendant Health Sciences Ltd..

“the Company agreed to issue to the Licensor at an initial closing (the “Initial Closing”) pre-funded warrants (the “Initial Closing Pre-Funded Warrants”) to purchase up to 551,724 shares of common stock, $0.001 par value per share, of the Company (the “Common Stock”), as partial consideration for the license and rights granted under the License Agreement.”

Z Squared Inc. issued shares of restricted Common Stock having an aggregate value of $100,000 of common stock to MZHCI, LLC for investor relations consulting services.

“Effective as of December 8, 2025, the Company entered into an Investor Relations Consulting Agreement (the “MZHCI Agreement”) with MZHCI, LLC, an MZ Group company (“MZHCI”), pursuant to which MZHCI agreed to provide investor relations consulting services to the Company, including investor outreach, financial media coordination, IR website design and hosting, and related services. As compensation for the services, the Company agreed to (i) pay MZHCI a monthly cash fee, (ii) issue to MZHCI shares of restricted Common Stock having an aggregate value of $100,000, valued at the closing price of the Common Stock on April 24, 2026 (the “MZHCI Initial Shares”), within 60 days following the signing of the MZHCI Agreement, and (iii) pay one-time performance-based bonuses”

Z Squared Inc. issued up to an aggregate of 566,000 shares of Common Stock of common stock to Moneta Advisory Partners, LLC for investor relations, content, media, and advisory services.

“On January 23, 2026, the Company entered into a Corporate Services Agreement (the “MAP Agreement”) with Moneta Advisory Partners, LLC (“MAP”), pursuant to which MAP agreed to provide investor relations, content, media, and advisory services to the Company for a one-year term. As compensation for the services, the Company agreed to issue to MAP up to an aggregate of 566,000 shares of Common Stock (the “MAP Shares”), consisting of 11,000 shares issuable upon signing, up to 415,000 target shares issuable upon achievement of specified performance milestones, and up to 140,000 bonus pool shares issuable upon achievement of additional milestones, in each case as set forth in the Milestone-Based Equity Award Schedule attached to the MAP Agreement and subject to written verification and certification by the Compensation Committee of the Board of Directors (the “Board”) of achievement of each applicable milestone. The MAP Shares are subject to the leak-out and lock-up provisions set forth in th”

Z Squared Inc. issued 200,000 shares of Common Stock of common stock to Adam K. Wasserman for consulting services pursuant to consulting agreement amendment.

“On April 27, 2026, the Company entered into an amendment (the “Group 10 Amendment”) to its consulting agreement with Group 10 Holdings LLC (“Group 10”), pursuant to which, among other things, the Company agreed to issue 200,000 shares of Common Stock (the “Wasserman Shares”) to Adam K. Wasserman, the principal of Group 10. The issuance of the Wasserman Shares is also reported under Item 3.02 of this Current Report on Form 8-K.”

Veradermics, Inc issued 300,000 shares of warrant to entities affiliated with Suvretta Capital for $99.99999 per Pre-Funded Warrant.

“the Company sold to the Investors pre-funded warrants (the “Pre-Funded Warrants”) to purchase an aggregate of 300,000 shares of Common Stock, at an offering price of $99.99999 per Pre-Funded Warrant”

Borealis Foods Inc. issued common stock to Oxus Capital PTE Ltd. for up to approximately $2.0 million in Year 1 Interest.

“the Credit Agreement provides for the potential issuance of Common Shares to Oxus in satisfaction of up to approximately $2.0 million in Year 1 Interest at Oxus's election”

Borealis Foods Inc. issued common stock to Oxus Capital PTE Ltd., Reza Soltanzadeh, Barthelemy Helg for approximately $33.3 million in aggregate Indebtedness (inclusive of accrued interest).

“the Conversion Agreement provides for the potential issuance of Common Shares to the Shareholders upon the automatic conversion of approximately $33.3 million in aggregate Indebtedness (inclusive of accrued interest)”

Senti Biosciences, Inc. issued Senior Secured Convertible Notes convertible into shares of common stock of the Company, Senti Biosciences, and Senti Holdings of convertible note to Celadon Partners SPV 24 for $40.0 million aggregate principal amount (initial tranche of $10.0 million).

“On April 27, 2026, Senti Biosciences Holdings, Inc. (the “Company”), Senti Holdings, Inc., a direct, wholly owned subsidiary of the Company (“Senti Holdings”), and Senti Biosciences, Inc., a direct wholly owned subsidiary of Senti Biosciences Holdings (“Senti Biosciences”), entered into a securities purchase agreement (the “Securities Purchase Agreement”) with one accredited investor (the “Investor”), pursuant to which Senti Holdings agreed to issue and sell in a private placement up to $40.0 million in aggregate principal amount of its Senior Secured Convertible Notes (the “Notes”) in up to two tranches, subject to the satisfaction of certain specified closing conditions.”

DevvStream Corp. issued 250,025 Pre-Funded Warrants of warrant to Helena Partners Inc. for aggregate gross proceeds of $250,000.

“On April 27, 2026, in connection with the Offering described in Item 1.01 of this Current Report on Form 8-K (which description is incorporated by reference herein), the Company sold 250,025 Pre-Funded Warrants to Helena Partners Inc. for aggregate gross proceeds of $250,000.”

CERO THERAPEUTICS HOLDINGS, INC. issued convertible note to Keystone Capital Partners, LLC for $400,000.

“On April 27, 2026, CERo Therapeutics Holdings, Inc., a Delaware corporation (the “Company”) issued and sold a convertible promissory note for an purchase price of $400,000, having a principal face value of $500,000 (the “Note”) to Keystone Capital Partners, LLC (“Lender”).”

Advanced Biomed Inc. issued 270,000 shares of common stock to Mr. Xiaomin Chen for $1,080,000.

“n aggregate estimated consideration of $1,080,000. The shares was issued in reliance on Section 4(a)(2) of the Securities Act of 1933, as amended, and the transaction was completed on April 30, 2026. Item 3.02 Unregistered Sales”

PERSHING SQUARE INC. issued 16,643,862 shares of Common Stock of common stock.

“On April 30, 2026, the Company delivered 16,643,862 shares of Common Stock in a private placement transaction exempt from registration under the Securities Act (the " Private Placement ").”

Sound Point Direct Lending BDC issued approximately 1,932,356 common shares of common stock for aggregate offering price of approximately $47,767,833.

“On April 17, 2026, Sound Point Direct Lending BDC (the “Company”) delivered a capital drawdown notice to investors relating to the sale of approximately 1,932,356 common shares of beneficial interest, par value $0.001 per share (the “Shares”), for an aggregate offering price of approximately $47,767,833.”

RRE Ventures Acquisition Corp. issued 7,010,000 Private Placement Warrants of warrant to the Sponsor, Cohen and Clear Street for $1.00 per Private Placement Warrant, generating total proceeds of $7,010,000.

“simultaneously with the closing of the IPO, pursuant to the Sponsor Private Placement Warrants Purchase Agreement, the Cohen Private Placement Warrants Agreement and the Clear Street Private Placement Warrants Agreement, the Company consummated the private placement of 7,010,000 Private Placement Warrants, in the aggregate, at a price of $1.00 per Private Placement Warrant, generating total proceeds of $7,010,000”

Ally Financial Inc. issued preferred stock.

“On April 29, 2026, Ally Financial Inc. (“Ally”) filed a Certificate of Designation (the “Certificate”) with the Secretary of State of the State of Delaware, establishing the rights, preferences, privileges, qualifications, restrictions and limitations of Ally’s 7.100% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series D (the “Series D Preferred Stock”).”

Glucotrack, Inc. issued 1,300,000 shares of common stock to an investor for exchange of Partitioned Note for no additional consideration.

“the Company and the Investor further agreed to exchange the Partitioned Note for an aggregate of 1,300,000 shares of the Company's common stock, no par value per share”

Greenpro Capital Corp. issued 107,310 shares of common stock to Mr. Lee Chong Kuang for $2.3297 per share.

“(the “Purchaser”) providing for the private placement of 107,310 shares of the Company’s common stock, par value $0.0001 (the “Common Stock”), at a per share purchase price of $2.3297 (the “Offering”) for aggregate gross proceeds of $250,000. The Offering closed on April 28, 2026. Following completion of the Offering, the Company had a total of 18,033,123”

AI Era Corp. issued convertible note to Lambda Ventures, LLC for purchase price of $50,000.00.

“Pursuant to the Purchase Agreement, the Company issued and sold to the Buyer a convertible promissory note (the “Note”) in the aggregate principal amount of $51,500.00 (which includes a $1,500.00 original issue discount) for a purchase price of $50,000.00.”

BayFirst Financial Corp. issued 4,000 shares (the "Series D Shares") of the Company's Mandatorily Convertible Cumulative Perpetual Preferred Stock, Series D, no par value (the "Series D Prefer of preferred stock to Kenneth R. Lehman and other investors for gross proceeds of $80,000,000.

“On April 28, 2026, BayFirst Financial Corp. (the “Company”) entered into a Securities Purchase Agreement (the “Securities Purchase Agreement”) with Kenneth R. Lehman and other investors (each, a “Purchaser” and collectively, the “Purchasers”). Pursuant to the Securities Purchase Agreement, on that same date, the Company issued and sold to the Purchasers, in the aggregate: (i) 4,000 shares (the “Series D Shares”) of the Company’s Mandatorily Convertible Cumulative Perpetual Preferred Stock, Series D, no par value (the “Series D Preferred Stock”), at a purchase price of $10,000 per Series D Share; and (ii) 4,000 shares (the “Series E Shares” and together with the Series D Shares, the “Preferred Shares”) of the Company’s Mandatorily Convertible Cumulative Perpetual Preferred Stock, Series E, no par value, at a purchase price of $10,000 per Series E Share, in a private placement (the “Private Placement”), for gross proceeds of $80,000,000.”

DYNAMIC AEROSPACE SYSTEMS Corp issued 500,000 shares of common stock to Tyler Troup.

“On April 24, 2026, the Company entered into an Advisory Consulting Services Agreement (the “Agreement”) with Tyler Troup (“Tyler”). The Company agreed to issue 500,000 shares of its restricted common stock to Tyler for providing the services.”

DYNAMIC AEROSPACE SYSTEMS Corp issued warrants to purchase 199,275 shares of warrant to LABRYS FUND II, L.P. for exercise price of $0.65.

“In connection with the financing, the Company issued five-year warrants to purchase 199,275 shares of the Company’s common stock at an exercise price of $0.65.”

DYNAMIC AEROSPACE SYSTEMS Corp issued 20,000 shares of common stock to LABRYS FUND II, L.P..

“the Company issued 20,000 shares of the Company’s Common Stock to the Buyer as a commitment fee (the “Commitment Shares”).”

DYNAMIC AEROSPACE SYSTEMS Corp issued convertible note to LABRYS FUND II, L.P. for aggregate principal amount of $275,000.

“On April 28, 2026, Dynamic Aerospace Systems Corporation, a Nevada corporation (the “Company”) issued a Convertible Promissory Note (the “Note”) to LABRYS FUND II, L.P., a Delaware limited partnership (the “Buyer”) in the aggregate principal amount of $275,000.”

Rivian Automotive, Inc. / DE issued 62,889,522 shares of common stock to Volkswagen Group for $1.0 billion / $15.90 per share.

“on April 30, 2026, upon receipt of $1.0 billion from Volkswagen Group, Rivian issued 62,889,522 shares of its Class A common stock to Volkswagen Group at a purchase price per share of $15.90.”

Silver Point Private Credit Fund issued 949,126 of its unregistered common shares of common stock for aggregate offering price of $25,303,697, reflecting a purchase price of $26.66 per Share.

“Silver Point Private Credit Fund (the “Fund) issued and sold 949,126 of its unregistered common shares of beneficial interest, par value $0.01 per share (the “Shares”), for an aggregate offering price of $25,303,697, reflecting a purchase price of $26.66 per Share (with the final number of Shares being determined on April 24, 2026).”

CID Holdco, Inc. issued convertible note to the Holder for original principal amount of $287,500.

“on April 24, 2026, the Company issued the Note to the Holder with an original principal amount of $287,500. The Note is convertible into shares of Common Stock”

Plutonian Acquisition Corp. II issued 210,000 units of unit to the Sponsor for $10.00 per Private Unit.

“Simultaneously with the closing of the IPO, the Company consummated a private placement (the “Private Placement”) of an aggregate of 210,000 units (the “Private Units”) to the Sponsor at a price of $10.00 per Private Unit, generating total proceeds of $2,100,000.”

Agassi Sports Entertainment Corp. issued 50,000 shares of common stock to Investments AKA, LLC for $5.00 per share, or a total of $250,000.

“Investments AKA purchased an aggregate of 50,000 shares of restricted common stock from the Company, for $5.00 per share, or a total of $250,000.”

CalEthos, Inc. issued up to 5,000,000 shares of our common stock of warrant to SFO IDF LLC for a loan to us in the amount of $15,000,000.

“SFO IDF LLC, a company owned and controlled by a trust established for the benefit of certain family members of Sean Fontenot, a director of our company, the trustees of which are independent and not affiliated with Mr. Fontenot ("SFO IDF"), made a loan to us in the amount of $15,000,000 in consideration for which we issued to SFO IDF a promissory note in the principal amount of $15,000,000 that bears interest at the rate of 8% per annum and matures on December 31, 2028 (the "Note") and a seven-year warrant to purchase up to 5,000,000 shares of our common stock with an exercise price of $0.50 per share (the "Warrant").”

XMax Inc. issued 8,550,000 shares of common stock to six non-U.S. investors for at a purchase price of $3.64 per share for an aggregate offering price of $31,122,000.

“On April 24, 2026, XMax Inc. (the “ Company ”) entered into Securities Purchase Agreements (the “ Agreements ”) with six non-U.S. investors (the “ Purchasers ”), pursuant to which the Company agreed to sell to the Purchasers in a private placement for a total of 8,550,000 shares (the “ Shares ”) of the Company’s common stock, par value $0.001 per share (the “ Common Stock ”), at a purchase price of $3.64 per share for an aggregate offering price of $31,122,000 (the “ Private Placement ”).”

AUDDIA INC. issued 216,525 shares of common stock of common stock to accredited investors for exchange of 750 outstanding shares of Series C preferred stock.

“the Company entered into an exchange agreement (the “Exchange Agreement”) with the accredited investors to exchange 750 outstanding shares of the Company’s Series C preferred stock (including accrued dividends thereon) for 216,525 shares of common stock at an exchange price of $3.91 per common share”

Silver Point Specialty Lending Fund issued 182,017 of its unregistered common shares of common stock to existing shareholders for aggregate offering price of $5,000,000, reflecting a purchase price of $27.47 per Share.

“As of April 1, 2026, Silver Point Specialty Lending Fund (the “Fund”) issued and sold 182,017 of its unregistered common shares of beneficial interest, par value $0.001 per share (the “Shares”), for an aggregate offering price of $5,000,000, reflecting a purchase price of $27.47 per Share”

AMERICAN REBEL HOLDINGS INC issued common stock to Streeterville for issued Streeterville 202,702 shares of common stock pursuant to the exchange set forth in Item 1.01 above at a per share price of $0.592.

“On April 28, 2026, the Company issued Streeterville 405,000 shares of common stock pursuant to the exchanges set forth in Item 1.01 above at a per share price of $1.10.”

AMERICAN REBEL HOLDINGS INC issued common stock to Silverback Capital Corporation (“SCC”) for issued 200,000 shares of Common Stock to SCC, representing a payment of approximately $75,000.

“On April 28, 2026, Silverback Capital Corporation (“SCC”), pursuant to the Settlement Agreement and Stipulation dated as of October 28, 2025, as amended, requested the issuance of 200,000 shares of Common Stock to SCC, representing a payment of approximately $75,000.”

AMERICAN REBEL HOLDINGS INC issued preferred stock to seven holders of 183,553 shares of Series D Convertible Preferred Stock for converted 183,553 shares of Series D Convertible Preferred Stock into 917,765 shares of common stock.

“On April 27, 2026, seven holders of 183,553 shares of Series D Convertible Preferred Stock converted such shares into 917,765 shares of common stock.”

AMERICAN REBEL HOLDINGS INC issued preferred stock to two holders of 69,750 shares of Series D Convertible Preferred Stock for converted 69,750 shares of Series D Convertible Preferred Stock into 348,750 shares of common stock.

“On April 17, 2026, two holders of 69,750 shares of Series D Convertible Preferred Stock converted such shares into 348,750 shares of common stock.”

AMERICAN REBEL HOLDINGS INC issued preferred stock to two holders of 66,448 shares of Series D Convertible Preferred Stock for converted 66,448 shares of Series D Convertible Preferred Stock into 332,240 shares of common stock.

“On April 13, 2026, two holders of 66,448 shares of Series D Convertible Preferred Stock converted such shares into 332,240 shares of common stock.”

Cottonwood Communities, Inc. issued 280,263 shares of preferred stock to accredited investors for $10.00 per share.

“to which it is offering a maximum of $150,000,000 in shares of its Series A Convertible Preferred Stock to accredited investors (the "Private Offering") at a purchase price of $10.00 per share. The exemption is available to the Company because the shares are being offered and sold solely to accredited investors without the use of general solicitation. Sales of”

INTERNATIONAL BATTERY METALS LTD. issued 34,315,465 Units of unit to EV Metals 9 LLC for USD $0.08 per Unit, with total gross proceeds of USD $2.8 million.

“("LOI") with EV Metals 7 LLC from March 2025. Each Unit includes one Company common share and one warrant (each, a "Warrant") to purchase one common share and is priced at USD $0.08 per Unit, with total gross proceeds of USD $2.8 million. Each Warrant entitles the holder to purchase one additional Company common share at a price of C$0.148 per share for a”

Laser Photonics Corp issued new unregistered Series A-5 warrants to purchase up to 4,742,860 shares of common stock of warrant to holders of existing Series A-1 and Series A-2 warrants for aggregate gross proceeds of $4,000,559.50.

“accountable expenses of up to $75,000 and clearing expenses of $15,950. Under the terms of the warrant inducement agreement, the Company has received aggregate gross proceeds of $4,000,559.50 and must file a registration statement within 30 days from the date of this agreement on Form S-1 to register the sale of the 11,430,170 shares of common stock underlying the”

Lucid Group, Inc. issued 55,000 shares of its Series C Convertible Preferred Stock of preferred stock to Ayar Third Investment Company for $550,000,000.

“As previously announced, on April 14, 2026, Lucid Group, Inc. (the “ Company ”) entered into a subscription agreement (the “ Subscription Agreement ”) between the Company, and Ayar Third Investment Company, a single shareholder limited liability company organized under the laws of the Kingdom of Saudi Arabia (“ Ayar ”), an affiliate of the Public Investment Fund (“ PIF ”) and the Company’s majority shareholder. Pursuant to the Subscription Agreement, on April 28, 2026 (the “ Closing Date ”), Ayar purchased from the Company 55,000 shares of its Series C Convertible Preferred Stock, par value $0.0001 per share (the “ Convertible Preferred Stock ”) for an aggregate purchase price of $550,000,000 in a private placement (the “ Private Placement ”).”

OppFi Inc. issued 734,851 shares of Class A Common Stock of common stock.

“OppFi issued 734,851 shares of Class A Common Stock to a holder of OpCo Units that were originally issued to such holder in connection with OppFi’s acquisition of a 35% interest in Bitty Holdings, LLC.”

Profusa, Inc. issued up to 3,333,333 shares of Common Stock of warrant to Ascent Partners Fund LLC.

“Item 3.03. Material Modifications to Rights of Security Holders. On April 29, 2026, the Company and Ascent Partners Fund LLC (the “ Holder ”) entered into an amendment (the “ Amendment ”) to that certain Warrant to Purchase Shares of Common Stock of the Company, dated as of April 20, 2026 (the “ Warrant ”). The Warrant was issued in connection with a Securities Purchase Agreement, dated as of February 11, 2025, between the Company and the Holder. The Warrant entitles the Holder to purchase up to 3,333,333 shares of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), at an exercise price of $0.50 per share, subject to adjustment, exercisable until April 20, 2031. The Warrant is subject to the terms and conditions set forth therein, including provisions relating to exercise procedures, adjustments upon certain corporate events, and notices. Pursuant to the Amendment, Section 4 (Treatment of Consideration in Fundamental Transactions) of the Warrant was deleted”

Merlin, Inc. issued warrants exercisable for an aggregate of 4 million shares of Common Stock of warrant to the purchaser named therein for part of the Private Placement for aggregate gross proceeds of approximately $80 million.

“On April 29, 2026, Merlin, Inc., a Delaware corporation (the “ Company ”), entered into a securities purchase agreement (the “ Purchase Agreement ”) with the purchaser named therein (the “ Purchaser ”), for the private placement (the “ Private Placement ”) of 8 million shares of the Company’s common stock, par value $0.0001 per share (the “ Shares ”), at a price per share of $10.00, and warrants (the “ Warrants ,” and together with the Shares, the “ Securities ”) exercisable for an aggregate of 4 million shares of Common Stock (the “ Underlying Shares ”), for aggregate gross proceeds of approximately $80 million.”

Merlin, Inc. issued 8 million shares of the Company’s common stock of common stock to the purchaser named therein for at a price per share of $10.00, for aggregate gross proceeds of approximately $80 million.

“On April 29, 2026, Merlin, Inc., a Delaware corporation (the “ Company ”), entered into a securities purchase agreement (the “ Purchase Agreement ”) with the purchaser named therein (the “ Purchaser ”), for the private placement (the “ Private Placement ”) of 8 million shares of the Company’s common stock, par value $0.0001 per share (the “ Shares ”), at a price per share of $10.00, and warrants (the “ Warrants ,” and together with the Shares, the “ Securities ”) exercisable for an aggregate of 4 million shares of Common Stock (the “ Underlying Shares ”), for aggregate gross proceeds of approximately $80 million.”

Crestline Lending Solutions, LLC issued approximately 923,703 units of unit to accredited investors for aggregate offering price of approximately $18.1 million, reflecting a purchase price per Share of $19.62.

“On April 24, 2026, pursuant to a drawdown notice previously delivered to investors, Crestline Lending Solutions, LLC (the “Company”) sold approximately 923,703 units of its limited liability company interests (the “Shares”) for an aggregate offering price of approximately $18.1 million, reflecting a purchase price per Share of $19.62 (the “Capital Call”).”

VistaOne, L.P. issued Class B 50,411; Class I 2,641,369; Class S 2,887,321 of unit to third-party investors, including through VistaOne (TE), L.P. for aggregate consideration of approximately $170.2 million.

“As of April 1, 2026, VistaOne, L.P. (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $170.2 million.”

Golub Capital Private Income Fund S issued 65,768 of common stock to accredited investors for $1,585,000.

“of Common Shares sold and consideration therefore: Date of Unregistered Sale Amount of Common Shares NAV per Common Share Consideration (1) As of April 1, 2026 65,768 $ 24.10 $ 1,585,000 (1) No underwriting discounts or commissions have been or will be paid in connection with the sale of such Common Shares. Although the Fund does not charge investors any upfront”

Golub Capital Private Income Fund I issued 119,439 of common stock for $2,883,250.

“of Common Shares sold and consideration therefore: Date of Unregistered Sale Amount of Common Shares NAV per Common Share Consideration (1) As of April 1, 2026 119,439 $ 24.14 $ 2,883,250 (1) No underwriting discounts or commissions have been or will be paid in connection with the sale of such Common Shares. Investors are not charged any sales load or commission in”