Equity Issuances

Blackstone Private Credit Fund issued 4,280,725 of common stock to accredited investors for $103,550,747.

“details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of April 1, 2026 (number of shares finalized on April 20, 2026) 4,280,725 $ 103,550,747”

Edible Garden AG Inc issued 128,119 shares of common stock of common stock to Streeterville Capital, LLC for exchange of 75 and 60 shares of Series B Preferred Stock with aggregate stated value of $135,000.

“On March 26, 2026 and April 15, 2026, Edible Garden AG Incorporated (the “Company”) entered into exchange agreements (the “Exchange Agreements”) with Streeterville Capital, LLC, a Utah limited liability company (“Streeterville”) pursuant to which the Company agreed to exchange 75 and 60 shares, respectively, of the Company’s Series B Preferred Stock, par value $0.0001 per share (the “Preferred Stock”), for a total of 128,119 shares of the Company’s common stock, par value $0.0001 per share (“Exchange Shares”).”

NKGen Biotech, Inc. issued warrant to AlpineBrook Capital GP I Limited.

“the Company agreed to issue to the Lender the following securities (the “Securities”) without registration under the Securities Act of 1933, as amended (the “Securities Act”): (a) 11,807,380 shares of Common Stock (the Consideration Shares), to be issued in five installments commencing on the five-month anniversary of the closing date; (b) the Note, which is convertible into shares of Common Stock at a conversion price of $0.08 per share, subject to adjustment; and (c) the Warrant, which is exercisable for shares of Common Stock at an exercise price of $0.08 per share, subject to adjustment.”

NKGen Biotech, Inc. issued convertible note to AlpineBrook Capital GP I Limited.

“the Company agreed to issue to the Lender the following securities (the “Securities”) without registration under the Securities Act of 1933, as amended (the “Securities Act”): (a) 11,807,380 shares of Common Stock (the Consideration Shares), to be issued in five installments commencing on the five-month anniversary of the closing date; (b) the Note, which is convertible into shares of Common Stock at a conversion price of $0.08 per share, subject to adjustment; and (c) the Warrant, which is exercisable for shares of Common Stock at an exercise price of $0.08 per share, subject to adjustment.”

NKGen Biotech, Inc. issued 11,807,380 shares of Common Stock of common stock to AlpineBrook Capital GP I Limited.

“the Company agreed to issue to the Lender the following securities (the “Securities”) without registration under the Securities Act of 1933, as amended (the “Securities Act”): (a) 11,807,380 shares of Common Stock (the Consideration Shares), to be issued in five installments commencing on the five-month anniversary of the closing date; (b) the Note, which is convertible into shares of Common Stock at a conversion price of $0.08 per share, subject to adjustment; and (c) the Warrant, which is exercisable for shares of Common Stock at an exercise price of $0.08 per share, subject to adjustment.”

KKR FS Income Trust issued 261,349.498 Class I shares of common stock to accredited investors for aggregate consideration of approximately $7.644 million.

“On April 1, 2026, KKR FS Income Trust (the “Company”) issued and sold 261,349.498 Class I shares (the “Class I Shares”) of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of Class I Shares issued being determined on April 21, 2026) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $7.644 million .”

Howard Hughes Holdings Inc. issued 1,131,273 shares of the Company’s common stock of warrant to Mr. Grandisson for $10,000,000 for the Warrants.

“On April 20, 2026, Howard Hughes Holdings Inc. (the “Company”) entered into a warrant agreement with Mr. Grandisson, pursuant to which Mr. Grandisson agreed to purchase warrants (the “Warrants”) to acquire 1,131,273 shares of the Company’s common stock, par value $0.01 per share, at an exercise price equal to $100 per share, in a non-brokered private placement. Mr. Grandisson paid a purchase price of $10,000,000 for the Warrants”

Ares Sports, Media & Entertainment Opportunities LP issued unit to accredited investors and qualified purchasers for aggregate consideration of approximately $38.1 million.

“On April 1, 2026, Ares Sports, Media and Entertainment Opportunities LP (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $38.1 million.”

Blue Owl Digital Infrastructure Trust issued 3,032,825 of its common shares of common stock for gross proceeds of approximately $31.0 million.

“On April 1, 2026, Blue Owl Digital Infrastructure Trust (the “Company”) sold an aggregate of 3,032,825 of its common shares (with the final number of shares being determined on April 16, 2026) for gross proceeds of approximately $31.0 million, based on net asset value (“NAV”) per share as of March 31, 2026.”

Maywood Acquisition Corp. 2 issued 140,000 private placement units of unit to West Pike, LLC for $10.00 per unit.

“Simultaneously with the consummation of the Initial Public Offering, the Company consummated the sale of 140,000 private placement units (each, a “Private Placement Unit” and collectively, the “Private Placement Units”) to West Pike, LLC at a price of $10.00 per unit, generating gross proceeds”

JATT II Acquisition Corp. issued 300,000 Ordinary Shares of common stock to JATT Ventures II L.P. (the Sponsor) for $10.00 per Private Placement Share.

“Simultaneously with the closing of the IPO, pursuant to the Private Placement Shares Purchase Agreement, the Company completed the private sale of 300,000 Ordinary Shares (the “ Private Placement Shares ”) at a purchase price of $10.00 per Private Placement Share, to the Sponsor, generating gross proceeds to the Company of $3,000,000.”

MILESTONE SCIENTIFIC INC. issued 7,962,963 units of unit to the purchasers named therein for $0.27 per unit.

“the private placement (the “Private Placement”) of an aggregate of 7,962,963 units (the “Units”), with each Unit consisting of (i) one share of the Company’s common stock, par value $0.001 per share (the “Common Stock”), and (ii) one warrant to purchase one share of Common Stock (each, a “Warrant”). The purchase price paid by the Purchasers for each Unit is $0.27 (the “Per Unit Purchase Price”).”

IGC Pharma, Inc. issued common stock to the holders of the Notes, including FirstFire Global Opportunities Fund, LLC and Vanquish Funding Group Inc..

“The information set forth under Item 1.01 above is incorporated by reference into this Item 3.02. Any Conversion Shares issuable upon conversion of the Note will be issued pursuant to the exemption from the registration requirements of the Securities Act provided by Section 4(a)(2) thereof, as a transaction not involving a public offering.”

Dare Bioscience, Inc. issued 20,000 Investor Units, each consisting of one share of Series A Convertible Preferred Stock and two warrants to purchase one share of common stock of unit to investors in the Regulation A offering for $5.00 per unit.

“On April 17, 2026, Daré Bioscience, Inc. (“Daré” “we,” “us,” or “our”) completed a closing of our previously announced Regulation A offering of up to 4,854,000 units (each, an “Investor Unit” and collectively the “Investor Units”), each consisting of one share of Series A Convertible Preferred Stock (the “Series A Preferred Stock”) and two warrants, each to purchase one share of our common stock (“Investor Warrants”), with each Investor Unit being offered at an offering price of $5.00 (the “Offering”). In connection therewith, we issued an aggregate of 20,000 Investor Units consisting of 20,000 shares of Series A Preferred Stock and Investor Warrants to purchase up to 40,000 shares of our common stock.”

AMERIGUARD SECURITY SERVICES, INC. issued 8,756,150 shares of Common Stock of common stock to Lillian Flores for partial conversion of $2,456,991 of outstanding debt.

“On April 15, 2026, the Company authorized the issuance of 8,756,150 shares of its Common Stock to Lillian Flores. The shares were issued in consideration for partial conversion of $2,456,991 of outstanding debt.”

Dell Technologies Inc. issued 4,237,699 shares of common stock to SL SPV-2, L.P., Silver Lake Partners IV, L.P., Silver Lake Technology Investors IV, L.P., Silver Lake Partners V DE (AIV), L.P. and Silver Lake Technology Investors V, L.P..

“Dell Technologies Inc. (the “Company”) issued an aggregate of 4,237,699 shares of the Company’s Class C common stock (the “Class C Common Stock”) upon conversion of the same number of shares of the Company’s Class B common stock”

Barings Private Credit Corp issued 862,318.174 unregistered shares of common stock to participating investors for aggregate consideration of approximately $17.3 million.

“As of April 1, 2026, Barings Private Credit Corporation (the “Company”) sold 862,318.174 unregistered shares (the “Sold Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), (with the number of Sold Shares issued being determined on April 20, 2026) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $17.3 million.”

Blue Owl Real Estate Net Lease Trust issued 2,892,023 shares of common stock to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $30.8 million.

“As of April 1, 2026, Blue Owl Real Estate Net Lease Trust (the “ Company ”, “ we ”, or “ us ”) sold 2,892,023 shares of its Class I common shares (with the final number of shares being determined on April 16, 2026) to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $30.8 million, based on net asset value (“ NAV ”) per share as of March 31, 2026.”

BIP Ventures Evergreen BDC issued 176,348 unregistered common shares of common stock to accredited investors for $33.36 per Share.

“BIP Ventures Evergreen BDC sold 176,348 unregistered common shares of beneficial interest (the “Shares”) at a price per Share of $33.36 (with the final number of shares being determined on April 17, 2026) to accredited investors in a private placement of Shares for an aggregate purchase price of $5,882,975.”

AB Private Lending Fund issued 10,382 of common stock to feeder vehicles primarily created to hold the Fund’s Class I shares for $256,011.

“table details the shares sold: Date of Unregistered Sale Amount of Class I shares Consideration As of April 1, 2026 (number of shares finalized on April 20, 2026) 10,382 $ 256,011”

Archimedes Tech SPAC Partners II Co. issued common stock.

“The shares of Pubco Common Stock and PIPE Warrants issuable in connection with the PIPE Investment will not be registered under the Securities Act of 1933, in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act.”

Stone Point Credit Income Fund issued 478,484.049 shares of common stock to accredited investors for $11,847,600.00 aggregate.

“On April 1, 2026 (with the final number of shares being determined on April 17, 2026), Stone Point Credit Income Fund (the “Fund”) issued and sold 478,484.049 shares of the Fund’s common shares, par value $0.001 per share (the “Common Shares”), at a net asset value of $24.7607, pursuant to the subscription agreements entered into by the Fund and its investors, for an aggregate offering price of $11,847,600.00.”

CID Holdco, Inc. issued Commitment Warrant of warrant to White Lion Capital, LLC for part of the Financing Transaction.

“The issuance of the Commitment Shares and the Commitment Warrant were not registered under the Securities Act in reliance upon the exemptions from registration provided by Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D promulgated thereunder.”

CID Holdco, Inc. issued a number of shares of Common Stock equal to a commitment fee amount of $120,000 divided by the closing price of common stock to White Lion Capital, LLC for commitment fee.

“The issuance of the Commitment Shares and the Commitment Warrant were not registered under the Securities Act in reliance upon the exemptions from registration provided by Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D promulgated thereunder.”

PennantPark Private Income Fund issued 331,680Common Shares of common stock to participating investors for $8,490,000.

“On April 1, 2026, PennantPark Private Income Fund (the “Company”) issued and sold 331,680 of the Company’s common shares of beneficial interest, par value $0.001 per share (the “Common Shares”) (with the final number of Common Shares issued being determined on April 16, 2026) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $8,490,000.”

First Tracks Biotherapeutics, Inc. issued 29,100,802 shares of Common Stock of common stock to AnaptysBio.

“the Company issued 29,100,802 shares of Common Stock to AnaptysBio in consideration for the transfer of certain entities that are part of AnaptysBio's biopharma business.”

AEVEX Corp. issued 63,297,524 shares of Class B common stock of common stock to ATS Investment Holdings, LLC.

“the Company issued to ATS Investment Holdings, LLC (“ATS Investment Holdings”) 63,297,524 shares of Class B common stock of the Company, par value $0.0001 per share (the “Class B Common Stock”) on April 16, 2026.”

Enveric Biosciences, Inc. issued Placement Agent Warrants to purchase up to 7.0% of the aggregate number of shares of Common Stock placed in the Private Placement, equating to 155,556 shares of of warrant to designees of the Placement Agent for exercise price equal to $2.8125 per share.

“Shares”). The Placement Agent Warrants have substantially the same terms as the Series I Warrants, except that the Placement Agent Warrants have an exercise price equal to $2.8125 per share. The Company agreed to indemnify the Placement Agent against certain liabilities relating to or arising out of the Placement Agent’s activities under the Engagement”

Enveric Biosciences, Inc. issued Series J warrants to purchase up to 2,222,223 shares of Common Stock of warrant to institutional investors for exercise price of $2.00 per share.

“shares issuable upon exercise thereof, the “Series J Warrant Shares,” together with the Series I Warrant Shares, the “Warrant Shares”). The Warrants have an exercise price of $2.00 per share (subject to customary adjustments as set forth in the Warrants) and are exercisable immediately. The Series I Warrants will expire five (5) years following the effective”

Enveric Biosciences, Inc. issued Series I warrants to purchase up to 2,222,223 shares of Common Stock of warrant to institutional investors for exercise price of $2.00 per share.

“shares issuable upon exercise thereof, the “Series J Warrant Shares,” together with the Series I Warrant Shares, the “Warrant Shares”). The Warrants have an exercise price of $2.00 per share (subject to customary adjustments as set forth in the Warrants) and are exercisable immediately. The Series I Warrants will expire five (5) years following the effective”

Enveric Biosciences, Inc. issued Pre-Funded Warrants to purchase up to an aggregate of 2,124,223 shares of Common Stock of warrant to institutional investors for nominal exercise price of $0.0001 per share.

“that in no event shall the Beneficial Ownership Limitation exceed 9.99%. The Pre-Funded Warrants are immediately exercisable and may be exercised at a nominal exercise price of $0.0001 per share of Common Stock at any time until all of the Pre-Funded Warrants are exercised in full. A holder may not exercise any portion of the Pre-Funded Warrants to the extent”

Enveric Biosciences, Inc. issued 98,000 shares of common stock to institutional investors for approximately $5.0 million.

“and Exchange Commission). The Private Placement closed on April 17, 2026. The gross proceeds to the Company from the Private Placement are expected to be approximately $5.0 million, before deducting placement agent fees and expenses and estimated offering expenses payable by the Company, with the potential for up to approximately $8.9 million of additional”

XCel Brands, Inc. issued 100,579 shares of its Common Stock of common stock to Purchasers including IPX.

“the Company issued to the Purchasers 100,579 shares of its Common Stock, of which 1,472 shares of common stock were issued to IPX.”

HNO International, Inc. issued 385,000 shares of common stock of warrant to Lambda Ventures, LLC for part of the same securities purchase agreement with gross proceeds of $87,500.

“On April 9, 2026, the Company entered into a Securities Purchase Agreement (the "LV Purchase Agreement") with Lambda Ventures, LLC, a Nevada limited liability company (the "LV Buyer"), pursuant to which the Company issued to the LV Buyer a Convertible Promissory Note in the principal amount of $96,250 (the "LV Note") and a Common Stock Purchase Warrant to purchase up to 385,000 shares of the Company's common stock (the "LV Warrant"), in exchange for gross proceeds of $87,500.”

HNO International, Inc. issued shares of Common Stock upon conversion of the Convertible Promissory Note of convertible note to Lambda Ventures, LLC for gross proceeds of $87,500.

“On April 9, 2026, the Company entered into a Securities Purchase Agreement (the "LV Purchase Agreement") with Lambda Ventures, LLC, a Nevada limited liability company (the "LV Buyer"), pursuant to which the Company issued to the LV Buyer a Convertible Promissory Note in the principal amount of $96,250 (the "LV Note") and a Common Stock Purchase Warrant to purchase up to 385,000 shares of the Company's common stock (the "LV Warrant"), in exchange for gross proceeds of $87,500.”

HNO International, Inc. issued 385,000 shares of common stock of warrant to Jefferson Street Capital, LLC for part of the same securities purchase agreement with gross proceeds of $87,500.

“On April 7, 2026, the Company entered into a Securities Purchase Agreement (the "JSC Purchase Agreement") with Jefferson Street Capital, LLC, a New Jersey limited liability company (the "JSC Buyer"), pursuant to which the Company issued to the JSC Buyer a Convertible Promissory Note in the principal amount of $96,250 (the "JSC Note") and a Common Stock Purchase Warrant to purchase up to 385,000 shares of the Company's common stock (the "JSC Warrant"), in exchange for gross proceeds of $87,500.”

HNO International, Inc. issued shares of Common Stock upon conversion of the Convertible Promissory Note (conversion price based on 60% of lowest traded price) of convertible note to Jefferson Street Capital, LLC for gross proceeds of $87,500.

“On April 7, 2026, the Company entered into a Securities Purchase Agreement (the "JSC Purchase Agreement") with Jefferson Street Capital, LLC, a New Jersey limited liability company (the "JSC Buyer"), pursuant to which the Company issued to the JSC Buyer a Convertible Promissory Note in the principal amount of $96,250 (the "JSC Note") and a Common Stock Purchase Warrant to purchase up to 385,000 shares of the Company's common stock (the "JSC Warrant"), in exchange for gross proceeds of $87,500.”

Vera Bradley, Inc. issued common stock.

“Item 3.03 Material Modifications to Rights of Security Holders. The information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated into this Item 3.03 by reference.”

PetVivo Holdings, Inc. issued 1,250,000 units of unit to accredited investor for $0.80 per Unit.

“the Company issued an aggregate of 1,250,000 units (the “Units”) at a purchase price of $0.80 per Unit.”

Arq, Inc. issued securities.

“On April 15, 2026, Arq, Inc. (the "Company"), a Delaware corporation, entered into the Ninth Amendment to its Tax Asset Protection Plan (the "Ninth Amendment") between the Company and Computershare Trust Company, N.A. (the "Rights Agent") that amends the Company's Tax Asset Protection Plan dated May 5, 2017, as amended (the "TAPP") between the Company and the Rights Agent. The Ninth Amendment amends the definition of "Final Expiration Date" under the TAPP to extend the duration of the TAPP and makes associated changes in connection therewith.”

Ondas Inc. issued common stock.

“The disclosure included in Item 8.01 of this Current Report on Form 8-K is incorporated herein by reference. The issuances of the Shares (as defined below) in”

BioXcel Therapeutics, Inc. issued 1,353,729 shares of common stock of warrant to the lenders under the Ninth Amendment for exercise price of $0.01 per share.

“On April 15, 2026, the Company granted the lenders under the Ninth Amendment (the "Lenders") warrants to purchase up to 1,353,729 shares of common stock at an exercise price of $0.01 per share (the "Amendment Warrants").”

CXApp Inc. issued 7,304,178 shares of common stock of common stock to Avondale Capital, LLC for at a price of $0.154427, $0.144872 and $0.144872 per share, respectively.

“CXApp Inc. (the “Company”) issued an aggregate of 7,304,178 shares of common stock to Avondale Capital, LLC (“Avondale”) under a Pre-Paid Purchase #2, dated as of August 7, 2025, and a Pre-Paid Purchase #3, dated as of October 17, 2025, both of which were entered into pursuant to the Securities Purchase Agreement, dated as of March 26, 2025, by and between the Company and Avondale. The shares of common stock were issued on April 13, 2026, April 16, 2026 and April 17, 2026, at a price of $0.154427, $0.144872 and $0.144872 per share, respectively.”

PureCycle Technologies, Inc. issued warrant.

“reduce the Redemption Trigger Price from $18.00 to $14.38, and (ii) extend the expiration date of the PCT Warrants to 5:00 p.m., New York City time, on the earlier to occur of (a) March 17, 2027, or (b) the date fixed for the redemption of the PCT Warrants”

PMGC Holdings Inc. issued 262,467 shares of Common Stock of common stock to Investor for $1,000,000 to the Company for the Registered Shares.

“Date was $10,000,000, computed as follows: $10,730,000.00 initial principal balance, less the OID, less the Transaction Expense Amount. In addition, Investor also agreed to pay $1,000,000 to the Company for the Registered Shares. The Company expects to consummate the Pre-Paid Purchase on or about April 17, 2026 and to receive net proceeds of $ 9,727,380.00 after”

PMGC Holdings Inc. issued convertible note to Investor for $10,730,000.00 initial principal balance, less the OID, less the Transaction Expense Amount.

“Purchase Agreement, upon the terms and subject to the limitations and conditions set forth in such Pre-Paid Purchase, as summarized herein: (i) an original principal amount of $10,730,000.00 (the “Pre-Paid Purchase Shares”); and (ii) an additional 262,467 shares of Common Stock (the “Registered Shares”). In connection with the Purchase Agreement, the Company also”

North Haven Net REIT issued 113,067 Class I shares and an aggregate 5,249 Class F-I shares of common stock to a feeder vehicle primarily created to hold certain classes of the Company's common shares for $2,338,000 and $109,000.

“As of April 1, 2026, North Haven Net REIT, a Maryland statutory trust (the “Company”), sold an aggregate of 113,067 Class I shares and an aggregate 5,249 Class F-I shares (the "Shares") (with the final number of Shares being determined on April 15, 2026) for aggregate consideration of approximately $2,338,000 and $109,000, respectively, based on the net asset value per share as of March 31, 2026, to a feeder vehicle primarily created to hold certain classes of the Company's common shares.”

Fusemachines Inc. issued up to 11,363,636 shares of Common Stock of common stock to Roth Principal Investments, LLC for up to $20,000,000 of shares.

“the Company has the right, in the Company’s sole discretion, to sell to Roth Principal Investments up to $20,000,000 of shares of the Company’s common stock”

LAGO Evergreen Credit issued 406,092 unregistered common shares of common stock to accredited investors for $25.60 per Share, aggregate purchase price of $10,395,950.

“LAGO Evergreen Credit sold 406,092 unregistered common shares of beneficial interest (the “Shares”) at a price per Share of $25.60”

QuasarEdge Acquisition Corp issued 285,000 units of unit to Aspira Capital Consulting LTD for $10.00 per Private Unit, generating aggregate gross proceeds of $2,850,000.

“Simultaneously with the consummation of the IPO, the Company consummated a private placement (the “Private Placement”) with Aspira Capital Consulting LTD (the “Sponsor”) of 285,000 units (the “Private Units”) at a price of $10.00 per Private Unit, generating aggregate gross proceeds of $2,850,000.”