Equity Issuances

Green Stream Holdings Inc. issued preferred stock.

“The bylaws provide that the holders of the Company's Series B Preferred Stock, voting as a class, are entitled to 99% of the total shareholder voting power on all shareholder matters”

Green Stream Holdings Inc. issued common stock.

“On March 19, 2026, Green Stream Holdings, Inc. (the "Company") completed a redomicile from the State of Wyoming to the State of California (the "Redomicile").”

AQUABOUNTY TECHNOLOGIES INC issued preferred stock.

“Item 3.03 Material Modifications to Rights of Security Holders. In connection with the transactions described in Item 1.01, on April 7, 2026, the Company filed the Certificate of Designations with the Secretary of State of the State of Delaware, establishing the rights, preferences and privileges of the Series A Preferred Stock.”

AQUABOUNTY TECHNOLOGIES INC issued 27,386 shares of Series A Preferred Stock of preferred stock to a certain purchaser for aggregate cash consideration of $500,000.

“On April 7, 2026, the Company also entered into a preferred stock purchase agreement (the “Purchase Agreement”) with a certain purchaser, pursuant to which the Company issued and sold 27,386 shares of Series A Preferred Stock, which are convertible into up to 547,705 shares of Common Stock, for aggregate cash consideration of $500,000 in a private placement”

AQUABOUNTY TECHNOLOGIES INC issued 236,367 shares of Series A Convertible Preferred Stock of preferred stock to certain holders of the Company’s outstanding senior notes for $4,000,000 of principal amount plus $315,616.44 of accrued and unpaid interest.

“On April 7, 2026, AquaBounty Technologies, Inc. (the “Company”) entered into securities exchange agreements (the “Exchange Agreements”) with certain holders of the Company’s outstanding senior notes, pursuant to which an aggregate of $4,000,000 of principal amount plus $315,616.44 of accrued and unpaid interest was exchanged for an aggregate of 236,367 shares of the Company’s Series A Convertible Preferred Stock”

Lumentum Holdings Inc. issued approximately 5.7 million shares of common stock to holders of 0.50% Convertible Senior Notes due 2026 and 1.50% Convertible Senior Notes due 2029 for approximately $264.8 million principal amount of the 2026 Notes and approximately $209.8 million principal amount of the 2029 Notes.

“On April 7, 2026, Lumentum Holdings Inc. (the “Company”) entered into separate privately-negotiated exchange agreements (the “Exchange Agreements”) with certain holders of its outstanding 0.50% Convertible Senior Notes due 2026 (the “2026 Notes”) and 1.50% Convertible Senior Notes due 2029 (the “2029 Notes” and, together with the 2026 Notes, collectively, the “Notes”), pursuant to which the Company will deliver an aggregate of approximately 5.7 million shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”) in exchange for approximately $264.8 million principal amount of the 2026 Notes, approximately $209.8 million principal amount of the 2029 Notes (the “Exchange Transactions”) and related conversion value in excess of principal amounts thereof.”

Ensysce Biosciences, Inc. issued 261,818 warrants to purchase shares of Common Stock of warrant to designees of financial advisor for similar terms as warrants issued to designees in November 2025; no additional consideration specified.

“The Company also issued Warrants to purchase up to 261,818 shares of Common Stock to designees of its financial advisor on similar terms as those warrants issued to the designees in November 2025.”

Ensysce Biosciences, Inc. issued 8,727,273 warrants to purchase shares of Common Stock of warrant to institutional investor for part of $2 million gross proceeds.

“On April 6, 2026 (the " Closing Date "), pursuant to the Purchase Agreement and Subsequent Purchase Notice, the Company privately issued and sold (i) 2,000 shares (the " Shares ") of Series B preferred stock of the Company, par value $0.0001 per share (the " Preferred Stock "), (ii) up to 4,363,636 shares of common stock of the Company, par value $0.0001 per share (the " Common Stock ") to be issued upon conversion of the Preferred Stock, and (iii) warrants to purchase up to 8,727,273 shares of Common Stock (the " Warrants "), all subject to adjustment, for gross proceeds of $2 million before the deduction of fees and offering expenses (the " Offering ").”

Ensysce Biosciences, Inc. issued up to 4,363,636 shares of Common Stock issuable upon conversion of Preferred Stock of common stock to institutional investor for part of $2 million gross proceeds; conversion of Preferred Stock.

“On April 6, 2026 (the " Closing Date "), pursuant to the Purchase Agreement and Subsequent Purchase Notice, the Company privately issued and sold (i) 2,000 shares (the " Shares ") of Series B preferred stock of the Company, par value $0.0001 per share (the " Preferred Stock "), (ii) up to 4,363,636 shares of common stock of the Company, par value $0.0001 per share (the " Common Stock ") to be issued upon conversion of the Preferred Stock, and (iii) warrants to purchase up to 8,727,273 shares of Common Stock (the " Warrants "), all subject to adjustment, for gross proceeds of $2 million before the deduction of fees and offering expenses (the " Offering ").”

Ensysce Biosciences, Inc. issued 2,000 shares of Series B Preferred Stock of preferred stock to institutional investor for gross proceeds of $2 million before deduction of fees and offering expenses.

“On April 6, 2026 (the " Closing Date "), pursuant to the Purchase Agreement and Subsequent Purchase Notice, the Company privately issued and sold (i) 2,000 shares (the " Shares ") of Series B preferred stock of the Company, par value $0.0001 per share (the " Preferred Stock "), (ii) up to 4,363,636 shares of common stock of the Company, par value $0.0001 per share (the " Common Stock ") to be issued upon conversion of the Preferred Stock, and (iii) warrants to purchase up to 8,727,273 shares of Common Stock (the " Warrants "), all subject to adjustment, for gross proceeds of $2 million before the deduction of fees and offering expenses (the " Offering ").”

Zapata Quantum, Inc. issued Warrants to purchase 7,612,161 shares of the Company’s common stock of warrant to accredited investors.

“On April 7, 2026, Zapata Quantum, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with accredited investors, pursuant to which the Company sold and issued 6,685 shares of newly designated Series D Convertible Preferred Stock (the “Series D”), together with Warrants (the “Warrants”) to purchase 7,612,161 shares of the Company’s common stock, for gross proceeds of $6,685,000.”

Zapata Quantum, Inc. issued 6,685 shares of newly designated Series D Convertible Preferred Stock of preferred stock to accredited investors for gross proceeds of $6,685,000.

“On April 7, 2026, Zapata Quantum, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with accredited investors, pursuant to which the Company sold and issued 6,685 shares of newly designated Series D Convertible Preferred Stock (the “Series D”), together with Warrants (the “Warrants”) to purchase 7,612,161 shares of the Company’s common stock, for gross proceeds of $6,685,000.”

New ERA Energy & Digital, Inc. issued up to 1,164,144 shares of Common Stock of warrant to Macquarie Equipment Capital Inc. for exercise price equal to the product of (i) 120% multiplied by (ii) the five-day volume weighted average price of the Company’s Common Stock as of the date of is.

“the Company will issue to the Lender warrants to purchase shares of common stock of the Company, par value $0.0001 per share (the “Common Stock” and such warrants, the “Warrants”). Under the terms of the Warrants, the Lender will be entitled to purchase up to 1,164,144 shares of Common Stock, at an exercise price equal to the product of (i) 120% multiplied by (ii) the five-day volume weighted average price of the Company’s Common Stock as of the date of issuance of the Warrants, subject to a minimum price floor of $4.30.”

VISIUM TECHNOLOGIES, INC. issued preferred stock.

“The Board adopted, as official and mandatory Company policy, strict procedural gating mechanisms (the “Conversion Gates”) that constitute conditions precedent to any conversion, transfer, book-entry movement, or other action involving the Series A or Series B Preferred Stock.”

Ares Real Estate Income Trust Inc. issued 1,569,934 of common stock to accredited investors for $12,747,866.

“table details the shares issued and gross proceeds : Number of Shares Issued Gross Proceeds Class S-PR Shares (1)(2) 1,020,998 $ 8,392,942 Class I-PR Shares (1) 1,569,934 $ 12,747,866 _________________________ (1) Number of shares issued and gross proceeds include activity from shares issued pursuant to our distribution reinvestment plan. (2) Gross proceeds for”

Ares Real Estate Income Trust Inc. issued 1,020,998 of common stock to accredited investors for $8,392,942.

“issued the following shares in transactions exempt from the registration provisions of the Securities Act of 1933, as amended, pursuant to Regulation D. The following table details the shares issued and gross proceeds : Number of Shares Issued Gross Proceeds Class S-PR Shares (1)(2) 1,020,998 $ 8,392,942”

KIORA PHARMACEUTICALS INC issued Tranche A-2 Common Stock purchase warrants to purchase up to 1,966,182 shares of Common Stock at an exercise price of $1.94 per share of warrant to certain institutional investors for included in the combined purchase price of $2.5430 per Private Placement Share and $2.5429 per Pre-Funded Warrant, with each share or warrant accompanied by fou.

“A-2 Warrants”). The combined purchase price for each Private Placement Share, together with the accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant, will be $2.5430 and the combined purchase price for each Pre-Funded Warrant, together with the accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant, will be $2.5429, which price”

KIORA PHARMACEUTICALS INC issued Tranche A-1 Common Stock purchase warrants to purchase up to 7,864,727 shares of Common Stock at an exercise price of $1.94 per share of warrant to certain institutional investors for included in the combined purchase price of $2.5430 per Private Placement Share and $2.5429 per Pre-Funded Warrant, with each share or warrant accompanied by fou.

“A-2 Warrants”). The combined purchase price for each Private Placement Share, together with the accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant, will be $2.5430 and the combined purchase price for each Pre-Funded Warrant, together with the accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant, will be $2.5429, which price”

KIORA PHARMACEUTICALS INC issued pre-funded Common Stock purchase warrants to purchase an aggregate of up to 1,527,711 shares of Common Stock at an exercise price of $0.0001 per share of warrant to certain institutional investors for combined purchase price of $2.5429 per Pre-Funded Warrant, together with accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant.

“On April 3, 2026, Kiora Pharmaceuticals, Inc. (the “Company”) entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain institutional investors (the “Purchasers”), pursuant to which the Company agreed to issue and sell to the Purchasers, and the Purchasers agreed to purchase from the Company (i) 438,471 shares (the “Private Placement Shares”) of the Company’s Common Stock, par value $0.01 per share (“Common Stock”), (ii) pre-funded Common Stock purchase warrants (the “Pre-Funded Warrants”) to purchase an aggregate of up to 1,527,711 shares of Common Stock at an exercise price of $0.0001 per share, (iii) Tranche A-1 Common Stock purchase warrants to purchase up to 7,864,727 shares of Common Stock at an exercise price of $1.94 per share (“the Tranche A-1 Warrants”), and (iv) Tranche A-2 Common Stock purchase warrants to purchase up to 1,966,182 shares of Common Stock at an exercise price of $1.94 per share (the “Tranche A-2 Warrants”). The combined p”

KIORA PHARMACEUTICALS INC issued 438,471 shares of Common Stock of common stock to certain institutional investors for combined purchase price of $2.5430 per Private Placement Share, together with accompanying four Tranche A-1 Warrants and one Tranche A-2 Warrant.

“On April 3, 2026, Kiora Pharmaceuticals, Inc. (the “Company”) entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain institutional investors (the “Purchasers”), pursuant to which the Company agreed to issue and sell to the Purchasers, and the Purchasers agreed to purchase from the Company (i) 438,471 shares (the “Private Placement Shares”) of the Company’s Common Stock, par value $0.01 per share (“Common Stock”), (ii) pre-funded Common Stock purchase warrants (the “Pre-Funded Warrants”) to purchase an aggregate of up to 1,527,711 shares of Common Stock at an exercise price of $0.0001 per share, (iii) Tranche A-1 Common Stock purchase warrants to purchase up to 7,864,727 shares of Common Stock at an exercise price of $1.94 per share (“the Tranche A-1 Warrants”), and (iv) Tranche A-2 Common Stock purchase warrants to purchase up to 1,966,182 shares of Common Stock at an exercise price of $1.94 per share (the “Tranche A-2 Warrants”). The combined p”

Blackstone Real Estate Income Trust, Inc. issued 4,416,474 shares of common stock to accredited investors for $63,179,022 aggregate consideration.

“On April 1, 2026, Blackstone Real Estate Income Trust, Inc. (the “Company”) sold unregistered shares of the Company’s common stock (the “Shares”) for aggregate consideration of approximately $63.2 million.”

TCW Direct Lending VIII LLC issued securities.

“Item 3.03. Material Modification to Rights of Security Holders. The information set forth under Item 1.01 above is incorporated herein by reference. The amendment modifies certain provisions of the Company’s limited liability company agreement applicable to holders of the Company’s limited liability company units”

Fortress Net Lease REIT issued 10,631,069 common shares of common stock for gross proceeds of approximately $110.6 million.

“On April 1, 2026, Fortress Net Lease REIT (the "Company" or "we") issued and sold an aggregate of 10,631,069 common shares for gross proceeds of approximately $110.6 million, based on net asset value per share of the applicable class of common shares as of February 28, 2026.”

North Haven Net REIT issued 3,304,790 common shares of common stock for aggregate consideration of approximately $68.3 million.

“On April 1, 2026, the Company sold an aggregate of 3,304,790 common shares (the “Shares”) for aggregate consideration of approximately $68.3 million, plus applicable upfront selling commissions and dealer manager fees, at the most recently determined net asset value per share.”

Principal Credit Real Estate Income Trust issued 44,507.28 common shares of common stock to third party investors for aggregate consideration of approximately $913,700.00.

“on April 1, 2026, the Company sold an aggregate of 44,507.28 common shares (the “Shares”) for aggregate consideration of approximately $913,700.00, to third party investors”

FORTRESS CREDIT REALTY INCOME TRUST issued 838,300 common shares of common stock for gross proceeds of approximately $16.8 million.

“On April 1, 2026, Fortress Credit Realty Income Trust (the "Company" or "we") issued and sold an aggregate of 838,300 common shares for gross proceeds of approximately $16.8 million”

Ares Core Infrastructure Fund issued common shares of beneficial interest of common stock to accredited investors for aggregate purchase price of $305.2 million.

“In its monthly closing for April 2026, Ares Core Infrastructure Fund (the “Fund”) has agreed to sell common shares of beneficial interest ("Common Shares"), including Class I Common Shares (“Class I Shares”), Class D Common Shares (“Class D Shares”) and Class S Common Shares (“Class S Shares”) for an aggregate purchase price of $305.2 million.”

Franklin BSP Real Estate Debt, Inc. issued 21,379.59 of common stock for $24.79 per share.

“Shares sold: Title of Securities Price per Share Number of Shares Sold Aggregate Consideration (1) Class G Common Stock $ 24.97 324,949.94 $ 8,114,000 Class G-D Common Stock $ 24.80 47,379.03 $ 1,175,000 Class G-S Common Stock $ 24.79 21,379.59 $ 535,750 393,708.56 $ 9,824,750 (1) Includes upfront selling commissions and placement fees of $5,750 for the Class”

Franklin BSP Real Estate Debt, Inc. issued 47,379.03 of common stock for $24.80 per share.

“Shares sold: Title of Securities Price per Share Number of Shares Sold Aggregate Consideration (1) Class G Common Stock $ 24.97 324,949.94 $ 8,114,000 Class G-D Common Stock $ 24.80 47,379.03 $ 1,175,000 Class G-S Common Stock $ 24.79 21,379.59 $ 535,750 393,708.56 $ 9,824,750 (1) Includes upfront selling commissions and placement fees of $5,750 for the Class”

Franklin BSP Real Estate Debt, Inc. issued 324,949.94 of common stock for $24.97 per share.

“Regulation D thereunder. The following table details the Shares sold: Title of Securities Price per Share Number of Shares Sold Aggregate Consideration (1) Class G Common Stock $ 24.97 324,949.94 $ 8,114,000 Class G-D Common Stock $ 24.80 47,379.03 $ 1,175,000 Class G-S Common Stock $ 24.79 21,379.59 $ 535,750 393,708.56 $ 9,824,750 (1) Includes upfront selling”

Apollo IG Core Replacement, L.P. issued securities for aggregate consideration of approximately $5.0 million in cash.

“On April 1, 2026, Apollo IG Core Replacement, L.P. (“Apollo IG Core”) issued unregistered limited partnership interests (the “Interests”) for aggregate consideration of approximately $5.0 million in cash.”

Rithm Perpetual Life Residential Trust issued 513,609.626 common shares of common stock to accredited investors for aggregate consideration of approximately $10.5 million.

“on April 1, 2026, the Company sold an aggregate of 513,609.626 common shares (the “Shares”) for aggregate consideration of approximately $10.5 million”

Wheeler Real Estate Investment Trust, Inc. issued 80,000 and 66,666 shares of preferred stock to unaffiliated investors (the "Series D Investor") for 120,000 and 90,000 shares of 6.50% Series C Cumulative Redeemable Preferred Stock and 0 and 10,000 of 7.25% Series B Cumulative Redeemable Preferred Stock.

“On March 16, 2026 and April 1, 2026, the Company entered into subscription agreements with unaffiliated investors (the “Series D Investor”) pursuant to which the Company issued 80,000 and 66,666 shares of its Series D Preferred Stock, respectively, in consideration for 120,000 and 90,000 shares of 6.50% Series C Cumulative Redeemable Preferred Stock (the “Cedar Series C Preferred Stock”), respectively, and 0 and 10,000 of 7.25% Series B Cumulative Redeemable Preferred Stock (the “Cedar Series B Preferred Stock”), respectively”

Reborn Coffee, Inc. issued 250,000 shares of Common Stock of warrant to Arena Investors for forbearance and waiver of defaults and delays by Arena Investors.

“issue warrants to the Arena Investors to purchase 250,000 shares of Common Stock at an exercise price of $2.00 per share (the "Forbearance Warrants")”

Hawkeye Systems, Inc. issued 2,000 shares of Preferred Stock of preferred stock to Steve Hall for $200,000.

“On April 1, 2026, the Company and Hall entered into a Subscription Agreement, pursuant to which Hall purchased 2,000 shares of Preferred Stock (as defined below) for an aggregate purchase price of $200,000”

Hawkeye Systems, Inc. issued convertible note to Hawkeye Holdco LLC for $2,767,756.

“On April 1, 2026, Hawkeye Systems, Inc. (the “Company”) issued an non-interest bearing Convertible Promissory Note to Hawkeye Holdco LLC (“HH”) with an original principal amount of $2,767,756”

ExchangeRight Income Fund issued 15,586 of its Class ER-I Common Shares and 3,277 of its Class ER-D Common Shares of common stock to multiple investors for $428,000 for Class ER-I Common Shares and $90,000 for Class ER-D Common Shares.

“506(c) of Regulation D promulgated thereunder. The following table details the shares sold: Number of Gross Share Class Shares Sold Proceeds Class ER-I Common Shares 15,586 $ 428,000 Class ER-D Common Shares 3,277 $ 90,000 Forward-Looking Statements Certain statements contained in this Current Report on Form 8-K other than historical facts may be considered”

Profusa, Inc. issued convertible into shares of common stock at $0.50 per share of convertible note to Ascent Partners Fund LLC for $555,555.55 aggregate principal amount.

“the Company issued to Ascent a senior secured convertible promissory note in the aggregate principal amount of $555,555.55 (the “Third Tranche Note”). The Third Tranche Note matures on April 2, 2027, and accrues interest at a rate of 12% per annum. The Third Tranche Note is convertible at the option of the holder into shares of the Company’s Common Stock at a conversion price of $0.50 per share”

Profusa, Inc. issued 1,111,111 shares of common stock of warrant to Ascent Partners Fund LLC for as consideration for Ascent and the Collateral Agent agreeing to execute Amendment No. 4 and to participate in the Additional Closing expected to occur on April.

“any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ Item 1.01. Entry into a Material Definitive Agreement. Amendment No. 4 to Securities Purchase Agreement and Pledge Agreement As previously disclosed, Profusa, Inc., a Delaware corporation (the “Company”)entered into the (A) the Securities Purchase”

Sculptor Diversified Real Estate Income Trust, Inc. issued 55,244 of common stock to holders participating in distribution reinvestment plans for $623,617.

“On March 12, 2026, the Company, pursuant to their distribution reinvestment plans, issued the following shares based on the respective net asset value per share as of January 31, 2026: Number of Shares Issued Purchase Price Class E Shares (1) 3,091 $ 36,308 Class F Shares 141 1,620 Class FF Shares 23,522 266,103 Class AA Shares 26,972 302,722 Class A Shares 1,152 12,809 Class I-S Shares 366 4,055 Total 55,244 $ 623,617”

Sculptor Diversified Real Estate Income Trust, Inc. issued 15,722 of common stock to Sculptor Advisors LLC for $185,231.

“On April 1, 2026, Sculptor Diversified Real Estate Income Trust, Inc. (the “Company”) issued the following shares based on the respective net asset value per share as of February 28, 2026. The following table details the shares issued and gross proceeds: Number of Shares Issued Gross Proceeds Class E Shares (1) 15,722 $ 185,231”

New ERA Energy & Digital, Inc. issued converts to shares of Common Stock of convertible note to Zachary Yi Zhou for $5,000,000 promissory note.

“On March 31, 2026, New Era Energy & Digital, Inc. (the “ Company ”) issued a promissory note (the “ Note ”) in the principal amount of $5,000,000 to Zachary Yi Zhou, an individual shareholder of the Company who beneficially owns more than 5% of the Company’s common stock, par value $0.0001 (the “ Common Stock ”).”

New Mountain Net Lease Trust issued 829,244 of its common shares of beneficial interest of common stock for aggregate consideration of approximately $16.65 million.

“on April 1, 2026, the Company sold an aggregate of 829,244 of its common shares of beneficial interest, par value $0.01 per share (the “Shares”), for aggregate consideration of approximately $16.65 million”

VistaOne, L.P. issued 4,110 Units of unit to third-party investors for $102,750.

“million. The following table provides details on the Units sold by the Fund to third-party investors: Class Number of Units Sold (1) Aggregate Consideration (1) Class R 4,110 $ 102,750 (1) Unit and dollar amounts are rounded to the nearest whole number. The offer and sale of the Units were made as part of the Fund’s continuous private offering and were exempt”

Brookfield Private Equity Fund LP issued Class B-2 2,906 of unit to Brookfield Asset Management Ltd. and affiliates, related parties and employees for $75,000 aggregate.

“details on the Units sold by the Fund: Number of Units Sold (2)(3) Aggregate Consideration (3) Class S 479,944 $ 12,312,000 Class I 978,604 $ 25,156,000 Class B-2 2,906 $ 75,000 (1) The Fund invests alongside other Brookfield-managed vehicles with substantially similar investment objectives and strategies that, together with the Fund, collectively form”

Brookfield Private Equity Fund LP issued Class S 479,944; Class I 978,604 of unit to third-party investors, including through Brookfield Private Equity TE Feeder Fund LP for $37,543,000 aggregate.

“On March 1, 2026, Brookfield Private Equity Fund LP (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $37,543,000”

CVC-PE Global Private Equity Fund, LP issued unit to certain investors for aggregate consideration of approximately $83.6 million.

“On April 1, 2026, the Fund sold unregistered limited partnership units (the "Units") of the Fund to certain investors, at a price of $100.00 per Unit, as part of its continuous private offering for aggregate consideration of approximately $83.6 million.”

Nixxy, Inc. issued 1,481,481 Shares of common stock to several investors for $0.675 per Share.

“On March 30, 2026, the Nixxy, Inc. (the “Company”) entered into share purchase agreements (the “Agreements”) with several investors for the sale of its common stock, par value $0.0001 (each a “Share”). The Company sold 1,481,481 Shares to five investors for a price per Share of $0.675 (such price agreed upon in February 2026) for a total of $1,000,000.”

Entera Bio Ltd. issued 7,827,789 units of unit to funds affiliated with BVF Partners LP for aggregate proceeds of approximately $10.0 (or $1.2775 per Unit).

“On April 1, 2026, Entera Bio Ltd., a company organized under the laws of the State of Israel (the “ Company ”), entered into a Securities Purchase Agreement (the “ Purchase Agreement ”) with funds affiliated with BVF Partners LP (collectively, the “ Purchaser ”), providing for the private placement (the “ Private Placement ”) to the Purchaser of an aggregate of 7,827,789 units (collectively, the “ Units ”), each Unit consisting of (i) one ordinary share, par value NIS 0.0000769 per share, of the Company (an “ Ordinary Share ”) (or, in lieu thereof, one pre-funded warrant to purchase one Ordinary Share (the “ Pre-Funded Warrants ”)) and (ii) one warrant to purchase one and a half Ordinary Shares (the “ Ordinary Share Warrant ”), for aggregate proceeds of approximately $10.0 (or $1.2775 per Unit).”

Vivos Therapeutics, Inc. issued a pre-funded warrant to purchase 429,957 shares of Common Stock (the " Pre-Funded Warrant "), (iii) a Series A Common Stock Purchase Warrant (the " Series A War of warrant to V-Co Investors 3 LLC for purchase price of $1.34 for each PIPE Share and Pre-Funded Warrant Share and associated Common Stock Purchase Warrants.

““ Warrants ”, and with the shares of Common Stock underlying the Common Stock Purchase Warrants being referred to as the “ Warrant Shares ”). V-Co 3 paid a purchase price of $1.34 for each PIPE Share and Pre-Funded Warrant Share and associated Common Stock Purchase Warrants, with such price being established for purposes of compliance with the listing rules”