Unregistered sales and modifications of equity under 8-K Items 3.02/3.03.
PIMCO Asset-Based Lending Co LLC issued 24,188 shares of common stock to third party investors for $251,572 aggregate.
“A Shares 183 1,863 Standard B Shares - - Series II Anchor I Shares 1,004,880 $ 10,403,595 Anchor II Shares 715,851 7,392,265 Anchor III Shares 61,481 638,000 E Shares 24,188 251,572 Standard A Shares 319,862 3,300,000 (1) Inclusive of shares issued pursuant to the Company’s Distribution Reinvestment Plan. The offer and sale of Shares above were exempt from”
PIMCO Asset-Based Lending Co LLC issued 61,481 shares of common stock to third party investors for $638,000 aggregate.
“Shares 1,307 13,452 Standard A Shares 183 1,863 Standard B Shares - - Series II Anchor I Shares 1,004,880 $ 10,403,595 Anchor II Shares 715,851 7,392,265 Anchor III Shares 61,481 638,000 E Shares 24,188 251,572 Standard A Shares 319,862 3,300,000 (1) Inclusive of shares issued pursuant to the Company’s Distribution Reinvestment Plan. The offer and sale of Shares”
PIMCO Asset-Based Lending Co LLC issued 715,851 shares of common stock to third party investors for $7,392,265 aggregate.
“17,522 Anchor II-B Shares - - E Shares 1,307 13,452 Standard A Shares 183 1,863 Standard B Shares - - Series II Anchor I Shares 1,004,880 $ 10,403,595 Anchor II Shares 715,851 7,392,265 Anchor III Shares 61,481 638,000 E Shares 24,188 251,572 Standard A Shares 319,862 3,300,000 (1) Inclusive of shares issued pursuant to the Company’s Distribution Reinvestment”
PIMCO Asset-Based Lending Co LLC issued 1,004,880 shares of common stock to third party investors for $10,403,595 aggregate.
“I Shares - $ - Anchor II Shares 1,714 17,522 Anchor II-B Shares - - E Shares 1,307 13,452 Standard A Shares 183 1,863 Standard B Shares - - Series II Anchor I Shares 1,004,880 $ 10,403,595 Anchor II Shares 715,851 7,392,265 Anchor III Shares 61,481 638,000 E Shares 24,188 251,572 Standard A Shares 319,862 3,300,000 (1) Inclusive of shares issued pursuant to the”
Rithm Perpetual Life Residential Trust issued 1,622,571.910 common shares of common stock to accredited investors for approximately $32.9 million.
“on March 2, 2026, the Company sold an aggregate of 1,622,571.910 common shares (the “Shares”) for aggregate consideration of approximately $32.9 million.”
GalaxyEdge Acquisition Corp issued 220,000 units of unit to Equinox Capital Solutions Limited (the Sponsor) for $10.00 per Private Unit, generating aggregate gross proceeds of $2,200,000.
“Simultaneously with the consummation of the IPO, the Company consummated a private placement (the “Private Placement”) with Equinox Capital Solutions Limited (the “Sponsor”) of 220,000 units (the “Private Units”) at a price of $10.00 per Private Unit, generating aggregate gross proceeds of $2,200,000.”
Averin Capital Acquisition Corp. issued 3,386,008 units of unit to underwriter for $10.00 per unit.
“the underwriter of its previously announced initial public offering has partially exercised its option to purchase an additional 3,386,008 units at the public offering price of $10.00 per unit, resulting in additional gross proceeds of approximately $33,860,080”
Kensington Capital Acquisition Corp. VI issued an aggregate of 3,066,667 Private Placement Warrants of warrant to the underwriters for $0.75 per Private Placement Warrant.
“an aggregate of 3,066,667 Private Placement Warrants to the underwriters at a price of $0.75 per Private Placement Warrant”
Kensington Capital Acquisition Corp. VI issued 11,533,333 Private Placement Warrants of warrant to Kensington Capital Sponsor VI LLC for $0.43 per Private Placement Warrant.
“the Company consummated the private placement of 11,533,333 Private Placement Warrants to the Sponsor at a price of $0.43 per Private Placement Warrant”
CLEARONE INC issued 437,500 shares of common stock and a warrant to purchase up to 437,500 shares of common stock of unit to First Finance Ltd. for $4.00 per share of Common Stock for aggregate gross proceeds of $1,750,000.
“On March 2, 2026, ClearOne, Inc., a Delaware corporation (the “Company”), entered into a Securities Purchase Agreement (the “Purchase Agreement”) with First Finance Ltd., a California corporation (the “Purchaser”), pursuant to which the Company agreed to issue and sell, in a private placement 437,500 shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), at a purchase price of $4.00 per share of Common Stock (the “Offering”), and a warrant (the “Warrant”) to purchase up to 437,500 shares of Common Stock (the “Warrant Shares” and, together with the Shares and Warrant, the “Securities”), for aggregate gross proceeds of $1,750,000 to the Company.”
US ENERGY CORP issued 6,525,843 shares of Common Stock of common stock to Roth Principal Investments, LLC for total proceeds of $7,300,223.
“the Company has issued and sold an aggregate of an additional 6,525,843 shares of Common Stock to Roth Principal Investments pursuant to the Purchase Agreement, representing approximately 19.1% of the Company’s outstanding shares of common stock as of September 30, 2025 for total proceeds of $7,300,223”
CAMPBELL FUND TRUST issued Units of Beneficial Interest of unit to existing and/or new unitholders for $2,678,390.00, $1,763,377.02 and $700,000.00 in cash for Series A, Series D and Series W, respectively.
“Act of 1933, as amended (the “Securities Act”). The aggregate estimate consideration for Units of Beneficial Interest, excluding escrow interest, sold on February 28, 2026 was $2,678,390.00, $1,763,377.02 and $700,000.00 in cash for Series A, Series D and Series W, respectively. The Units of Beneficial Interest were issued by Registrant in reliance upon an exemption”
Aquestive Therapeutics, Inc. issued up to 375,000 shares of warrant to funds managed by RTW Investments, LP for exercise price of $4.00 per share.
“the Company entered into a Warrant Issuance Agreement with funds managed by RTW pursuant to which the Company agreed to issue a warrant to purchase up to 375,000 shares of the Company's common stock, par value $0.001 per share (the “Common Stock”), at an exercise price of $4.00 per share, expiring on March 3, 2029.”
Star Gold Corp. issued 91,946,250 Units of unit to 40 accredited investors (including 6 affiliates) for $3,677,850 (combination of debt conversion and new capital).
“The Company raised an aggregate of $3,677,850 (in a combination of debt conversion and new capital) through the issuance of 91,946,250 Units at ($.04 per Unit) with each Unit consisting of one (1) share of Common Stock and a Warrant to purchase one-half (1/2) additional share of Common Stock”
XWELL, Inc. issued preferred stock.
“On February 26, 2026, the Company filed the Certificate of Designations, thereby creating the Preferred Stock.”
XWELL, Inc. issued Placement Agent Warrants to purchase up to 5,333,277 shares of Common Stock of warrant to Dominari Securities LLC (Placement Agent).
“the Company engaged the Placement Agent to act as an exclusive placement agent in connection with the Private Placement and agreed to, among other things, issue to the Placement Agent warrants (the “Placement Agent Warrants”) to purchase up to 5,333,277 shares of Common Stock, with the same terms as the Warrants”
XWELL, Inc. issued Warrants to purchase up to 66,665,957 shares of Common Stock of warrant to a certain accredited investor for aggregate gross proceeds of $31,333,000.
“The Company collectively issued 31,333 shares of Preferred Stock initially convertible into up to 66,665,957 shares of Common Stock and Warrants to purchase up to 66,665,957 shares of Common Stock in the Private Placement. The aggregate gross proceeds from the Private Placement were $31,333,000.”
XWELL, Inc. issued 31,333 shares of Preferred Stock of preferred stock to a certain accredited investor for aggregate gross proceeds of $31,333,000.
“The Company collectively issued 31,333 shares of Preferred Stock initially convertible into up to 66,665,957 shares of Common Stock and Warrants to purchase up to 66,665,957 shares of Common Stock in the Private Placement. The aggregate gross proceeds from the Private Placement were $31,333,000.”
Charging Robotics Inc. issued Pre-Funded Warrants to purchase shares of Common Stock of warrant to accredited investors for $3.9999 per Pre-Funded Warrant.
“with 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. On March 4, 2026, Charging Robotics Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with certain accredited investors pursuant to which the”
Charging Robotics Inc. issued 500,000 shares of Common Stock of common stock to accredited investors for $4.00 per Private Placement Share.
“with 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. On March 4, 2026, Charging Robotics Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with certain accredited investors pursuant to which the”
KALA BIO, Inc. issued 5,000,000 shares of the Company’s common stock of common stock to 2624465 Ontario Inc. o/a Younet AI for up to $530,000 in cash, of which $80,000 paid on Effective Date, and up to $450,000 additional.
“by the Company. In consideration of the services to be performed by Younet under the Agreement, the Company has agreed to pay to Younet for the Initial Term a cash fee of up to $530,000 consisting of (i) $80,000 in cash, which was paid by the Company on the Effective Date, and (ii) in the event the Company delivers to Younet a written notice electing to engage”
Wheeler Real Estate Investment Trust, Inc. issued 80,000 shares of its Series D Preferred Stock of preferred stock to unaffiliated investor (the 'Series D Investor') for 120,000 shares of 6.50% Series C Cumulative Redeemable Preferred Stock of the Company’s subsidiary Cedar Realty Trust, Inc..
“On February 26, 2026, the Company entered into a subscription agreement with an unaffiliated investor (the “Series D Investor”) pursuant to which the Company issued 80,000 shares of its Series D Preferred Stock in consideration for 120,000 shares of 6.50% Series C Cumulative Redeemable Preferred Stock (the “Cedar Series C Preferred Stock”) of the Company’s subsidiary Cedar Realty Trust, Inc. (“Cedar”) held by the Series D Investor.”
Wheeler Real Estate Investment Trust, Inc. issued 60,000 shares of its common stock of common stock to unaffiliated holder of the Company's securities (the 'Exchange Investor') for exchange for a total of 2,000 shares of the Company's Series D Cumulative Convertible Preferred Stock and 4,000 shares of the Company's Series B Convertible Pre.
“On February 26, 2026 Wheeler Real Estate Investment Trust, Inc. (the “Company”) agreed to issue a total of 60,000 shares of its common stock, $0.01 par value per share (the “Common Stock”), to an unaffiliated holder of the Company’s securities (the “Exchange Investor”) in separate exchanges for a total of 2,000 shares of the Company’s Series D Cumulative Convertible Preferred Stock (the “Series D Preferred Stock”) and 4,000 shares of the Company's Series B Convertible Preferred Stock (the “Series B Preferred Stock” and, together with the Series D Preferred Stock, the “Preferred Stock”).”
Regen BioPharma Inc issued 77,849,847 common shares of common stock for satisfaction of $53,474 of principal convertible indebtedness, $4,249 of accrued interest on convertible indebtedness and $11,000 in incurred fees.
“Between February 4, 2026 and February 27, 2026 the Company issued 77,849,847 common shares (“Shares”) in satisfaction of $53,474 of principal convertible indebtedness, $4,249 of accrued interest on convertible indebtedness and $11,000 in incurred fees.”
Cottonwood Communities, Inc. issued 134,600 shares of preferred stock to accredited investors for $10.00 per share.
“$150,000,000 in shares of our Series 2025 Preferred Stock (the "Series 2025 Private Offering"). The Series 2025 Preferred Stock is being offered for cash at a purchase price of $10.00 per share (with discounts available to certain categories of purchasers). Sales of Series 2025 Preferred Stock During the period from February 18, 2026 through March 3, 2026, we”
Blue Owl Real Estate Net Lease Trust issued 23,494,517 common shares of common stock to investors for gross proceeds of approximately $249.5 million.
“On March 2, 2026, Blue Owl Real Estate Net Lease Trust (the “ Company ,” “ ORENT ” “ we ” or “ us ”) sold an aggregate of 23,494,517 of its common shares for gross proceeds of approximately $249.5 million, based on net asset value per share as of January 31, 2026.”
North Haven Net REIT issued 3,242,643 common shares of common stock for aggregate consideration of approximately $66.8 million.
“on March 2, 2026, the Company sold an aggregate of 3,242,643 common shares (the “Shares”) for aggregate consideration of approximately $66.8 million, plus applicable upfront selling commissions and dealer manager fees, at the most recently determined net asset value per share.”
New Mountain Net Lease Trust issued 1,796,297 of common stock to unknown for $35,960,000.
“on March 2, 2026, the Company sold an aggregate of 1,796,297 of its common shares of beneficial interest, par value $0.01 per share (the “Shares”), for aggregate consideration of approximately $35.96 million at the most recently determined net asset value per share. The offer and sale of the Shares was exempt from the registration provisions of the Securities Act of 1933, as amended, by virtue of Section 4(a)(2) and Rule 506 of Regulation D promulgated thereunder. The following table details the Shares sold: Title of Securities Number of Shares Sold Aggregate Consideration Class E Common Shares 2,440 $ 50,000 Class F Common Shares 21,663 $ 435,000 Class I Common Shares 1,772,194 $ 35,479,328”
VistaOne, L.P. issued 202,736 (Class A-B); 1,019,351 (Class A-I) of unit to third-party investors, including through VistaOne (TE), L.P. for aggregate consideration of approximately $38.2 million.
“VistaOne, L.P. (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $38.2 million.”
Remora Capital Corp issued 372,845.691 shares of common stock of common stock for aggregate offering price of $3,721,000.
“On March 2, 2026, Remora Capital Corporation (the “Company”) issued 372,845.691 shares of common stock (the “Shares”) of the Company for an aggregate offering price of $3,721,000.”
Stonepeak-Plus Infrastructure Fund LP issued unit to third party investors for aggregate consideration of approximately $48,053,240.
“On February 2, 2026, Stonepeak-Plus Infrastructure Fund LP (the “Fund”) sold unregistered limited partnership units (the “Units”) to third party investors for aggregate consideration of approximately $48,053,240.”
SMITH MICRO SOFTWARE, INC. issued approximately 9.4 million shares of warrant to certain accredited investors for part of the Securities Purchase Agreement with aggregate gross proceeds of approximately $4.9 million.
“Agreement, agreed to sell to the Buyers a new series of secured convertible notes (the “ Convertible Notes ”) with an aggregate original principal amount of approximately $4.9 million and an initial conversion price of $0.68 per share, subject to adjustment as described in the Convertible Notes, and warrants to acquire up to an aggregate amount of”
SMITH MICRO SOFTWARE, INC. issued common stock issuable upon conversion at $0.68 per share of convertible note to certain accredited investors for aggregate original principal amount of approximately $4.9 million.
“agreed to sell to the Buyers a new series of secured convertible notes (the “ Convertible Notes ”) with an aggregate original principal amount of approximately $4.9 million and an initial conversion price of $0.68 per share”
CHINA PHARMA HOLDINGS, INC. issued 12,600,000 restricted shares of common stock to Xiaoyan Zhang or designated third party for $6.93 million at $0.55 per share.
“research and development, writing of registration materials, registration application and other technical services. The transfer price as contemplated by the Agreement is $6.93 million, which will be paid in the form of common stock of the Company, par value $0.001 per share, at $0.55 per share. echnical services. The transfer price as contemplated by the”
Ultra Clean Holdings, Inc. issued convertible note to initial purchasers for an additional $75,000,000 principal amount of Notes.
“On March 3, 2026, Ultra Clean Holdings, Inc. (the “ Company ”) issued $600,000,000 principal amount of its 0.00% Convertible Senior Notes due 2031 (the “ Notes ”).”
PINTEREST, INC. issued convertible note to Elliott Associates, L.P. and Elliott International, L.P. for $1 billion in aggregate principal amount.
“On March 3, 2026, the Company entered into the Investment Agreement, pursuant to which it agreed to sell $1 billion in aggregate principal amount of the Notes to Elliott.”
RREEF Property Trust, Inc. issued common stock to RREEF Fund Holding LLC for $15,000,000.
“On February 25, 2026 (the “Effective Date”), RREEF Property Trust, Inc., a Maryland corporation (the “Company”), entered into a subscription agreement with RREEF Fund Holding LLC, a Delaware limited liability company and an affiliate of the Company’s advisor (the “Investor”), whereby the Investor purchased for cash on the Effective Date $15,000,000 in shares of the Company’s unregistered Class Z common stock, par value of $0.01 per share (the “Shares”), at a price per share equal to the net asset value per share of the Company’s Class Z common stock calculated as of the close of business on the Effective Date.”
PLIANT THERAPEUTICS, INC. issued securities.
“On March 3, 2026, Pliant Therapeutics, Inc. (the “Company”) and Computershare Trust Company, N.A., as rights agent (the “Rights Agent”), entered into an Amendment to Stockholder Rights Agreement (the “Amendment”), amending the Stockholder Rights Agreement, dated as of March 12, 2025, between the Company and the Rights Agent (the “Rights Agreement”). The Amendment changes the final expiration time of the Rights (as defined in the Rights Agreement) from 5:00 p.m., New York City time on March 11, 2026 to 5:00 p.m., New York City time on March 11, 2027.”
Steele Creek Capital Corp issued common stock to accredited investors for $50,000.00.
“On March 2, 2026, the Company sold approximately $50,000.00 worth of shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), The actual number of shares of Common Stock to be issued in connection with this sale will be determined based on the to-be determined net asset value per share of the Common Stock as of a time within two business days of the sale date.”
Transcode Therapeutics, Inc. issued 1,136,364 shares of a new series of non-voting convertible preferred stock of preferred stock to Unleash Immuno Oncolytics, Inc. for one-time payment of 1,136,364 shares of a new series of non-voting convertible preferred stock.
“Unleash will receive a one-time payment of 1,136,364 shares of a new series of non-voting convertible preferred stock of TransCode, convertible into an equal number of shares of common stock of TransCode (the “Preferred Stock”).”
Partners Group Lending Fund, LLC issued 6,849 Class M units of unit to accredited investors for aggregate price of $52.5 thousand.
“As of February 1, 2026, Partners Group Lending Fund, LLC (the “Fund”) sold approximately 6,849 Class M units (the “Units”) for an aggregate price of $52.5 thousand”
HPS Corporate Capital Solutions Fund issued 185,772 Class I Common Shares, 383,622 Class D Common Shares of common stock to accredited investors and non-U.S. persons for $5.04 million (Class I), $10.40 million (Class D).
“On February 1, 2026, HPS Corporate Capital Solutions Fund (the “ Fund ”) sold common shares of beneficial interest (the “ Shares ”). The purchase price per share and number of Shares issued was finalized on February 27, 2026.”
APEX Tech Acquisition Inc. issued 208,971 units of unit to APEX Innovation Acquisition Inc. (the Sponsor) for $10.00 per Private Unit, total gross proceeds of $2,089,710.
“Simultaneously with the closing of the IPO on February 27, 2025, the Company consummated the private placement (“Private Placement”) with the Sponsor, of 208,971 units (the “Private Units”) at a price of $10.00 per Private Unit, generating total gross proceeds of $2,089,710.”
Greenland Mines Ltd issued warrants to purchase up to 34,551,939 shares of common stock of warrant to the Purchasers for aggregate gross proceeds of approximately $7,750,000 (included in the same private placement).
“On March 2, 2026, Klotho Neurosciences, Inc. (the “Company”) closed and completed the private placement (the “Financing”) contemplated by that certain Securities Purchase Agreement, dated February 19, 2026, by and among the Company and the purchasers named therein (the “Purchasers”). A copy of the Securities Purchase Agreement is included as Exhibit 10.1 to the Company’s Form 8-K filed on February 24, 2026. At the closing of the Offering, the Company issued to the Purchasers an aggregate of 34,551,939 shares of the Company’s common stock and warrants to purchase up to an aggregate of 34,551,939 shares of Common Stock (the “Warrants”).The sale of the securities resulted in aggregate gross proceeds to the Company of approximately $7,750,000.”
Greenland Mines Ltd issued 34,551,939 shares of common stock of common stock to the Purchasers for aggregate gross proceeds of approximately $7,750,000.
“On March 2, 2026, Klotho Neurosciences, Inc. (the “Company”) closed and completed the private placement (the “Financing”) contemplated by that certain Securities Purchase Agreement, dated February 19, 2026, by and among the Company and the purchasers named therein (the “Purchasers”). A copy of the Securities Purchase Agreement is included as Exhibit 10.1 to the Company’s Form 8-K filed on February 24, 2026. At the closing of the Offering, the Company issued to the Purchasers an aggregate of 34,551,939 shares of the Company’s common stock and warrants to purchase up to an aggregate of 34,551,939 shares of Common Stock (the “Warrants”).The sale of the securities resulted in aggregate gross proceeds to the Company of approximately $7,750,000.”
MIAMI INTERNATIONAL HOLDINGS, INC. issued 1,033,166 shares of common stock to two warrant holders for surrender of a total of 29,404 shares of Common Stock pursuant to cashless exercises.
“Since February 18, 2026, the end of the period covered by the most recent report filed on any of Forms 8-K, 10-K or 10-Q under this Item 3.02 by Miami International Holdings, Inc. (the “Company”), through February 25, 2026, the Company issued a total of 1,033,166 shares of its common stock, par value $0.001 per share (“Common Stock”), in connection with the exercise of pre-funded warrants and warrants held by two warrant holders of the Company in consideration for the surrender of a total of 29,404 shares of Common Stock pursuant to cashless exercises.”
MARIMED INC. issued 26,900,000 shares of New Series B Preferred Stock of preferred stock to Navy Capital Green International, Ltd. and its affiliates for extinguishment of Series B Obligation and cancellation of prior Series B Preferred Stock.
“On February 24, 2026, in connection with the Loan Restructuring Transaction described in Item 1.01 above, the Company issued 26,900,000 shares of New Series B Preferred Stock to Navy.”
Chaince Digital Holdings Inc. issued 6,500,000 ordinary shares of common stock to certain non-U.S. investors for $0.774 per ordinary share.
“Chaince Digital Holdings Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Securities Purchase Agreement”) with certain non-U.S. investors (the “Purchasers”), pursuant to which the Comnpany agreed to sell an aggregate of 6,500,000 ordinary shares of the Company par value $0.004 per share, at a purchanse price of $0.774 per ordinary share, for a total purchase price of $5,031,000”
Purebase Corp issued common stock to CoreTer.
“the Conversion Shares will be exempt from registration under Section 4(a)(2) as promulgated by the SEC under of the Securities Act, as transactions by an issuer not involving a public offering.”
Sabre Corp issued one preferred share purchase right (a 'Right') ... for each share of common stock of preferred stock for at a price of $7.00 per one one-thousandth of a Preferred Share.
“holder to purchase from the Company one one-thousandth of a share of Series B Preferred Stock, par value $0.01 per share, of the Company (the “Preferred Shares”) at a price of $7.00 per one one-thousandth of a Preferred Share represented by a Right, subject to adjustment. The Rights are in all respects subject to and governed by the provisions of the Rights”
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.