Equity Issuances

CXApp Inc. issued 4,616,481 shares of common stock of common stock to Avondale Capital, LLC for $0.24024 per share.

“issued an aggregate of 4,616,481 shares of common stock to Avondale Capital, LLC (“Avondale”) under a Pre-Paid Purchase #1, dated as of March 26, 2025, which was 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 January 26, 2026, January 27, 2026 and January 28, 2026, at a price of $0.24024 per share.”

Coya Therapeutics, Inc. issued 2,522,727 shares of common stock to certain accredited investors (including Dr. Reddy's Labs and Greenlight Capital) for $4.40 per Share.

“On January 29, 2026, Coya Therapeutics, Inc. (the “ Company ”) entered into a Securities Purchase Agreement (the “ Securities Purchase Agreement ”) with certain accredited investors (collectively, the “ Purchasers ”) for the issuance and sale in a private placement of 2,522,727 shares (the “ Shares ”) of the Company’s common stock, par value $0.0001 per share (“ Common Stock ”), at a purchase price of $4.40 per Share (the “ Offering ”).”

Brand Engagement Network Inc. issued 24,000 shares of common stock of common stock to Ben Capital Fund I, LLC for $1.518 million private placement, priced at $63.25 per share.

“BEN entered into a securities purchase agreement for a $1.518 million private placement with Ben Capital Fund I, LLC, priced at $63.25 per share, representing an issuance of 24,000 shares of common stock”

Brand Engagement Network Inc. issued 33,653 shares of Common Stock of common stock to warrant holders for total gross proceeds of $818,302.

“On January 29, 2026, the Company issued an aggregate of 33,653 shares of Common Stock upon the cash exercise of outstanding warrants, generating total gross proceeds of $818,302”

BKV Corp issued 5,315,390 shares of common stock.

“BKV issued the 5,315,390 shares of BKV common stock comprising the Stock Consideration.”

SunPower Inc. issued convertible note for $3,300,000 principal amount.

“conversion of the January 2026 12% Note and any resulting issuance of shares of Common Stock. A maximum of 1,783,783 shares of Common Stock may be issued upon conversion of the $3,300,000 principal amount of the January 2026 12% Note based on the conversion rate of 540.5405 shares of Common Stock per $1,000 principal amount of the January 2026 12% Note, which”

SunPower Inc. issued 175,000 shares of Common Stock of common stock to YA II PN, LTD..

“agreed to issued to the investor 175,000 shares of Common Stock within three days of the Effective Date, as a commitment fee”

SunPower Inc. issued convertible note to YA II PN, LTD. for principal amount of $1.9 million.

“The first tranche of the Pre-Paid Advance was disbursed on January 27, 2026 in the principal amount of $1.9 million.”

Stepstone Private Credit Fund LLC issued 4,495,241 unregistered shares of common stock to participating investors for $117.0 million.

“As of January 2, 2026, Stepstone Private Credit Fund LLC (the “Company”) sold 4,495,241 unregistered shares (the “Sold Shares”) of the Company’s limited liability company interests (the “Shares”) (with the final number of Sold Shares issued being determined on January 30, 2026) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $117.0 million.”

Senior Credit Investments, LLC issued 13,985.607 Units of unit to an investor for $25,000,000.

“therefor: Date of Unregistered Sale Amount of Units NAV per Unit Consideration As of December 31, 2025 (number of Units finalized on January 27, 2026) 13,985.607 $ 1,787.55193 $ 25,000,000 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto”

Jefferies Credit Partners BDC Inc. issued 1,027,781.950 shares of common stock to certain third-party investors for $14.82785 NAV per Share, $14,828,725 aggregate.

“therefor: Date of Unregistered Sale Amount of Shares NAV per Share Consideration As of January 2, 2026 (number of Shares finalized on January 27, 2026) 1,027,781.950 $ 14.42789 $ 14,828,725 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto”

RICHTECH ROBOTICS INC. issued 8,500,000 shares of common stock to an institutional investor for $4.55 per Share.

“Pursuant to the Purchase Agreement, the Company agreed to issue and sell to the investor, and the investor agreed to purchase from the Company, in a private placement (the “Private Placement”), 8,500,000 shares (the “Shares”) of the Company’s Class B common stock, par value $0.0001 per share (the “Common Stock”), at a purchase price of $4.55 per Share, for aggregate gross proceeds of $38,675,000, prior to deducting placement agent’s fees and other offering expenses payable by the Company.”

Principal Credit Real Estate Income Trust issued 74 shares of preferred stock for $1,000 per share.

“sold 74 shares of its 12.0% Series A Cumulative Redeemable Preferred Shares, par value $0.01 per share (the “Preferred Shares”), at a purchase price of $1,000 per share, for aggregate gross proceeds of $74,000.”

EQT Infrastructure Co LLC issued 40 Class H Shares of securities to EQT Partners Inc. for $25.00 per Class H Share, for aggregate consideration of $1,000.

“On January 30, 2026, the Company issued to EQT Partners Inc. a total of 40 Class H Shares of the Company at a price of $25.00 per Class H Share, for aggregate consideration of $1,000.”

X3 Acquisition Corp. Ltd. issued 375,000 Private Placement Warrants of warrant to X3 Acquisition Management LLC (the "Sponsor") for $1.00 per Private Placement Warrant.

“Simultaneously with the consummation of the over-allotment option on January 26, 2026, the Company also consummated the sale of an additional 375,000 Private Placement Warrants to the Sponsor at a price of $1.00 per Private Placement Warrant, generating gross proceeds of $375,000.”

X3 Acquisition Corp. Ltd. issued 5,000,000 private placement warrants of warrant to X3 Acquisition Management LLC (the "Sponsor") for $1.00 per warrant.

“Simultaneously with the closing of the Initial Public Offering, the Company consummated the sale of an aggregate of 5,000,000 private placement warrants (the “Private Placement Warrants”) to X3 Acquisition Management LLC (the “Sponsor”), at a price of $1.00 per warrant, or $5,000,000 in the aggregate.”

Space Asset Acquisition Corp. issued 230,000 Private Placement Units of unit to BTIG, LLC for $10.00 per unit.

“share of the Company, par value $0.0001 per share (the “Class A Ordinary Shares”), and one-third of one redeemable warrant (the “Warrants”). The Units were sold at a price of $10.00 per Unit, generating gross proceeds to the Company of $230,000,000. In connection with the IPO, the Company entered into the following agreements, forms of which were previously”

Space Asset Acquisition Corp. issued 415,000 Private Placement Units of unit to Sponsor for $10.00 per unit.

“Simultaneously with the closing of the IPO, pursuant to the Private Placement Units Purchase Agreements, the Company completed the private sale of 645,000 units (the “Private Placement Units”) at the initial public offering price of $10.00 per unit (for an aggregate purchase price of $6,450,000).”

Mountain Lake Acquisition Corp. II issued 980,000 units of unit to the Sponsor and BTIG for $10.00 per Private Unit, generating total proceeds of $9,800,000.

“the Company consummated a private placement (the “Private Placement”) of an aggregate of 980,000 units (the “Private Units”) to the Sponsor and BTIG, at a price of $10.00 per Private Unit, generating total proceeds of $9,800,000.”

GigCapital9 Corp. issued 281,454 Private Placement Units of unit to certain non-managing investors (none of which are affiliated with any member of the Company’s management, the Sponsor or any other investor) for $2,814,541.

“Simultaneously with the closing of the IPO, the Company completed the private sale and issuance to certain non-managing investors (none of which are affiliated with any member of the Company’s management, the Sponsor or any other investor) of (i) an aggregate of 3,178,430 Class B ordinary shares of the Company, par value of $0.0001 per share (“ Class B Ordinary Shares ”) at a price of $0.023254 per share and (ii) an aggregate of 281,454 Private Placement Units at a price of $9.7374 per unit, generating gross proceeds to the Company of $2,814,541.”

GigCapital9 Corp. issued 107,500 units of unit to Sponsor, three of the Company’s directors, certain other GigCapital Global advisors and Lynrock Lake Master Fund LP for $1,046,771.

“Simultaneously with the closing of the IPO, the Company completed the private sale and issuance of an aggregate of 107,500 units (the “ Private Placement Units”) to the Sponsor, three of the Company’s directors, certain other GigCapital Global advisors and Lynrock Lake Master Fund LP at a price of $9.7374 per unit, generating gross proceeds to the Company of $1,046,771.”

WOLFSPEED, INC. issued 871,287 shares of common stock to holders of common stock of Wolfspeed immediately prior to the Plan Effective Date.

“holders of common stock of Wolfspeed immediately prior to the Plan Effective Date will receive their pro rata portion of 871,287 shares of Common Stock.”

WOLFSPEED, INC. issued 16,852,372 shares of common stock to Renesas Electronics America Inc..

“Wolfspeed issued 16,852,372 shares of common stock, par value $0.00125 per share (“Common Stock”), of Wolfspeed to Renesas.”

AMC ENTERTAINMENT HOLDINGS, INC. issued up to 17,806,866 shares of common stock to 2029 Noteholders.

“The issuance of AMC common stock in payment of the Consent Fee will be exempt under Section 4(a)(2) of the Securities Act.”

zSpace, Inc. issued Warrants to purchase 1,000,000 shares of Common Stock of warrant to an institutional investor for initial exercise price $3.00 per share.

“Stock for an aggregate purchase price of $3,000,000. The initial purchase price per share of Series P Preferred Stock was $2.00. The initial exercise price for the Warrants is $3.00 per share, subject to standard and customary adjustments. The Company and the Purchaser may mutually agree to additional closings within one year of the Initial Closing, up to an”

zSpace, Inc. issued 1,500,000 shares of Series P Preferred Stock of preferred stock to an institutional investor for aggregate purchase price of $3,000,000; $2.00 per share.

“At the initial closing held on January 27, 2026 (the “Initial Closing”), the Purchaser purchased 1,500,000 shares of Series P Preferred Stock and Warrants to purchase 1,000,000 shares of Common Stock for an aggregate purchase price of $3,000,000.”

AMERICAN REBEL HOLDINGS INC issued 470,000 shares of Common Stock of common stock to Silverback Capital Corporation for a payment of approximately $145,700.

“On January 22, 2026, SCC requested the issuance of 470,000 shares of Common Stock to SCC, representing a payment of approximately $145,700.”

AMERICAN REBEL HOLDINGS INC issued 450,000 shares of Common Stock of common stock to Silverback Capital Corporation for a payment of approximately $143,437.50.

“On January 21, 2026, Silverback Capital Corporation (“SCC”), pursuant to the Settlement Agreement and Stipulation dated as of October 28, 2025, as amended, requested the issuance of 450,000 shares of Common Stock to SCC, representing a payment of approximately $143,437.50.”

AMERICAN REBEL HOLDINGS INC issued 34,831 shares of the Company’s common stock of common stock to Streeterville Capital, LLC.

“On January 26, 2026, the Company issued Streeterville 34,831 shares of common stock pursuant to the exchange set forth in Item 1.01 above.”

AMERICAN REBEL HOLDINGS INC issued 7,008,773 shares of the Company’s common stock of common stock to Streeterville Capital, LLC.

“On January 22, 2026, the Company issued Streeterville 7,008,773 shares of common stock pursuant to the Exchanges set forth in Item 1.01 above.”

Crypto Co issued 86,666,667 shares of the Company’s common stock of common stock to institutional and other accredited investors: The New VC, LLC, E&M Family Trust, Tristan Bordallo, and Jeffrey L. Dayton for aggregate purchase price of $105,000 and 0.2659574468 BTC.

“agreed to sell and issue to the Investors an aggregate of 86,666,667 shares of the Company’s common stock, par value $0.001 (“ Common Stock ”) for an aggregate purchase price of $105,000 and 0.2659574468 BTC. The Subscription Agreements contain customary representations, warranties and covenants that were made solely for the benefit of the parties to the”

Carlyle Credit Solutions, Inc. issued 6,511,297 shares of common stock to investors for $122.5 million.

“As of January 1, 2026, Carlyle Credit Solutions, Inc. (the “Company”) issued and sold 6,511,297 shares of the Company’s Class I common stock, par value $0.01 per share (the “Class I Common Stock”), with the final number of shares being determined on January 28, 2026 for aggregate consideration of $122.5 million.”

urban-gro, Inc. issued 2,000,000 unregistered shares of common stock to certain accredited investors for $0.10 per share.

“the Company agreed to issue an aggregate of 2,000,000 unregistered shares of the Company’s common stock (the “Shares”) to the Investors at a price of $0.10 per share for aggregate gross proceeds of $200,000”

Aprea Therapeutics, Inc. issued up to 6,288,857 shares of Common Stock of warrant to certain accredited investors for $0.89 per unit (combined with share or warrant).

“Warrants, the “ Warrants ”). The combined effective offering price of each Private Placement Share or Pre-Funded Warrant and accompanying Common Warrant to be issued is $0.89 and represents the “ Minimum Price ” in accordance with Nasdaq Listing Rule 5635(d), for expected aggregate gross proceeds at closing of approximately $5.6 million. The closing of”

Aprea Therapeutics, Inc. issued warrant to certain accredited investors for $0.89 per unit (combined with share or warrant).

“Warrants, the “ Warrants ”). The combined effective offering price of each Private Placement Share or Pre-Funded Warrant and accompanying Common Warrant to be issued is $0.89 and represents the “ Minimum Price ” in accordance with Nasdaq Listing Rule 5635(d), for expected aggregate gross proceeds at closing of approximately $5.6 million. The closing of”

Aprea Therapeutics, Inc. issued 6,288,857 shares of common stock to certain accredited investors for $0.89 per unit (combined with warrant).

“Warrants, the “ Warrants ”). The combined effective offering price of each Private Placement Share or Pre-Funded Warrant and accompanying Common Warrant to be issued is $0.89 and represents the “ Minimum Price ” in accordance with Nasdaq Listing Rule 5635(d), for expected aggregate gross proceeds at closing of approximately $5.6 million. The closing of”

REVELATION BIOSCIENCES, INC. issued 17,089,998 pre-split (4,272,500 post-split) new common stock warrants of warrant to two holders for aggregate gross proceeds of approximately $7.3 million from the exercise of Existing Warrants.

“new common stock warrants (the “Class J Common Stock Warrants”) as described below. The aggregate gross proceeds from the exercise of the Existing Warrants is approximately $7.3 million, before deducting financial advisory fees. The issuance of the Class J Common Stock Warrants was structured as an at-market transaction under Nasdaq rules. The Company intends to”

Sono Group N.V. issued convertible note to YA II PN, Ltd. ("Yorkville") for $600,000 aggregate principal.

“On January 26, 2026, Sono Group N.V. (the “Company”) issued a convertible debenture (the “Debenture”) to YA II PN, Ltd. (“Yorkville”) in the aggregate principal amount of $600,000.”

Rainmaker Worldwide Inc. issued 1,249,178 shares of common stock to existing security holders for total converted indebtedness of $43,378.

“(comprised of two notes in the principal amount of $18,000 each), plus $7,378 of accrued and unpaid interest (comprised of $3,689 per note), for total converted indebtedness of $43,378. The notes were converted at a fixed conversion price of $0.034725 per share, in accordance with their respective terms. Following the issuance, the Company has 85,048,906 shares”

Blackstone Private Equity Strategies Fund L.P. issued 1,492,765 Class I Units Series I, 2,151,191 Class S Units, 59,047 Class D Units of unit to accredited investors and qualified purchasers for aggregate consideration of approximately $123.8 million.

“and collectively with BXPE U.S., the “Funds,”) each sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $364.2 million (1) and $123.8 million (2) , respectively. The following table details the Units sold by the Funds: Number of Units Sold (3) Consideration Blackstone Private Equity Strategies Fund L.P. Class I Units”

Blackstone Private Equity Strategies Fund L.P. issued 6,619,485 Class I Units Series I, 3,708,965 Class S Units, 397,345 Class D Units of unit to accredited investors and qualified purchasers for aggregate consideration of approximately $364.2 million.

“L.P. (the “Feeder” and collectively with BXPE U.S., the “Funds,”) each sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $364.2 million (1) and $123.8 million (2) , respectively. The following table details the Units sold by the Funds: Number of Units Sold (3) Consideration Blackstone Private Equity Strategies”

CHEETAH NET SUPPLY CHAIN SERVICE INC. issued an aggregate of 33,450,000 shares of Class A common stock of common stock to certain investors for aggregate amount of $40.14 million.

“On January 27, 2026, Cheetah Net Supply Chain Service Inc. (the “ Company ”) entered into certain stock purchase agreements (the “ SPAs ”) with certain investors (the “ Purchasers ”), pursuant to which the Company agreed to sell, and the Purchasers agreed to purchase, severally and not jointly, an aggregate of 33,450,000 shares of Class A common stock, par value $0.0001 per share, of the Company (the “ Shares ”) in an aggregate amount of $40.14 million (the “ Offering ”).”

USA Rare Earth, Inc. issued 69,767,442 shares of common stock to several purchasers named therein for $21.50 per share.

“69,767,442 shares of the Company’s common stock, par value $0.0001 per share (the “Shares”), for aggregate gross proceeds of approximately $1.5 billion, at a price per share of $21.50. On January 28, 2026 (the “Closing Date”), the Company closed the Private Placement and issued the Shares (the “Closing”). The Company intends to use the net proceeds from the”

NEONC TECHNOLOGIES HOLDINGS, INC. issued Warrants to purchase 1,388,888 shares of Common Stock of warrant to a single institutional investor for $10 million.

“The initial closing further to the Agreement consisted of the issuance of 1,388,888 Shares and Warrants to purchase 1,388,888 shares of Common Stock to a single institutional investor at a purchase price of $10 million.”

NEONC TECHNOLOGIES HOLDINGS, INC. issued 1,388,888 Shares of common stock to a single institutional investor for $10 million.

“The initial closing further to the Agreement consisted of the issuance of 1,388,888 Shares and Warrants to purchase 1,388,888 shares of Common Stock to a single institutional investor at a purchase price of $10 million.”

Blackstone Infrastructure Strategies L.P. issued 5,193,072 Class I Units; 1,962,925 Class S Units; 17,899 Class D Units of unit for aggregate consideration of approximately $197.3 million.

“On January 1, 2026, Blackstone Infrastructure Strategies L.P. (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $197.3 million”

ATLANTIC INTERNATIONAL CORP. issued four million (4,000,000) shares of Common Stock of common stock to E.F. Hutton & Co, LLC.

“Pursuant to an agreement dated November 12, 2025, by and between Axiom and E.F. Hutton & Co, LLC (“EF Hutton”) concerning financial advisory services provided to Axiom, EF Hutton shall be paid a transaction fee of four million (4,000,000) shares of Common Stock.”

ATLANTIC INTERNATIONAL CORP. issued issuance of shares of Common Stock pursuant to the Convertible Note Consideration of common stock to Axiom.

“See Item 2.01 regarding the Initial Share Consideration to Guus Franke and the issuance of shares of Common Stock pursuant to the Convertible Note Consideration to Axiom, subject to Atlantic Stockholder Approval.”

ATLANTIC INTERNATIONAL CORP. issued Initial Share Consideration of common stock to Guus Franke.

“See Item 2.01 regarding the Initial Share Consideration to Guus Franke and the issuance of shares of Common Stock pursuant to the Convertible Note Consideration to Axiom, subject to Atlantic Stockholder Approval.”

Cottonwood Communities, Inc. issued 140,943 shares of preferred stock to accredited investors for aggregate proceeds of $1,349,500.

“During the period from January 8, 2026 through January 27, 2026, we issued and sold 140,943 shares of Series 2025 Preferred Stock in the Series 2025 Private Offering and received aggregate proceeds of $1,349,500.”