Equity Issuances

SharonAI Holdings Inc. issued common stock.

“on December 16, 2025, Pubco filed the New Charter with the Delaware Secretary of State, and also adopted the New Bylaws, which replace Roth CH’s governing documents in effect as of such time, respectively.”

SharonAI Holdings Inc. issued 18,749,999 shares of common stock for automatic conversion of the December 2025 Convertible Notes.

“On December 18, 2025, Pubco issued 18,749,999 shares of its Class A Ordinary Common Stock upon the automatic conversion of the December 2025 Convertible Notes.”

SharonAI Holdings Inc. issued 2,249,000 shares of common stock to certain former officers and directors of Roth CH for cancellation of indebtedness.

“On December 17, 2025, Pubco issued 2,249,000 shares of its Class A Ordinary Common Stock to certain former officers and directors of Roth CH in consideration of cancellation of indebtedness held by them.”

SharonAI Holdings Inc. issued convertible note to three accredited investors for aggregate amount of $2,250,000.

“On December 17, 2025 Pubco issued convertible promissory notes to three accredited investors pursuant to which it issued convertible promissory notes in the aggregate amount of $2,250,000 to the investors in consideration of $2,250,000.”

American Drive Acquisition Co issued aggregate of 4,000,000 warrants of warrant to the Sponsor and the Representative for $1.50 per Private Placement Warrant, or $6,000,000 in the aggregate.

“Simultaneously with the closing of the IPO, pursuant to the Sponsor Private Placement Warrants Purchase Agreement and the Cantor Private Placement Warrants Purchase Agreement, the Company completed the private sale of an aggregate of 4,000,000 warrants (the “ Private Placement Warrants ”) to the Sponsor and the Representative, with each Private Placement Warrant exercisable to purchase one Class A ordinary share at $11.50 per share, at a price of $1.50 per Private Placement Warrant, or $6,000,000 in the aggregate.”

AMC ENTERTAINMENT HOLDINGS, INC. issued common stock to the Exchangeable Noteholders.

“The issuance of AMC common stock in payment of the Consent Fee and any shares of AMC common stock that may be issued in the future upon exchange of the Exchangeable Notes will be exempt under Section 4(a)(2) and/or 3(a)(9) of the Securities Act of 1933, as amended (the “Securities Act”).”

Permian Resources Corp issued 48,916,754 New PR Class A Shares of common stock to Contributing Members.

“In connection with the Reorganization, pursuant to the Share Surrender and Unit Exchange Agreement, New PR is expected to issue 48,916,754 New PR Class A Shares to the Contributing Members immediately following the Effective Time.”

Monroe Capital Income Plus Corp issued 6,059,562 shares of common stock to each investor in the registrant for $9.98 per share.

“On December 1, 2025, Monroe Capital Income Plus Corporation (the "Company") issued an aggregate of 6,059,562 shares of its common stock, par value $0.01 per share (the “Common Stock”), at a price per share of $9.98 (with the final number of shares being determined on December 22, 2025), for an aggregate offering price of $60,474,429.”

Assertio Holdings, Inc. issued Reverse Stock Split at a ratio of 1:15 of common stock.

“On December 19, 2025, Assertio Holdings, Inc. (the “ Company ”) filed a Certificate of Amendment to its certificate of incorporation (the “ Certificate of Amendment ”) to implement a reverse stock split (the “ Reverse Split ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), at a ratio of 1:15 (the “ Reverse Split Ratio ”).”

SLR HC BDC LLC issued approximately 580 thousand of the Company's units of unit for aggregate offering price of $12.5 million.

“On December 16, 2025, SLR HC BDC LLC (the “Company”) delivered a capital drawdown notice to its members relating to the sale of approximately 580 thousand of the Company’s units (the “Units”), for an aggregate offering price of $12.5 million.”

Brand Engagement Network Inc. issued 131,000 warrants of warrant to Joseph Bevash for $275,100 of debt.

“Joseph Bevash converted $275,100 of debt into 131,000 shares of common stock and received 131,000 warrants to purchase common stock at $2.10 per share, expiring in 90 days.”

Brand Engagement Network Inc. issued 131,000 shares of common stock of common stock to Joseph Bevash for $275,100 of debt.

“Joseph Bevash converted $275,100 of debt into 131,000 shares of common stock and received 131,000 warrants to purchase common stock at $2.10 per share, expiring in 90 days.”

Brand Engagement Network Inc. issued 166,700 shares of common stock of common stock to L5 LLC (or its assignee) for $350,070 of short-term liabilities.

“L5 LLC (or its assignee) converted $350,070 of short-term liabilities into 166,700 shares of common stock.”

Brand Engagement Network Inc. issued 133,040 warrants of warrant to BEN Capital Fund I, LLC for $279,384 of debt.

“BEN Capital Fund I, LLC converted $279,384 of debt into 133,040 shares of common stock and received 133,040 warrants to purchase common stock at $2.10 per share, expiring in 90 days.”

Brand Engagement Network Inc. issued 133,040 shares of common stock of common stock to BEN Capital Fund I, LLC for $279,384 of debt.

“BEN Capital Fund I, LLC converted $279,384 of debt into 133,040 shares of common stock and received 133,040 warrants to purchase common stock at $2.10 per share, expiring in 90 days.”

ARES STRATEGIC INCOME FUND issued 5,175,724 shares of common stock to accredited investors for $142.2 million.

“During December 2025, the Fund sold Class I common shares of beneficial interest. The number of shares to be issued was finalized on December 22, 2025. The purchase price per Class I common share equaled the Fund’s net asset value (“NAV”) per Class I common share as of November 30, 2025.”

SLR Private Credit BDC II LLC issued approximately 200 thousand of the Company's units of unit to an investment fund created by a financial institution unaffiliated with the Company (the "Access Fund") for $3.4 million.

“On December 16, 2025, SLR Private Credit BDC II LLC (the “Company”) delivered a capital drawdown notice to its investor, an investment fund created by a financial institution unaffiliated with the Company (the “Access Fund”), relating to the sale of approximately 200 thousand of the Company’s units (the “Units”), for an aggregate offering price of $3.4 million.”

Overland Advantage issued common shares of beneficial interest, par value $0.001 per share of common stock to a certain investor for aggregate offering price of $3,359,111 (which represents an estimated $24.96 per Common Share).

“On December 19, 2025, Overland Advantage (the “ Company ”) delivered a catch-up capital call notice to a certain investor relating to the sale of the Company’s common shares of beneficial interest, par value $0.001 per share (the “ Common Shares ”), for an aggregate offering price of $3,359,111 (which represents an estimated $24.96 per Common Share). The sale is expected to close on December 31, 2025.”

Classover Holdings, Inc. issued common stock.

“certain rights of the Company’s stockholders will be changed as a result of the Redomestication.”

Stone Point Credit Income Fund issued 140,692.206 of common stock to accredited investors for $3,500,000.00 aggregate.

“On December 1, 2025 (with the final number of shares being determined on December 16, 2025), Stone Point Credit Income Fund (the “Fund”) issued and sold 140,692.206 of the Fund’s common shares, par value $0.001 per share (the “Common Shares”), at a net asset value of $24.8770 per share, pursuant to the subscription agreements entered into by the Fund and its investors, for an aggregate offering price of $3,500,000.00.”

Ares Core Infrastructure Fund issued 8,009,681 shares of common stock for $200.6 million aggregate.

“On December 1, 2025, Ares Core Infrastructure Fund (the “Fund”) sold common shares of beneficial interest (“Common Shares”) for an aggregate purchase price of $200.6 million .”

New Mountain Private Credit Fund issued 51,525 of its common shares of beneficial interest of common stock to accredited investors for aggregate consideration of approximately $1.3 million at a price per Share equal to $24.26.

“the Company sold an aggregate of 51,525 of its common shares of beneficial interest for the month of December (the “Shares”), for aggregate consideration of approximately $1.3 million at a price per Share equal to $24.26”

Launchpad Cadenza Acquisition Corp I issued 4,116,667 warrants of warrant to the Sponsor and the Representative for at a price of $1.50 per Private Placement Warrant, or $6,175,000.50 in the aggregate.

“Simultaneously with the closing of the IPO, pursuant to the Sponsor Private Placement Warrants Purchase Agreement and the Cantor Private Placement Warrants Purchase Agreement, the Company completed the private sale of an aggregate of 4,116,667 warrants (the “ Private Placement Warrants ”) to the Sponsor and the Representative, with each Private Placement Warrant exercisable to purchase one Class A ordinary share at $11.50 per share, at a price of $1.50 per Private Placement Warrant, or $6,175,000.50 in the aggregate.”

Emmaus Life Sciences, Inc. issued convertible promissory note, principal $600,000 of convertible note to a single individual for surrender for cancellation of $3,000,000 convertible promissory note.

“On December 17, 2025, Emmaus Life Sciences, Inc. (“we,” “us,” “our,” “Emmaus” and the “company”) entered into an Exchange Agreement dated as of the same day pursuant to which we agreed to issue to a single individual 6,332,692 shares of common stock of the company valued for this purpose at approximately $0.38 per share (the “Exchange Shares”) and a convertible promissory note in the principal amount of $600,000 (the “Exchange Note” and together with the Exchange Shares, the “Exchange Securities”) in exchange for the surrender for cancellation and satisfaction of the principal amount of an outstanding convertible promissory note currently due and payable in the principal amount of $3,000,000 (the “Subject Note”).”

Emmaus Life Sciences, Inc. issued 6,332,692 shares of common stock to a single individual for surrender for cancellation of $3,000,000 convertible promissory note.

“On December 17, 2025, Emmaus Life Sciences, Inc. (“we,” “us,” “our,” “Emmaus” and the “company”) entered into an Exchange Agreement dated as of the same day pursuant to which we agreed to issue to a single individual 6,332,692 shares of common stock of the company valued for this purpose at approximately $0.38 per share (the “Exchange Shares”) and a convertible promissory note in the principal amount of $600,000 (the “Exchange Note” and together with the Exchange Shares, the “Exchange Securities”) in exchange for the surrender for cancellation and satisfaction of the principal amount of an outstanding convertible promissory note currently due and payable in the principal amount of $3,000,000 (the “Subject Note”).”

XCel Brands, Inc. issued warrants to purchase up to 835,023 shares of common stock of warrant to accredited investors for $1.2275 per share.

“common stock purchase warrants to purchase up to 835,023 shares of common stock at a purchase price of $1.2275 per share”

XCel Brands, Inc. issued 1,670,055 shares of common stock (or pre-funded warrants in lieu thereof) of common stock to accredited investors for $1.2275 per share.

“the Company is selling an aggregate of 1,670,055 shares of common stock (or pre-funded warrants in lieu thereof) and common stock purchase warrants to purchase up to 835,023 shares of common stock at a purchase price of $1.2275 per share (or pre-funded warrants in lieu thereof) and one-half common stock purchase warrant”

abrdn Income Credit Strategies Fund issued 4,000,000 shares of preferred stock to each purchaser named therein for gross proceeds from the sale of the MRP Shares of $100 million.

“pursuant to Rule 506(c) under the Securities Act of 1933, as amended (the “Preferred Placement”). The Fund received gross proceeds from the sale of the MRP Shares of $100 million. t from registration pursuant to Rule 506(c) under the Securities Act of 1933, as amended (the “Preferred Placement”). The Fund received gross proceeds from the sale of the MRP”

Streamex Corp. issued convertible note to YA II PN, LTD. (Yorkville) for principal amount of $25,000,000.

“on December 17, 2025 (the "Second Closing Date"), the Company issued the second tranche of Convertible Debenture to Yorkville with a principal amount of $25,000,000”

Rocky Mountain Chocolate Factory, Inc. issued 1,500,000 of shares of common stock to ARM-D Rocky Mountain Chocolate Holdings LLC for $1.80 per share.

“On December 18, 2025, Rocky Mountain Chocolate Factory, Inc. (the “Company”) completed the private placement of an aggregate of 1,500,000 of shares of the Company’s common stock at a price per share equal to $1.80 (the “Transaction”) to ARM-D Rocky Mountain Chocolate Holdings LLC (the “Purchaser”) pursuant to a securities purchase agreement”

Carlyle Credit Solutions, Inc. issued 178,707 shares of common stock for aggregate consideration of $3.4 million.

“As of December 1, 2025, Carlyle Credit Solutions, Inc. (the “Company”) issued and sold 178,707 shares of the Company’s common stock, par value $0.01 per share (the “Common Stock”), with the final number of shares being determined on December 18, 2025 for aggregate consideration of $3.4 million.”

XAI Octagon Floating Rate & Alternative Income Trust issued 2,300,000 MRP Shares of preferred stock to Purchasers named in the Purchase Agreement for $10.00 per MRP Share.

“(the “Purchasers”), in connection with the issuance and sale of up to 7,300,000 shares of the Trust’s Series A Mandatory Redeemable Preferred Shares, liquidation preference of $10.00 (the “MRP Shares”), at a price equal to $10.00 per MRP Share, in two transactions exempt from registration pursuant to Section 4(a)(2) of the Securities Act of 1933. On December”

IN8BIO, INC. issued Pre-Funded Warrants to purchase up to 9,452,677 Warrant Shares, at a purchase price of $1.3799 per Pre-Funded Warrant of warrant to the Investors for aggregate gross proceeds of approximately $20.1 million.

“At the Initial Closing, the Company has agreed to issue and sell to the Investors an aggregate of 5,127,029 Shares of Common Stock, at a purchase price of $1.38 per Share (the “Share Price”), and, in lieu of Common Stock, Pre-Funded Warrants to purchase up to 9,452,677 Warrant Shares, at a purchase price of $1.3799 per Pre-Funded Warrant (the “Pre-Funded Warrant Price”) for aggregate gross proceeds of approximately $20.1 million, before deducting placement agent fees and other private placement expenses.”

IN8BIO, INC. issued 5,127,029 Shares of Common Stock, at a purchase price of $1.38 per Share of common stock to the Investors for aggregate gross proceeds of approximately $20.1 million.

“to purchase up to 9,452,677 Warrant Shares, at a purchase price of $1.3799 per Pre-Funded Warrant (the “Pre-Funded Warrant Price”) for aggregate gross proceeds of approximately $20.1 million, before deducting placement agent fees and other private placement expenses. Pursuant to the Purchase Agreement, subject to the occurrence of the Second Closing Trigger (as”

Mirum Pharmaceuticals, Inc. issued 1,000,000 shares of common stock to entities associated with TCG Crossover Management, LLC for aggregate gross purchase price of approximately $68,480,000.

“On December 18, 2025, Mirum Pharmaceuticals, Inc. (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with entities associated with TCG Crossover Management, LLC (“TCGX”), an institutional investor (the “PIPE Investors”), pursuant to which the PIPE Investors have agreed, subject to the terms and conditions of the Subscription Agreement, to purchase immediately following the Closing (as defined below), 1,000,000 shares (the “PIPE Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), for an aggregate gross purchase price of approximately $68,480,000 (the “Private Placement”).”

Star Mountain Lower Middle-Market Capital Corp issued 204,258.012 shares of common stock to accredited investors for $4,845,000.00.

“issued and sold 204,258.012 shares of the Company's common stock, par value $0.001 per share (the “Common Stock”), on December 19, 2025, for an aggregate offering price of $4,845,000.00.”

Blackstone Private Credit Fund issued 12,674,689 of common stock to multiple investors for $315,219,519.

“As of December 1, 2025, Blackstone Private Credit Fund (the “ Fund ”) sold unregistered Class I common shares of beneficial interest (with the final number of shares being determined on December 18, 2025). The offer and sale of these Class I shares was exempt from the registration provisions of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2) and/or Regulation S thereunder (the “ Private Offering ”). The following table details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of December 1, 2025 (number of shares finalized on December 18, 2025) 12,674,689 $ 315,219,519”

Energy Vault Holdings, Inc. issued convertible note to the Investor.

“The disclosure set forth above in Item 2.03 of this Current Report relating to the issuance of shares of Common Stock to the Investor pursuant to the Purchase Agreement, including any shares to be issued in connection with a conversion of the Debentures, and relating to the issuance of the Debentures, is incorporated by reference herein in its entirety.”

Energy Vault Holdings, Inc. issued common stock to the Investor.

“The disclosure set forth above in Item 2.03 of this Current Report relating to the issuance of shares of Common Stock to the Investor pursuant to the Purchase Agreement, including any shares to be issued in connection with a conversion of the Debentures, and relating to the issuance of the Debentures, is incorporated by reference herein in its entirety.”

Barings Private Credit Corp issued 3,612,707.910 unregistered shares of common stock to participating investors for aggregate consideration of approximately $73.8 million.

“As of December 1, 2025, Barings Private Credit Corporation (the “Company”) sold 3,612,707.910 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 December 19, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $73.8 million.”

ECD Automotive Design, Inc. issued common stock.

“the Board adopted a resolution to amend the Company’s Bylaws to reduce the quorum requirement to hold a stockholder meeting for the transaction of business from a majority of the outstanding shares of capital stock of the Company entitled to vote at the meeting to 33 1/3 percent of the outstanding shares of capital stock of the Company entitled to vote at the meeting”

MANGOCEUTICALS, INC. issued 500,000 pre-funded warrants of warrant to institutional investor for $1.29499 per Pre-Funded Warrant.

“registered direct offering, (A) 1,430,502 shares (the “Common Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company, at an offering price of $1.295 per share, and (B) 500,000 pre-funded warrants (the “Pre-Funded Warrants”) in lieu of the Common Shares, at an offering price of $1.29499 per Pre-Funded Warrant (such registered”

MANGOCEUTICALS, INC. issued an aggregate of up to 1,930,502 shares of Common Stock of warrant to institutional investor for aggregate gross proceeds of approximately $2.5 million.

“exercisable for an aggregate of up to 1,930,502 shares of Common Stock, at an exercise price of $1.4245 per warrant share for aggregate gross proceeds of approximately $2.5 million. The Pre-Funded Warrants are immediately exercisable and may be exercised at an exercise price of $0.00001 per warrant share at any time until all of the Pre-Funded Warrants are”

MANGOCEUTICALS, INC. issued 1,430,502 shares of common stock to institutional investor for $1.295 per share.

“registered direct offering, (A) 1,430,502 shares (the “Common Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company, at an offering price of $1.295 per share, and (B) 500,000 pre-funded warrants (the “Pre-Funded Warrants”) in lieu of the Common Shares, at an offering price of $1.29499 per Pre-Funded Warrant (such registered”

Blue Owl Real Estate Net Lease Trust issued 3,833,067 shares of common stock to feeder vehicles primarily created to hold the Company's Class I common shares for gross proceeds of approximately $40.2 million.

“As of December 1, 2025, Blue Owl Real Estate Net Lease Trust (the “ Company ”, “ we ”, or “ us ”) sold 3,833,067 shares of its Class I common shares (with the final number of shares being determined on December 15, 2025) to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $40.2 million, based on net asset value (“ NAV ”) per share as of November 30, 2025.”

Lakeside Holding Ltd issued 8,400,000 shares of Common Stock of common stock to certain investors for $0.70 per share.

“warranties and covenants by the parties to the agreement. Pursuant to the Securities Purchase Agreement, the Investors have agreed to purchase the Shares at a purchase price of $0.70 per share. The Company expects to use the net proceeds from the Private Placement for general corporate purposes. The foregoing description of the Securities Purchase Agreement is”

5C Lending Partners Corp. issued approximately 1,585,414 shares of common stock of common stock to investors for gross proceeds of approximately $40,000,000.

“On December 17, 2025, 5C Lending Partners Corp. (the “Company”) issued and sold approximately 1,585,414 shares of common stock, par value $0.001 per share (the “Common Stock”) resulting in gross proceeds of approximately $40,000,000.”

Fortress Private Lending Fund issued 1,852,351 Class I common shares of common stock to accredited investors for $46.0 million aggregate consideration, purchase price per Share equaled NAV per Share as of November 30, 2025.

“During December 2025, Fortress Private Lending Fund (the “Company”) sold its Class I common shares of beneficial interest, par value $0.01 per share (the “Shares”) for aggregate consideration of $46.0 million. The number of Shares to be issued was finalized on December 17, 2025. The purchase price per Share equaled the Company’s net asset value (“NAV”) per Share as of November 30, 2025.”

Frontier Communications Parent, Inc. issued convertible note to Verizon Communications Inc. for maximum initial principal amount of credit of up to $200 million.

“on August 27, 2025, Frontier Communications Parent, Inc. (the “ Company ”), Frontier Communications Holdings, LLC (“ Frontier Holdings ”) and Verizon Communications Inc. (“ Verizon ”) entered into a Convertible Unsecured Promissory Note (the “ Convertible Note ”) pursuant to which Verizon agreed to extend a maximum initial principal amount of credit of up to $200 million to Frontier Holdings, with $50 million drawn by Frontier Holdings at issuance”

Churchill Capital Corp XI issued 500,000 units of unit to Churchill Sponsor XI LLC (the Sponsor) for $10.00 per Private Placement Unit.

“Simultaneously with the closing of the IPO, pursuant to the Private Placement Units Purchase Agreement, the Company completed the private sale of an aggregate of 500,000 units (the “ Private Placement Units ”) to the Sponsor at a purchase price of $10.00 per Private Placement Unit, generating gross proceeds to the Company of $5,000,000.”