Equity Issuances

Carlyle Private Equity Partners Fund, L.P. issued 19,128 of unit to an affiliate of the Fund’s general partner, CPEP GP, LLC for $500,000.

“table provides details on the Units sold to investors by the Fund: Class Number of Units Sold (1,2) Aggregate Consideration (2) Class E-I 195,716 $ 5,088,625 Class C (3) 19,128 $ 500,000 __________ (1) The number of Units sold by the Fund was finalized on November 26, 2025 , following the calculation of the Fund’s Transactional Net Asset Value (“Transactional”

Carlyle Private Equity Partners Fund, L.P. issued 195,716 of unit to certain investors for $5,088,625.

“$5.6 million . The following table provides details on the Units sold to investors by the Fund: Class Number of Units Sold (1,2) Aggregate Consideration (2) Class E-I 195,716 $ 5,088,625 Class C (3) 19,128 $ 500,000 __________ (1) The number of Units sold by the Fund was finalized on November 26, 2025 , following the calculation of the Fund’s Transactional Net”

INTERPUBLIC GROUP OF COMPANIES, INC. issued each issued and outstanding share of Company common stock of common stock.

“As a result of the Merger, each issued and outstanding share of Company common stock was cancelled and each holder of Company common stock ceased to have any rights as a stockholder of the Company other than the right to receive the Merger Consideration as set forth in the Merger Agreement.”

BREAD FINANCIAL HOLDINGS, INC. issued 3,000,000 depositary shares of preferred stock to public investors for not specified.

“On November 25, 2025, the Company issued and sold 3,000,000 depositary shares (the “Depositary Shares”), each representing a 1/40th interest in a share of the Series A Preferred Stock.”

KALA BIO, Inc. issued 2,100,000 Series AAA Preferred Shares of preferred stock to the Investor for $2.00 per Series AAA Preferred Share.

“Company has also agreed to issue and sell to the Investor at a second closing of the Private Placement (the “Second Closing”), 2,100,000 Series AAA Preferred Shares, at a price per Series AAA Preferred Share equal to $2.00, for aggregate gross proceeds of $4.2 million”

KALA BIO, Inc. issued 900,000 Series AA Preferred Shares of preferred stock to the Investor for $2.00 per Series AA Preferred Share.

“Company has agreed to issue and sell to the Investor at a first closing of the Private Placement to be held immediately following the execution of the Securities Purchase Agreement (the “First Closing”), 900,000 Series AA Preferred Shares, at a price per Series AA Preferred Share equal to $2.00, for aggregate gross proceeds of $1.8 million. The First Closing occurred on November 24, 2025”

Lunai Bioworks Inc. issued 1,044,444 three-year warrants, executable after sixty (60) days of warrant to an accredited investor for included in aggregate gross proceeds of $3,133,333.

“and 1,044,444 three-year warrants, executable after sixty (60) days (the “Warrants”) for aggregate gross proceeds of $3,133,333”

Lunai Bioworks Inc. issued 3,133,333 shares of its common stock of common stock to an accredited investor for $1.00 per share.

“On November 24, 2025, Lunai Bioworks Inc. (“Lunai” or the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with an accredited investor (the “Investor”), pursuant to which the Company agreed to sell, and the Investor agreed to purchase, in a private placement, 3,133,333 shares of its common stock, par value $0.001 per share (the “Shares”), at a purchase price of $1.00 per share”

Azitra, Inc. issued 187,500 shares of Common Stock of warrant to Maxim Group LLC, as sole placement agent for exercise price equal to 125% of the Offering Price.

“(the “Placement Agent Warrant Shares”), equal to 4.0% of the total number of shares of Common Stock and Pre-Funded Warrants sold in the Offering, at an exercise price equal to 125% of the Offering Price; and (iii) reimburse the Placement Agent for certain out of pocket expenses, including the reasonable fees of legal counsel, in an amount not to exceed”

Azitra, Inc. issued up to an aggregate of 4,687,500 shares of Common Stock of warrant to a single institutional investor for $0.32 per Common Warrant.

“up to an aggregate of 4,687,500 shares of Common Stock (the “Common Warrant Shares” together with the Pre-Funded Warrant Shares, the “Warrant Shares”) at an exercise price of $0.32 per Common Warrant. The offering price was $0.32 per share of Common Stock or Pre-Funded Warrant and accompanying Common Warrant (the “Offering Price”). The Pre-Funded Warrants”

Azitra, Inc. issued up to an aggregate of 4,151,741 shares of Common Stock of warrant to a single institutional investor for $0.0001 per Pre-Funded Warrant.

“private placement offering priced at a premium to market in accordance with NYSE rules (the “Offering”) an aggregate of 535,759 shares of common stock of the Company, par value $0.0001 per share (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase up to an aggregate of 4,151,741 shares of Common Stock (the “Pre-Funded”

Azitra, Inc. issued 535,759 shares of common stock of common stock to a single institutional investor for $0.32 per share.

“up to an aggregate of 4,687,500 shares of Common Stock (the “Common Warrant Shares” together with the Pre-Funded Warrant Shares, the “Warrant Shares”) at an exercise price of $0.32 per Common Warrant. The offering price was $0.32 per share of Common Stock or Pre-Funded Warrant and accompanying Common Warrant (the “Offering Price”). The Pre-Funded Warrants”

Reborn Coffee, Inc. issued 366,972 shares of common stock to Zonglin Guo for $5.45 per share.

“the Company agreed to issue 366,972 shares (the “November Shares”) of Common Stock to Guo. Pursuant to the November Agreement, Guo committed to pay $500,000 on November 20, 2025, and $1,500,000 on December 15, 2025, and upon each payment, the Company agreed to issue shares of Common Stock to Guo at $5.45 per share.”

Reborn Coffee, Inc. issued 825,688 shares of common stock to Charles Jeong for $5.45 per share.

“the Company agreed to issue 825,688 shares (the “October Shares”) of the Company’s common stock, par value $0.0001 per share (“Common Stock”), to Jeong. Pursuant to the October Agreement, Jeong committed to pay $1,000,000 on October 20, 2025, $1,000,000 on October 30, 2025, $1,000,000 on November 14, 2025, and $1,500,000 on December 24, 2025, and upon each payment, the Company agreed to issue shares of Common Stock to Jeong at $5.45 per share.”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 2,353,305 of common stock to affiliate of Brookfield for exchange for an equivalent amount of the affiliate's Class E units of limited partnership interest in Brookfield REIT Operating Partnership L.P..

“On November 24, 2025, the Company also issued unregistered shares of its Class E common stock to an affiliate of Brookfield in exchange for an equivalent amount of the affiliate's Class E units of limited partnership interest in Brookfield REIT Operating Partnership L.P.”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 6,216 of common stock to Brookfield and its affiliates for $65,117.

“Date of Unregistered Sale Number of Class E Common Shares Issued to Brookfield and its Affiliates Consideration November 19, 2025 6,216 $65,117”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 26,862,938 of common stock to affiliate of Brookfield for exchange for an equivalent amount of the affiliate's Class I-1 units of limited partnership interest in Brookfield REIT Operating Partnership L.P..

“On November 24, 2025, the Company also issued unregistered shares of its Class I common stock to an affiliate of Brookfield in exchange for an equivalent amount of the affiliate's Class I-1 units of limited partnership interest in Brookfield REIT Operating Partnership L.P.”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 1,922 of common stock to Brookfield and its affiliates for $20,156.

“Date of Unregistered Sale Number of Class I Common Shares Issued to Brookfield and its Affiliates Consideration November 19, 2025 1,922 $20,156”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 10,146 of common stock to feeder vehicle (non-U.S. persons) for $106,109.

“Date of Unregistered Sale Number of Class I Common Shares Issued to Feeder Vehicles Consideration November 19, 2025 10,146 $106,109”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 100,627 unregistered Class I common shares of common stock to Brookfield REIT Adviser LLC for $1,055,213.

“For the month ended October 31, 2025, the Adviser elected to receive its management fees in Class I common shares and the Company issued 100,627 unregistered Class I common shares to the Adviser in satisfaction of the October 2025 management fee of $1,055,213.”

NeoVolta Inc. issued 5,200,000 shares of common stock to accredited investors for $2.50 per share.

“On November 19, 2025, NeoVolta , Inc. (the “Company”) entered into a Subscription Agreements (the “Agreements”) with accredited investors (the “Investors”), pursuant to which the Investors purchased in a private placement an aggregate of 5,200,000 shares of the Company’s common stock (“Common Stock”) at a purchase price of $2.50.”

Voyager Technologies, Inc./DE issued a maximum of 19,303,394 shares of the Company's Class A common stock may be issued upon conversion of the Notes of convertible note to initial purchasers.

“The Option Notes (as defined below in Item 8.01) were issued to the initial purchasers in reliance upon Section 4(a)(2) of the Securities Act of 1933, as amended (the “ Securities Act ”), in transactions not involving any public offering. The Option Notes were resold by the initial purchasers to persons whom the initial purchasers reasonably believe are “qualified institutional buyers,” as defined in, and in accordance with, Rule 144A under the Securities Act. Any shares of the Class A common stock of Voyager Technologies, Inc. (the “ Company ”) that may be issued upon conversion of the Option Notes will be issued in reliance upon Section 3(a)(9) of the Securities Act as involving an exchange by the Company exclusively with its security holders.”

reAlpha Tech Corp. issued 200,080 shares of Common Stock of common stock to a co-founder of Prevu for at a price per share of $0.4998.

“the Company also entered into certain ancillary agreements, including a transition agreement (the “Co-Founder Transition Agreement”), between the Company and a co-founder of Prevu (the “Co-Founder”), pursuant to which the Co-Founder, among other consideration, received $100,000 in shares of Common Stock, or 200,080 shares of Common Stock, at a price per share of $0.4998 (the “Co-Founder Shares,” and together with the Closing Payment Purchaser Stock and the Additional Payment Purchaser Stock, the “Shares”) on the Closing Date as consideration for certain transition services”

BlackRock Private Credit Fund issued 3,573,037.058 of common stock for $85,717,873.64.

“of the Fund. Date of Unregistered Sale Amount of Institutional Class Shares Sold Consideration November 3, 2025 (number of shares finalized on November 20, 2025) 3,573,037.058 $85,717,873.64”

VISTA CREDIT STRATEGIC LENDING CORP. issued 3,215,927.301 shares of Class I common stock 19,702.653 shares of Class S common stock of common stock to accredited investors or non-U.S. persons for $63,390,100.

“Consideration As of November 3, 2025 (number of shares finalized on November 21, 2025) 3,215,927.301 shares of Class I common stock 19,702.653 shares of Class S common stock $63,390,100 The sales of Common Stock were made pursuant to subscription agreements entered into by the Company and its investors. The issuances of the Common Stock are exempt from the”

KKR Private Equity Conglomerate LLC issued 5,311,781 Class U Shares, 4,347,555 Class I Shares, 493,459 Class D Shares, 32,557 Class S Shares of common stock to accredited investors and non-U.S. investors for Aggregate Consideration $ 330,978,532.

“On November 3, 2025, the Company sold the following unregistered shares (the “Investor Shares”) of the Company (with the final number of shares being determined on November 21, 2025) to investors for cash: Class Number of Shares Sold (1) Aggregate Consideration (1) Class U Shares 5,311,781 $ 171,643,840 Class I Shares 4,347,555 142,244,162 Class D Shares 493,459 16,038,500 Class S Shares 32,557 1,052,030 Total $ 330,978,532”

FibroBiologics, Inc. issued to purchase up to 313,433 shares of Common Stock of warrant to Placement Agent (H.C. Wainwright & Co., LLC) for issued as compensation; exercise price $0.4188 per share.

“Additionally, the Company will issue to the Placement Agent (or its designees) warrants to purchase 7.0% of the number of Shares of Common Stock sold in this the Registered Direct Offering (or warrants to purchase up to 313,433 shares of Common Stock), at an exercise price of $0.4188 per share (the “Placement Agent Warrants”).”

FibroBiologics, Inc. issued to purchase 4,477,614 shares of Common Stock of warrant to institutional investors (the Purchasers) for exercise price $0.335 per share; no additional consideration at issuance.

“4,477,614 shares (the “Shares”) of the Company’s common stock, $0.00001 par value per share (the “Common Stock”). The price of each Share in the Registered Direct Offering is $0.335 (the “Offering Price”). Additionally, pursuant to the Purchase Agreement, the Company will issue and sell to the Purchasers, in a concurrent private placement, warrants to”

LGAM Private Credit LLC issued unit to unitholders.

“The sale of Units was made pursuant to subscription agreements entered into by the Company and its unitholders.”

LGAM Private Credit LLC issued 515,804 Common Units of common stock to unitholders for $10.3 million aggregate, $20.03 per unit.

“As of November 1, 2025, LGAM Private Credit LLC ("we", the "Company" or the "Fund"), sold approximately 515,804 of the Company’s Common Units (the “Units”) for an aggregate offering price of approximately $10.3 million, reflecting a purchase price of $20.03 per unit (with the final number of Units being determined on November 20, 2025).”

Tamboran Resources Corp issued 107,558,800 CHESS Depositary Interests ("CDIs") underpinned by 537,794 shares of common stock of unit to existing shareholders resident in Australia, New Zealand, Canada, Luxembourg, Malaysia, Singapore or the United Kingdom for A$17.42 million at an issue price of A$0.162 per CDI.

“the Company issued and sold an aggregate of 107,558,800 CHESS Depositary Interests ("CDIs") underpinned by 537,794 shares of common stock (each CDI represents 1/200th of a share of common stock), for aggregate proceeds to the Company of A$17.42 million at an issue price of A$0.162 per CDI”

Lord Abbett Private Credit Fund issued approximately 686,881 common shares of common stock to shareholders for aggregate offering price of approximately $17.3 million.

“As of November 3, 2025, Lord Abbett Private Credit Fund (“we”, the “Company” or the “Fund”), issued and sold approximately 686,881 of the Company’s common shares of beneficial interest (the “Common Shares”) for an aggregate offering price of approximately $17.3 million, reflecting a purchase price of $25.23 per Common Share (with the final number of Common Shares being determined on November 20, 2025).”

EQT Private Equity Co LLC issued 2,158,274 of common stock to third-party investors for aggregate consideration of approximately $58,407,248, at a price per Investor Share equal to transactional net asset value.

“As of November 1, 2025, EQT Private Equity Company LLC (the “Company”) sold unregistered shares (the “Investor Shares”) of the Company to third-party investors for cash for aggregate consideration of approximately $58,407,248, at a price per Investor Share equal to transactional net asset value (“Transactional Net Asset Value”) per share for the applicable class, which corresponds to the price at which the Company sells and repurchases its shares.”

Audax Private Credit Fund, LLC issued 1,265,415.980 shares of common stock to accredited investors and non-U.S. persons for $31.5 million.

“On November 3, 2025, Audax Private Credit Fund, LLC (the “ Fund ”) sold limited liability company interest (the “ Shares ”). The purchase price per share and number of Shares issued was finalized on November 24, 2025. The purchase price per share was equal to $24.893. The following table details the Shares sold: Date of Issuance Common Shares Issued Total Consideration (in millions) November 3, 2025 1,265,415.980 $ 31.5”

Lord Abbett Private Credit Fund S issued 119,570 of common stock to accredited investors for $25.09 per Common Share.

“As of November 3, 2025, Lord Abbett Private Credit Fund S (“we”, the “Company” or the “Fund”), issued and sold approximately 119,570 of the Company’s common shares of beneficial interest (the “Common Shares”) for an aggregate offering price of approximately $3.0 million, reflecting a purchase price of $25.09 per Common Share”

TPG Private Equity Opportunities, L.P. issued 2,561,140 Class R-I Units; 1,375,330 Class R-S Units of unit to third-party investors, including through Feeder TE for $73,108,363 and $39,117,000 respectively.

“offering for aggregate consideration of $112.2 million. The following table details the Units sold: Class Number of Units Sold Aggregate Consideration Class R-I 2,561,140 $ 73,108,363 Class R-S 1,375,330 $ 39,117,000 The offer and sale of the Units were made as part of the Fund’s continuous private offering and were exempt from the registration provisions of”

Apollo Origination II (Levered) Capital Trust issued 1,101,726.0375 of common stock to certain investors for $30,000,000.

“The following table details the amount of Shares sold and consideration therefor: Date of Unregistered Sale Amount of Shares Consideration November 21, 2025 1,101,726.0375 $ 30,000,000 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Company has duly caused this report to be signed on its behalf by the undersigned”

Apollo Origination II (UL) Capital Trust issued 1,114,827.2018 shares of common stock to certain investors for $30,000,000.

“Date of Unregistered Sale Amount of Shares Consideration November 21, 2025 1,114,827.2018 $ 30,000,000”

Agassi Sports Entertainment Corp. issued 1,000,000 shares of common stock of warrant to Stefanie Graf.

“we granted Ms. Graf warrants to purchase 1,000,000 shares of the Company’s common stock at an exercise price of $5.50 per share (the “ Graf Warrants ”).”

Capstone Energy Plus, Inc. issued 3,520,000 shares of Common Stock of warrant to certain accredited investors for price per Pre-Funded Warrant equal to the same price as that for Shares minus $0.001.

“(b) Pre-Funded Warrants (the “Pre-Funded Warrants”) to purchase 3,520,000 shares of Common Stock (the “Pre-Funded Warrant Shares”) at a price per Pre-Funded Warrant equal to the same price as that for Shares minus $0.001, and the remaining exercise price of each Pre-Funded Warrant will equal $0.001 per share”

Capstone Energy Plus, Inc. issued 3,980,000 shares of common stock to certain accredited investors for $2.00 per share.

“On November 24, 2025, Capstone Green Energy Holdings, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with certain accredited investors (the “Purchasers”), relating to a private investment in public equity financing (the “PIPE”) of an aggregate of (a) 3,980,000 shares (the “Shares”) of the Company’s Common Stock, par value $0.001 per share (“Common Stock”), at a price per Share equal to $2.00”

Vivakor, Inc. issued 1,928,188 shares of the Company’s common stock of common stock to J.J. Astor & Co. for $123,693.24 of the Principal Amount.

“the Company received a Notice of Conversion from the Lender each converting $123,693.24 of the Principal Amount of the Initial Note into 1,928,188 shares of the Company’s common stock”

Vivakor, Inc. issued convertible note to J.J. Astor & Co. for principal amount of $6,625,000.

“issued a junior secured convertible promissory note (the “Initial Note”) to J.J. Astor & Co. (the “Lender”), in the principal amount of $6,625,000”

Vivakor, Inc. issued 2,920,639 shares of the Company’s common stock of common stock to two of the Holders for aggregate of $180,467.07 of the principal amount and interest.

“from two of the Holders converting an aggregate of $180,467.07 of the principal amount and interest due under the Notes into 2,920,639 shares of the Company’s common stock”

Vivakor, Inc. issued convertible note to several accredited investors for aggregate principal amount of $575,000.

“the Company issued convertible promissory notes (the “Notes”), to several accredited investors (the “Holders”), in the aggregate principal amount of $575,000”

Silver Point Specialty Lending Fund issued 846,262 of common stock to shareholders for $12,000,000 aggregate, $14.18 per Share.

“As of November 1, 2025, Silver Point Specialty Lending Fund (the “ Fund ”) issued and sold 846,262 of its unregistered common shares of beneficial interest, par value $0.001 per share (the “ Shares ”), for an aggregate offering price of $12,000,000, reflecting a purchase price of $14.18 per Share”

Verrica Pharmaceuticals Inc. issued Series C warrants to purchase 2,951,241 shares of Common Stock of warrant to institutional investors and other accredited investors for $4.24125 per share and accompanying Series C Warrant.

“Series C warrants to purchase 2,951,241 shares of Common Stock (the “ Series C Warrants ”). The purchase price per share of Common Stock and accompanying Series C Warrant is $4.24125 per share (the “ Purchase Price ”) and the purchase price for the Pre-Funded Warrants and accompanying Series C Warrant is the Purchase Price minus $0.0001 per Pre-Funded Warrant.”

Verrica Pharmaceuticals Inc. issued pre-funded warrants to purchase 5,305,164 shares of Common Stock of warrant to certain institutional investors and other accredited investors for Purchase Price minus $0.0001 per Pre-Funded Warrant.

“to the Purchasers in a private placement transaction (the “ Private Placement ”) an aggregate of (i) 6,499,826 shares (the “ Shares ”) of the Company’s common stock, par value $0.0001 (“ Common Stock ”), (ii) with respect to certain Purchasers, pre-funded warrants to purchase 5,305,164 shares of Common Stock (the “ Pre-Funded Warrants ”) in lieu of Shares and”

Verrica Pharmaceuticals Inc. issued 6,499,826 shares of common stock to institutional investors and other accredited investors for $4.24125 per share.

“Series C warrants to purchase 2,951,241 shares of Common Stock (the “ Series C Warrants ”). The purchase price per share of Common Stock and accompanying Series C Warrant is $4.24125 per share (the “ Purchase Price ”) and the purchase price for the Pre-Funded Warrants and accompanying Series C Warrant is the Purchase Price minus $0.0001 per Pre-Funded Warrant.”

Scilex Holding Co issued up to an aggregate of 72,352 shares of Common Stock of warrant to the placement agents or their designees for cash fee equal to 8.0% of the aggregate gross proceeds from the Exercise and to reimburse certain expenses.

“Company and StockBlock, dated as of March 22, 2024 (as amended and supplemented from time to time, the “Engagement Agreement”), the Company has agreed to pay a cash fee equal to 8.0% of the aggregate gross proceeds from the Exercise and to reimburse certain expenses. The Company has also agreed to issue the placement agents or their designees, warrants to”