Equity Issuances

Scilex Holding Co issued up to an aggregate of 1,356,594 shares of Common Stock of warrant to a certain institutional investor for reduction of the exercise price of the Existing Warrants to $22.51 per share.

“the Company agreed to (i) reduce the exercise price of the Existing Warrants to $22.51 per share and (ii) issue to the Investor a new unregistered warrant (the “November 2025 Warrant”) to purchase up to an aggregate of 1,356,594 shares of Common Stock with an exercise price of $29.00 per share (the “Exercise Price”) in a private placement pursuant to Section 4(a)(2) of the Securities Act of 1933 (the “Securities Act”).”

Apollo Debt Solutions BDC issued 4,818,349 of common stock to feeder vehicles primarily created to hold the Fund’s Class I Common Shares for $ 117,939,695.

“The following table details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of November 3, 2025 (number of shares finalized on November 24, 2025) 4,818,349 $ 117,939,695”

SunPower Inc. issued convertible note to a trust controlled by Thurman J. Rodgers for $2,000,000.

“1.01 Entry Into a Material Definitive Agreement. On November 20, 2025, SunPower Inc. (the “Company”) issued a convertible promissory note in the original principal amount of $2,000,000 (the “Note”) to a trust controlled by Thurman J. Rodgers, the Company’s Chief Executive Officer and Executive Chairman. The Note bears a 12% interest rate. The Note is a general”

IREN Ltd issued securities.

“the shareholders of the Company approved amendments to the Company’s constitution (the “Constitution”) to: (1) align the quorum requirement to conduct shareholder meetings with the listing rules of the Nasdaq Stock Market LLC (“Nasdaq”); (2) provide for director elections at each annual general meeting; (3) add a forum selection provision; (4) update the advance notice provisions for universal proxies; and (5) to implement certain other miscellaneous changes.”

La Rosa Holdings Corp. issued convertible note to certain institutional investors for $900 for each $1,000 of principal amount of Note.

“Closing shall not exceed $5,000,000 individually, and not more than $239,000,000 in the aggregate for all Additional Closings. The purchase price for each Note will be $900 for each $1,000 of principal amount of Note. The Notes will be convertible into shares (the “ Conversion Shares ”) of the Company’s common stock, par value $0.0001 per share (the”

PPL Corp issued convertible note to qualified institutional buyers for $1.15 billion aggregate principal amount.

“On November 24, 2025, PPL Capital Funding, Inc., a wholly owned subsidiary of PPL Corporation (the "Issuer"), issued $1.15 billion aggregate principal amount of 3.000% Exchangeable Senior Notes due 2030 (the "Notes")”

PLUG POWER INC issued convertible note to initial purchasers for $431.25 million aggregate principal amount.

“On November 21, 2025, Plug Power Inc., a Delaware corporation (the “Company”), completed its previously announced private offering (the “offering”) of $431.25 million aggregate principal amount of 6.75% Convertible Senior Notes due 2033 (the “notes”), including the exercise in full of the initial purchasers’ option to purchase up to an additional $56.25 million principal amount of the notes.”

ABUNDIA GLOBAL IMPACT GROUP, INC. issued 2.0% of the securities sold of warrant to A.G.P./Alliance Global Partners (placement agent).

“The Company also agreed to issue to the Placement Agent, placement agent warrants to purchase a number of shares of Common Stock that is equal to 2.0% of the securities sold in the Offering at an exercise price equal to one hundred and ten percent (110%) of the per share purchase price of the Shares (the “Placement Agent Warrants”).”

Driveitaway Holdings, Inc. issued 12,5000,000 of the Company's common stock of warrant to accredited investors for $250,000.

“In October 2025, the Driveitaway Holdings, Inc. (the Company) issued pre-funded, fully vested warrants to accredited investors to purchase 12,5000,000 of the Company’s common stock in exchange for $250,000.”

NIOCORP DEVELOPMENTS LTD issued securities.

“approved the Company’s limited-duration shareholder rights plan (the “Rights Plan”) as set forth in the Shareholder Rights Plan Agreement, dated as of November 21, 2025”

International Land Alliance Inc. issued 5,337,316 shares of warrant to Mast Hill Fund L.P..

“On November 17, 2025, the Company and Mast Hill consummated the first tranche under the Mast Hill Note for a principal amount of $3,573,333.33 with net proceeds to the Company of $3,216,000.00 (after original issue discount) and the issuance of a warrant to Mast Hill to purchase 5,337,316 shares of Company common stock (attached hereto as Exhibit 10.3).”

International Land Alliance Inc. issued convertible note to Mast Hill Fund L.P. for principal amount of $5,209,000.

“On November 17, 2025, International Land Alliance, Inc., a Wyoming corporation (the “Company”) entered into a transaction with Mast Hill Fund L.P. (“Mast Hill”) with the following agreements: a. Securities Purchase Agreement (attached hereto as Exhibit 10.1), pursuant to which the Company issued to Mast Hill a Convertible Promissory Note in the aggregate principal amount up to $50,000,000 (“Mast Hill Note” attached hereto Exhibit 10.2).”

Healthcare Triangle, Inc. issued convertible note to certain institutional investors for $6,000,000 purchase price for Initial Tranche principal amount of $7,500,000.

“(“Common Stock”). The closing of the first tranche was consummated on November 20, 2025, and the Company issued the initial Note for an aggregate original principal amount of $7,500,000 (the “Initial Tranche”). The Note issued in the Initial Tranche was sold to the Investors for a purchase price of $6,000,000, representing an original issue discount of twenty”

Zapata Quantum, Inc. issued 2,000 shares of preferred stock to accredited investors for $100 per share for total gross proceeds of $200,000.

“From November 17, 2025 through November 20, 2025, Zapata Quantum, Inc. (the “Company”) entered into Securities Purchase Agreements (“SPA”) with accredited investors, pursuant to which the Company offered and sold 2,000 shares of the Company’s Series A Convertible Preferred Stock (the “Series A”) at a purchase price of $100 per share for total gross proceeds of $200,000.”

Neumora Therapeutics, Inc. issued 2,849,327 shares of common stock of common stock to K2 HealthVentures Equity Trust LLC for conversion of $2.5 million of principal amount at $0.8774 per share.

“of the term loans into shares of common stock of the Company. On November 17, 2025, the Company received a conversion notice from K2HV, pursuant to which K2HV elected to convert $2.5 million of principal amount of the term loan into common stock of the Company, at a conversion price of $0.8774 per share, in accordance with the Loan Agreement. On November 20, 2025,”

KKR FS Income Trust issued 892,517.528 Class I shares of common stock to accredited investors for $26.614 million.

“On November 3, 2025, KKR FS Income Trust (the “Company”) issued and sold 892,517.528 Class I shares (the “Class I Shares”) of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of Class I Shares issued being determined on November 21, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $26.614 million .”

Blue Owl Real Estate Net Lease Trust issued 530,740 shares of common stock to not specified for gross proceeds of approximately $5.6 million, based on net asset value per share as of September 30, 2025.

“Additionally, as of November 3, 2025, the Company sold 530,740 shares of its Class I common shares for gross proceeds of approximately $5.6 million, based on net asset value per share as of September 30, 2025, which were not previously included in its Form 8-K filed on November 5, 2025 due to the timing of the closing information.”

Blue Owl Real Estate Net Lease Trust issued 3,513,278 shares of common stock to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $36.8 million, based on net asset value per share as of October 31, 2025.

“As of November 3, 2025, Blue Owl Real Estate Net Lease Trust (the “ Company ”, “ we ”, or “ us ”) sold 3,513,278 shares of its Class I common shares (with the final number of shares being determined on November 18, 2025) to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $36.8 million, based on net asset value (“ NAV ”) per share as of October 31, 2025.”

KKR FS Income Trust Select issued 1,663,092.613 Class S shares of common stock to accredited investors for $42.641 million.

“On November 3, 2025, KKR FS Income Trust Select (the “Company”) issued and sold 1,663,092.613 Class S shares (the “Class S Shares”) of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of Class S Shares issued being determined on November 21, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $42.641 million.”

Fortress Private Lending Fund issued 1,004,436 shares of common stock to accredited investors for $25.0 million aggregate.

“During November 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 $25.0 million.”

Stone Point Credit Income Fund issued 287,363.218 of common stock to accredited investors for $25.0032 per share.

“On November 1, 2025 (with the final number of shares being determined on November 19, 2025), Stone Point Credit Income Fund (the “Fund”) issued and sold 287,363.218 of the Fund’s common shares, par value $0.001 per share (the “Common Shares”), at a net asset value of $25.0032 per share, pursuant to the subscription agreements entered into by the Fund and its investors, for an aggregate offering price of $7,185,000.00.”

OSI SYSTEMS INC issued $500,000,000 aggregate principal amount of convertible note.

“On November 20, 2025, OSI Systems, Inc. (the “Company”) issued $500,000,000 aggregate principal amount of its 0.50% Convertible Senior Notes due 2031 (the “Notes”).”

Greenpro Capital Corp. issued 800,000 shares of common stock to the Seller.

“The issuance of 800,000 shares of Common Stock to the Seller as consideration for the Acquisition is being made in reliance on the exemption from registration provided by Rule 506 of Regulation D promulgated under the Securities Act of 1933.”

Monroe Capital Income Plus Corp issued 7,344,442 shares of common stock to each investor in the registrant for $10.00 per share.

“On November 3, 2025, Monroe Capital Income Plus Corporation (the "Company") issued an aggregate of 7,344,442 shares of its common stock, par value $0.01 per share (the “Common Stock”), at a price per share of $10.00”

HCW Biologics Inc. issued up to 3,020,410 shares of the Company's common stock of warrant to a single institutional investor for approximately $4.0 million.

“30 days of the closing date, covering the resale of the shares of common stock issuable upon exercise of the New Warrants. The gross proceeds from Inducement were approximately $4.0 million, prior to deducting financial advisory fees and estimated offering expenses payable by the Company. The Inducement closed on November 20, 2025. Maxim Group LLC acted as financial”

Barings Private Credit Corp issued 6,359,328.908 of common stock to participating investors for aggregate consideration of approximately $130.4 million.

“as of November 3, 2025, Barings Private Credit Corporation (the “Company”) sold 6,359,328.908 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 November 20, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $130.4 million”

Vocodia Holdings Corp issued Commitment Shares and Notes of unit to the Investor for Section 4(a)(2)/Regulation D exemption, as a non-public offering.

“The Commitment Shares and Notes were issued to the Investor in reliance on the Section 4(a)(2)/Regulation D exemption, as a non-public offering.”

First Eagle Private Credit Fund issued 293 of common stock to a feeder vehicle primarily created to hold the Fund’s common shares for $7,100.

“details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of November 1, 2025 (number of shares finalized on November 20, 2025) 293 $ 7,100”

Diameter Credit Co issued 4,944,995.13 shares of common stock to certain investors for $136,638,374.08.

“The following table details the amount of Shares sold and consideration therefor: Date of Unregistered Sale Amount of Shares Consideration November 14, 2025 4,944,995.13 $136,638,374.08 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”

BAB, INC. issued preferred stock.

“On November 19, 2025 the Board of Directors approved Amendment No.7 to the Company’s Preferred Shares Rights Agreement dated as May 6, 2013. The amendment revises the definition of “Final Expiration Date” to mean the sixteenth anniversary of the date of the Preferred Shares Rights Agreement.”

Vivakor, Inc. issued 3,921,551 shares of common stock to ClearThink Capital Partners, LLC. for conversion of $323,528 of the Principal Amount and interest due under the CT Note.

“On November 14, 2025, the Company received a Notice of Conversion (the “CT Notice of Conversion”) from CT Partners converting $323,528 of the Principal Amount and interest due under the CT Note into 3,921,551 shares of the Company’s common stock (the “CT Shares”).”

Vivakor, Inc. issued 1,855,861 and 2,354,788 shares of common stock to J.J. Astor & Co. for conversion of $150,000 of the Principal Amount of the Initial Note each.

“On November 14, 2025 and November 18, 2025, the Company received Notices of Conversion from the Lender each converting $150,000 of the Principal Amount of the Initial Note into 1,855,861 and 2,354,788 shares of the Company’s common stock (the “Shares”), respectively.”

Jaguar Health, Inc. issued 361,271 shares of common stock of common stock to Streeterville for 25 outstanding shares of Series M Preferred Stock.

“On November 17, 2025, the Company entered into a privately negotiated exchange agreement with Streeterville (the “Exchange Agreement”), pursuant to which the Company issued an aggregate of 361,271 shares of the Company’s common stock, par value $0.0001 (the “Common Exchange Shares”) to Streeterville in exchange for 25 outstanding shares of Series M Preferred Stock held by Streeterville (the “Exchanged Preferred Shares”).”

Autonomix Medical, Inc. issued Series C Warrants to purchase up to an aggregate of 9,003,332 shares of Common Stock of warrant to institutional investor for combined purchase price of one Pre-Funded Warrant and accompanying Common Warrants was $1.1097.

“and Pre-Funded Warrants are collectively referred to herein as the “Warrants”. The combined purchase price of one Pre-Funded Warrant and accompanying Common Warrants was $1.1097. Subject to certain ownership limitations, the Warrants are exercisable immediately upon issuance (the “Initial Exercise Date”). Each Pre-Funded Warrant is exercisable into one”

Autonomix Medical, Inc. issued Pre-Funded Warrants to purchase 4,501,666 shares of warrant to institutional investor for combined purchase price of one Pre-Funded Warrant and accompanying Common Warrants was $1.1097.

“and Pre-Funded Warrants are collectively referred to herein as the “Warrants”. The combined purchase price of one Pre-Funded Warrant and accompanying Common Warrants was $1.1097. Subject to certain ownership limitations, the Warrants are exercisable immediately upon issuance (the “Initial Exercise Date”). Each Pre-Funded Warrant is exercisable into one”

Odyssey Health, Inc. issued 1,538,461 shares of the Company's common stock of warrant to Mast Hill Fund, L.P..

“the Company issued Warrants to MHF immediately exercisable for 1,538,461 shares of the Company's common stock at $0.001 per share”

Odyssey Health, Inc. issued convertible note to Mast Hill Fund, L.P. for up to $25,000,000.

“the Company issued to MHF a convertible promissory note in the original principal amount of $2,262,000”

Blackstone Real Estate Income Trust, Inc. issued 384,089 of common stock to a feeder vehicle primarily created to hold the Company's Class I common stock and Class C common stock, which in turn offers interests in itself to certain non-U.S. persons for $6,091,039.

“On November 13, 2025, Blackstone Real Estate Income Trust, Inc., a Maryland corporation (the “Company”), sold unregistered shares (the “Shares”) of the Company’s Class C common stock to a feeder vehicle primarily created to hold the Company's Class I common stock and Class C common stock, which in turn offers interests in itself to certain non-U.S. persons. 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 Regulation S thereunder. The following table details the Shares sold to such feeder vehicle: Date of Unregistered Sale Number of Class C Common Shares Issued to Feeder Vehicle Consideration November 13, 2025 384,089 $6,091,039”

Onfolio Holdings, Inc issued unit to the Buyers (accredited investors).

“On November 17, 2025, the Company issued to the Buyers the Rights to Receive Common Stock, exercisable for the Right Amount (as defined below) in shares of Common Stock”

Onfolio Holdings, Inc issued convertible note to the Buyers (accredited investors) for $6,000,000 aggregate principal.

“On November 17, 2025, Onfolio Holdings Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with the buyer referred to in the Schedule of Buyers included therein (the “Buyers”), pursuant to which the Company agreed to sell (i) an aggregate principal amount of $6,000,000 in Senior Secured Convertible Notes (the “Notes”)”

ARES STRATEGIC INCOME FUND issued 6,072,200 of common stock for $167.3.

“Sales (dollar amount in millions) Amount of Class I Common Shares Total Consideration During November 2025 (number of shares finalized on November 19, 2025) 6,072,200 $ 167.3”

FibroBiologics, Inc. issued 12,110,203 shares of warrant to the Purchaser for Not stated separately; warrants issued in connection with the Registered Direct Offering.

“Additionally, pursuant to the Purchase Agreement, the Company will issue and sell to the Purchaser, in a concurrent private placement, warrants to purchase one share of its common stock for each share of common stock or Pre-Funded Warrant purchased in the Registered Direct Offering, for an aggregate of 12,110,203 shares of Common Stock (the “Warrants”).”

FibroBiologics, Inc. issued 8,570,203 pre-funded warrants of warrant to a single investor for sovereign-issued .9999 fine gold coins valued at $4,069.18 per oz. based on the spot price of gold at the time of signing of the Purchase Agreement.

“below. The exercise price of the Warrants is $0.3303 per share. The purchase price for the Shares or Pre-Funded Warrants will be paid not in cash but with sovereign-issued .9999 fine gold coins valued at $4,069.18 per oz. based on the spot price of gold at the time of signing of the Purchase Agreement, delivered to the Company’s depository. The Company”

FibroBiologics, Inc. issued 3,540,000 shares of common stock to a single investor for sovereign-issued .9999 fine gold coins valued at $4,069.18 per oz. based on the spot price of gold at the time of signing of the Purchase Agreement.

“below. The exercise price of the Warrants is $0.3303 per share. The purchase price for the Shares or Pre-Funded Warrants will be paid not in cash but with sovereign-issued .9999 fine gold coins valued at $4,069.18 per oz. based on the spot price of gold at the time of signing of the Purchase Agreement, delivered to the Company’s depository. The Company”

North Haven Net REIT issued 4,001 Class F-IO shares of common stock to a feeder vehicle primarily created to hold certain classes of the Company's common shares for approximately $82,000.

“sold an aggregate of 309,233 Class IO shares and 4,001 Class F-IO shares (the "Shares") (with the final number of Shares being determined on November 14, 2025) for aggregate consideration of approximately $6,318,000 and $82,000, respectively”

North Haven Net REIT issued 309,233 Class IO shares of common stock to a feeder vehicle primarily created to hold certain classes of the Company's common shares for approximately $6,318,000.

“sold an aggregate of 309,233 Class IO shares and 4,001 Class F-IO shares (the "Shares") (with the final number of Shares being determined on November 14, 2025) for aggregate consideration of approximately $6,318,000 and $82,000, respectively”

West Bay BDC LLC issued approximately 2.7 million common units of common stock to Investors for aggregate offering price of approximately $46.4 million.

“On November 14, 2025, West Bay BDC LLC (the “Company”) delivered a capital drawdown notice to investors relating to the sale of approximately 2.7 million common units of the Company’s limited liability company interests (the “Common Units”) for an aggregate offering price of approximately $46.4 million.”

Ares Core Infrastructure Fund issued 9,973,199 shares of common stock to accredited investors for $247.3 million aggregate purchase price.

“On November 3, 2025, Ares Core Infrastructure Fund (the “Fund”) sold common shares of beneficial interest (“Common Shares”) for an aggregate purchase price of $247.3 million .”

Creative Media & Community Trust Corp issued 11,556 shares of Common Stock of common stock to holders of Series D Preferred Stock for in lieu of cash payment for the redemption of 4,122 shares of Series D Preferred Stock, including accrued and unpaid dividends.

“On November 19, 2025, the Company authorized the issuance of 11,556 shares of Common Stock in respect of redemptions of the Company’s Series D Preferred Stock, par value $0.001 (the “Series D Preferred Stock”), in lieu of cash payment for the redemption of 4,122 shares of Series D Preferred Stock, including accrued and unpaid dividends.”

Creative Media & Community Trust Corp issued 891,896 shares of Common Stock of common stock to holders of Series A Preferred Stock for in lieu of cash payment for the redemption of 323,964 shares of Series A Preferred Stock, including accrued and unpaid dividends.

“On November 19, 2025, the Company authorized the issuance of 891,896 shares of Common Stock in respect of redemptions of the Company’s Series A Preferred Stock, par value $0.001 (the “Series A Preferred Stock”), in lieu of cash payment for the redemption of 323,964 shares of Series A Preferred Stock, including accrued and unpaid dividends.”