Unregistered sales and modifications of equity under 8-K Items 3.02/3.03.
Sculptor Diversified Real Estate Income Trust, Inc. issued 48,791 of common stock for $528,235.
“(1) 2,565 $ 28,680 Class F Shares 137 1,503 Class FF Shares 22,792 246,677 Class AA Shares 22,041 237,970 Class A Shares 955 10,206 Class I-S Shares 301 3,199 Total 48,791 $ 528,235 _______________________________________ (1) Includes distributions of 110 Class E restricted shares at $1,228 in connection with the restricted stock held by our independent”
Sculptor Diversified Real Estate Income Trust, Inc. issued 15,276 of common stock to Sculptor Advisors LLC for payment for accrued management fees.
“On November 3, 2025, Sculptor Diversified Real Estate Income Trust, Inc. (the “Company”) issued the following shares based on the respective net asset value per share as of September 30, 2025.”
Blue Owl Real Estate Net Lease Trust issued 27,121,643 of common stock for gross proceeds of approximately $284.0 million.
“On November 3, 2025, Blue Owl Real Estate Net Lease Trust (the “ Company ,” “ ORENT ” “ we ” or “ us ”) sold an aggregate of 27,121,643 of its common shares for gross proceeds of approximately $284.0 million, based on net asset value per share as of September 30, 2025.”
Apollo Asset Backed Credit Co LLC issued 110 Series I S Shares, 110 I Shares, 110 Series II S Shares, 110 I Shares of common stock to third party investors for $11,320.
“On October 30, 2025, the Company issued and sold the following unregistered shares of the Company to third party investors for cash: Type Number of Shares Sold Aggregate Consideration Series I S Shares 110 $ 2,823 I Shares 110 2,823 Series II S Shares 110 2,837 I Shares 110 2,837 The Company issued such shares for aggregate consideration of $11,320.”
Cantor Equity Partners V, Inc. issued 540,000 Class A Ordinary Shares of common stock to Sponsor for $10.00 per Private Placement Share, generating gross proceeds of $5,400,000.
“Simultaneously with the closing of the IPO, pursuant to the Private Placement Shares Purchase Agreement, the Company completed the private sale to the Sponsor of 540,000 Class A Ordinary Shares (the “ Private Placement Shares ”) at a purchase price of $10.00 per Private Placement Share, generating gross proceeds to the Company of $5,400,000.”
Stonepeak-Plus Infrastructure Fund LP issued 11,555 of common stock to senior advisors of affiliates of the Investment Advisor for $350,000.
“the Fund (rounding to the nearest whole number): Number of Units Sold (2) Aggregate Consideration Class A-1a 1,373,498 $ 40,708,000 Class I-1 79,046 $ 2,373,000 Class X 11,555 $ 350,000 (1) The Fund invests generally alongside another vehicle that is managed by Stonepeak-Plus Infrastructure Fund Advisors LLC, its investment advisor (the “Investment Advisor”), is”
Stonepeak-Plus Infrastructure Fund LP issued 79,046 of common stock to third-party investors for $2,373,000.
“on the Units sold by the Fund (rounding to the nearest whole number): Number of Units Sold (2) Aggregate Consideration Class A-1a 1,373,498 $ 40,708,000 Class I-1 79,046 $ 2,373,000 Class X 11,555 $ 350,000 (1) The Fund invests generally alongside another vehicle that is managed by Stonepeak-Plus Infrastructure Fund Advisors LLC, its investment advisor (the”
Stonepeak-Plus Infrastructure Fund LP issued 1,373,498 of common stock to third-party investors for $40,708,000.
“The following table provides details on the Units sold by the Fund (rounding to the nearest whole number): Number of Units Sold (2) Aggregate Consideration Class A-1a 1,373,498 $ 40,708,000 Class I-1 79,046 $ 2,373,000 Class X 11,555 $ 350,000 (1) The Fund invests generally alongside another vehicle that is managed by Stonepeak-Plus Infrastructure Fund Advisors LLC,”
Viking Acquisition Corp I issued 310,000 Private Placement Units of unit to Cohen for $10.00 per unit, generating gross proceeds to the Company of $3,100,000.
“and (ii) 310,000 Private Placement Units to Cohen at a price of $10.00 per unit under the Cohen Units Purchase Agreement, generating gross proceeds to the Company of $3,100,000, for aggregate gross proceeds to the Company of $6,600,000.”
Viking Acquisition Corp I issued 350,000 Private Placement Units of unit to Sponsor for $10.00 per unit, generating gross proceeds to the Company of $3,500,000.
“Simultaneously with the closing of the IPO, the Company completed the private sale and issuance of an aggregate of 660,000 private placement units (the " Private Placement Units") , consisting of the sale and issuance of (i) 350,000 Private Placement Units to the Sponsor at a price of $10.00 per unit under the Sponsor Units Purchase Agreement, generating gross proceeds to the Company of $3,500,000”
CEL SCI CORP issued securities.
“On October 30, 2025, the Board of Directors of CEL-SCI Corporation (the "Company") amended its Shareholder Rights Agreement, originally adopted on November 7, 2007, to provide that the Shareholder Rights Agreement will now expire on October 30, 2030.”
Viewbix Inc. issued warrant to purchase 40,000 shares of Common Stock of warrant to L.I.A. Pure Capital Ltd. for cash fee of $150,000 and a warrant to purchase 40,000 shares of Common Stock.
“the Company agreed to pay a commission to the Advisor of (i) a cash fee of $150,000 and (ii) a warrant to purchase 40,000 shares of Common Stock”
Viewbix Inc. issued up to an aggregate of 800,000 shares of Common Stock of warrant to certain accredited investors for combined purchase price of $3.75 per Private Placement Share and accompanying Common Warrant and $3.7499 per Pre-Funded Warrant and accompanying Common Warrant.
“and together with the Pre-Funded Warrants, the “Warrants”, and the Warrants together with the Private Placement Shares, the “Securities”), at a combined purchase price of $3.75 per Private Placement Share and accompanying Common Warrant and $3.7499 per Pre-Funded Warrant and accompanying Common Warrant. The Private Placement Offering and the issuance of”
Viewbix Inc. issued 800,000 shares of Common Stock of common stock to certain accredited investors for combined purchase price of $3.75 per Private Placement Share and accompanying Common Warrant.
“at a combined purchase price of $3.75 per Private Placement Share and accompanying Common Warrant”
AMERICAS CARMART INC issued up to an aggregate of 937,487 shares of the Company’s common stock of warrant to Silver Point and certain of its affiliates.
“the Company also issued Silver Point and certain of its affiliates warrants to purchase up to an aggregate of 937,487 shares of the Company’s common stock at an exercise price of $22.63”
XWELL, Inc. issued warrant.
“amend and restate the Investors' (i) Series A warrants (the "Amended and Restated Series A Warrants") and (ii) Series B Warrants (the "Amended and Restated Series B Warrants"”
XWELL, Inc. issued preferred stock.
“the Company agreed to exchange a portion of the Company's outstanding shares of Series G Preferred Stock, including all accrued and unpaid dividends thereon equal to $1,553,806.00 in aggregate Stated Value, held by the Investors, for senior secured convertible notes (collectively, the "Notes") in the aggregate principal amount of $3,387,138.80 (collectively, the "Exchange").”
VERDE RESOURCES, INC. issued 24,943,876 shares of Common Stock of warrant to Ergon Asphalt & Emulsions, Inc. for $0.08018 per share.
“$0.001 per share (the “ Common Stock ”), and a warrant (the “ Warrant ”) to purchase 24,943,876 shares of Common Stock (the “ Warrant Shares ”), at a combined purchase price of $0.08018 per share (the “ Offering Price ”), which represents a five percent (5%) discount to the volume-weighted average price of the Common Stock for the thirty (30) trading days”
VERDE RESOURCES, INC. issued 24,943,876 shares of common stock to Ergon Asphalt & Emulsions, Inc. for $0.08018 per share.
“$0.001 per share (the “ Common Stock ”), and a warrant (the “ Warrant ”) to purchase 24,943,876 shares of Common Stock (the “ Warrant Shares ”), at a combined purchase price of $0.08018 per share (the “ Offering Price ”), which represents a five percent (5%) discount to the volume-weighted average price of the Common Stock for the thirty (30) trading days”
Babcock & Wilcox Enterprises, Inc. issued exercisable to purchase 2,600,000 shares of Common Stock of warrant to Applied Digital Corporate for exercise price of $4.11.
“(ii) a warrant (the “Initial Warrant”) exercisable to purchase 2,600,000 shares of Common Stock (the “Initial Warrant Shares”) at an exercise price of $4.11”
Babcock & Wilcox Enterprises, Inc. issued 500,000 shares of common stock of common stock to Applied Digital Corporate for purchase price of $2,057,000.
“the Company issued to Applied Digital Corporate (“Applied Digital”), in a private placement, (i) 500,000 shares of common stock, par value $0.01 per share (the “Common Stock”) for a purchase price of $2,057,000”
Prelude Therapeutics Inc issued 6,250,000 shares of common stock to Incyte Corporation for $4.00 per share for a total of $25 million.
“the Company entered into a securities purchase agreement with Incyte (the "Securities Purchase Agreement"), pursuant to which Incyte has agreed to purchase 6,250,000 shares (the "Shares") of the Company’s non-voting common stock (the "Non-Voting Common Stock") at a price of $4.00 per share for a total of $25 million.”
Trio Petroleum Corp issued 104,227 restricted shares of common stock to Seller for CD$150,000 in cash and shares valued at CD$150,000.
“n with the acquisition of the Assets, the Buyer paid the Seller CD$150,000, in cash, and the Company issued to the Seller 104,227 restricted shares of its common stock, par value US$0.0001 per share.”
Starwood Credit Real Estate Income Trust issued 548,501.639 of its common shares of common stock for aggregate consideration of approximately $11.2 million.
“on November 1, 2025, the Company sold an aggregate of 548,501.639 of its common shares of beneficial interest, par value $0.01 per share (the “Shares”), for aggregate consideration of approximately $11.2 million”
THUNDER MOUNTAIN GOLD INC issued 10,000,000 units of unit to accredited investors for US$0.25 per Unit for gross proceeds of US$2,500,000.
“On October 27, 2025, Thunder Mountain Gold, Inc. (the "Company") completed a non-brokered private placement (the " Private Placement ") pursuant to which the Company issued 10,000,000 units (each, a " Unit ") at a price of US$0.25 per Unit for gross proceeds of US$2,500,000.”
Mitesco, Inc. issued convertible note to C/M Capital Master Fund, L.P. for potential total funding of $1 million, with an initial funding of $250,000.
“On October 31, 2025 Miteco, Inc. ( the “Company”) entered into a Senior Secured 10% Original Issue Discount Convertible Promissory Note (the “2025 Bridge Note”) with C/M Capital Master Fund, L.P. with a potential total funding of $1 million, with an initial funding of $250,000.”
SL GREEN REALTY CORP issued 172,809 Series X Preferred Units of preferred stock.
“issued as a portion of the consideration for the acquisition of ownership interests in certain commercial real estate property”
PEDEVCO CORP issued 10,650,000 shares of newly designated Series A Convertible Preferred Stock of preferred stock to Century Oil and Gas Holdings, LLC and North Peak.
“The issuance of the Merger Preferred Shares and PIPE Preferred Shares was exempt from the registration requirements of the Securities Act, pursuant to Section 4(a)(2) and/or Rule 506 of Regulation D of the Securities Act.”
CytoDyn Inc. issued shares of Common Stock, $0.001 par value per share of common stock to YA II PN, Ltd. (Yorkville) for 98% of the lowest daily VWAP during the three consecutive trading days.
“from the Company, shares of the Company’s common stock, $0.001 par value per share (“Common Stock”). At the Company’s option, the shares of Common Stock would be purchased at 98% of the lowest daily VWAP (as defined below) during the three consecutive trading days (the “Pricing Period”) commencing on the date (each, an “Advance Notice Date”) the Company”
CaliberCos Inc. issued 561,747 shares of Common Stock of common stock to Note Holders for aggregate principal amount of $1,897,504.55.
“the applicable Note Holders converted and canceled all or part of the applicable Note Holders’ Notes at conversion prices ranging from $3.14 to $3.72. The applicable Notes in the aggregate principal amount of $1,897,504.55 converted into an aggregate of 561,747 shares of Common Stock”
Cottonwood Communities, Inc. issued 209,105 shares of Series A Convertible Preferred Stock of preferred stock to accredited investors for aggregate proceeds of $2,077,000.
“During the period from October 22, 2025 through November 2, 2025, we issued and sold 209,105 shares of Series A Convertible Preferred Stock in the Series A Convertible Private Offering and received aggregate proceeds of $2,077,000.”
NOCERA, INC. issued convertible note to an institutional accredited investor for aggregate original principal amount of up to $300,000,000.
“to issue and sell, and the Investor agreed to purchase, in multiple closings, a new series of senior secured convertible notes in an aggregate original principal amount of up to $300,000,000”
Katapult Holdings, Inc. issued 30,000 shares of preferred stock to HHCF Series 21 Sub, LLC for $1,000 per share.
“Company’s preferred stock, par value $0.0001 per share, designated as “Series A Convertible Preferred Stock” (the “Series A Convertible Preferred Stock”) at a purchase price of $1,000 per share, resulting in total gross proceeds to the Company of $35.0 million (the “Series A Issuance”) and has used the net proceeds from the Series A Issuance to repay in full”
Katapult Holdings, Inc. issued 35,000 shares of preferred stock to HHCF Series 21 Sub, LLC for $1,000 per share.
“Company’s preferred stock, par value $0.0001 per share, designated as “Series A Convertible Preferred Stock” (the “Series A Convertible Preferred Stock”) at a purchase price of $1,000 per share, resulting in total gross proceeds to the Company of $35.0 million (the “Series A Issuance”) and has used the net proceeds from the Series A Issuance to repay in full”
SmartKem, Inc. issued 400,000 shares of the Company's common stock of common stock to certain purchasers for $1,000,000 aggregate purchase price.
“On October 31, 2025, SmartKem, Inc. (the “Company”), entered into a securities purchase agreement (the “Purchase Agreement”) with certain purchasers (the “Purchasers”), pursuant to which the Company issued and sold to the Purchasers in a private placement: (i) Senior Secured Notes (the “Notes”) in the aggregate principal amount of $1,100,000 and (ii) warrants (the “Warrants”) exercisable for up to an aggregate of 400,000 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), at an exercise price of $2.75 per share for an aggregate purchase price of $1,000,000.”
Bakkt, Inc. issued 465,890 shares of New Bakkt Preferred Stock of preferred stock to ICE for at a price per share of New Bakkt Class A Common Stock of $39.34.
“to such conversion under the HSR Act, or (ii) a direct transfer to an unaffiliated party of the holder thereof), at a price per share of New Bakkt Class A Common Stock of $39.34, representing the “Minimum Price” as defined in NYSE Rule 312.04(h), which was offset against the amount of cash to which Mr. Naheta and ICE were otherwise entitled under the”
Bakkt, Inc. issued 69,733 shares New Bakkt Class A Common Stock of common stock to Mr. Naheta for at a price per share of New Bakkt Class A Common Stock of $39.34.
“to such conversion under the HSR Act, or (ii) a direct transfer to an unaffiliated party of the holder thereof), at a price per share of New Bakkt Class A Common Stock of $39.34, representing the “Minimum Price” as defined in NYSE Rule 312.04(h), which was offset against the amount of cash to which Mr. Naheta and ICE were otherwise entitled under the”
Canton Strategic Holdings, Inc. issued warrant to certain accredited investors (the Cryptocurrency Purchasers) for $3.075 less $0.0001.
“On November 3, 2025, the Company entered into securities purchase agreements (the " Cryptocurrency Securities Purchase Agreements ," and together with the Cash Securities Purchase Agreements, the " Securities Purchase Agreements ") with certain accredited investors (the " Cryptocurrency Purchasers ," and together with the Cash Purchasers, the " Purchasers ") pursuant to which the Company agreed to sell and issue to the Cryptocurrency Purchasers in a private placement (the " Cryptocurrency Offering ," and together with the Cash Offering, the " Offerings ") (i) pre-funded warrants (" Cryptocurrency Pre-Funded Warrants " and, together with the Cash Pre-Funded Warrants, the " Pre-Funded Warrants ") to purchase shares of Common Stock (" Cryptocurrency Pre-Funded Warrant Shares " and, together with the Cash Pre-Funded Warrant Shares, the " Pre-Funded Warrant Shares ") at an offering price of $3.075 less $0.0001”
Canton Strategic Holdings, Inc. issued warrant to certain accredited investors (the Cash Purchasers) for offering price of the Per Share Cash Purchase Price less $0.0001 per Cash Pre-Funded Warrant.
“and/or pre-funded warrants (the " Cash Pre-Funded Warrants ") to purchase shares of the Common Stock (the " Cash Pre-Funded Warrant Shares " and together with Cash Pre-Funded Warrants, the " Cash Securities ") at an offering price of the Per Share Cash Purchase Price less $0.0001 per Cash Pre-Funded Warrant”
Canton Strategic Holdings, Inc. issued an aggregate offering of either shares of common stock of common stock to certain accredited investors (the Cash Purchasers) for $3.075 per Cash Share.
“On November 3, 2025, Tharimmune, Inc. (the " Company ") entered into securities purchase agreements (the " Cash Securities Purchase Agreements ") with certain accredited investors (the " Cash Purchasers ") pursuant to which the Company agreed to sell and issue to the Cash Purchasers in a private placement offering (the " Cash Offering ") an aggregate offering of either shares (the " Cash Shares ") of common stock of the Company, par value $0.0001 per share (the " Common Stock ") at an offering price of $3.075 per Cash Share”
PIMCO Asset-Based Lending Co LLC issued 931,959.53 of common stock to third party investors for 9,427,113.
“on October 28, 2025) to third party investors for cash: Type Number of Shares Sold Aggregate Consideration Series I Anchor I Shares 110 $ 1,116 Anchor II Shares 931,959.53 9,427,113 Anchor II-B Shares 110 1,116 E Shares 13,418.35 136,116 Standard A Shares 14,898.44 151,116 Standard B Shares 110 1,116 Series II Anchor I Shares 1,500,036.55 $ 15,256,852 Anchor”
Insight Digital Partners II issued 5,450,000 Private Placement Warrants of warrant to the Sponsor and the Underwriters for at a purchase price of $1.00 per Private Placement Warrant, generating gross proceeds to the Company of $5,450,000.
“On October 30, 2025, simultaneously with the closing of the IPO, pursuant to the Private Placement Warrants Purchase Agreements, the Company completed the private sale of an aggregate of 5,450,000 warrants (the “ Private Placement Warrants ”) to the Sponsor and the Underwriters at a purchase price of $1.00 per Private Placement Warrant, generating gross proceeds to the Company of $5,450,000.”
TERAWULF INC. issued convertible note to initial purchasers (Morgan Stanley & Co. LLC and Cantor Fitzgerald & Co., as representatives) for $1.025 billion aggregate principal amount.
“institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended (the “Securities Act”). The aggregate principal amount of notes sold in the offering was $1.025 billion, which includes $125.0 million aggregate principal amount of notes issued pursuant to an option to purchase additional notes granted to the Initial Purchasers under the purchase”
CREATIVE MEDICAL TECHNOLOGY HOLDINGS, INC. issued 2,790,340 shares of common stock of warrant to holders of existing warrants for cash exercise of existing warrants at $3.75 per share for aggregate gross proceeds of approximately $4.2 million.
“On October 29, 2025, Creative Medical Technology Holdings, Inc. (the “Company”) entered into warrant exercise inducement offer letters (the “Inducement Letters”) with the holders (the “Holders”) of warrants to purchase an aggregate of 1,116,136 shares of the Company’s common stock originally issued on March 6, 2025 (collectively, the “Existing Warrants”), pursuant to which the Holders agreed to exercise the Existing Warrants at their current exercise price of $3.75 per share, in exchange for the Company’s agreement to issue the Holders new warrants to purchase an aggregate of 2,790,340 shares of common stock (the “Inducement Warrants”).”
SRx Health Solutions, Inc. issued 54,527,811 Warrants to purchase shares of Common Stock of warrant to certain accredited investors for aggregate proceeds of approximately $15.23 million.
“On October 31, 2025, pursuant to the Securities Purchase Agreement, the Company issued and sold, and certain investors purchased, in a private placement (the “Private Placement”): 19,035 shares of the Series A Preferred Stock and 54,527,811 Warrants to purchase shares of Common Stock for aggregate proceeds of approximately $15.23 million”
SRx Health Solutions, Inc. issued 19,035 shares of the Series A Preferred Stock of preferred stock to certain accredited investors for aggregate proceeds of approximately $15.23 million.
“On October 31, 2025, pursuant to the Securities Purchase Agreement, the Company issued and sold, and certain investors purchased, in a private placement (the “Private Placement”): 19,035 shares of the Series A Preferred Stock and 54,527,811 Warrants to purchase shares of Common Stock for aggregate proceeds of approximately $15.23 million”
Carlyle Credit Income Fund issued approximately 17,500 shares of preferred stock to Purchasers for $930.00 per Convertible Preferred Share.
“On October 30, 2025, Carlyle Credit Income Fund (NYSE: CCIF) (the “Fund”) entered into a purchase agreement (the “Convertible Preferred Shares Purchase Agreement”), by and among the Fund, each purchaser named therein (the “Purchasers”), and the investment adviser named therein (the “Adviser”), in connection with the issuance and sale of approximately 17,500 shares of the Fund’s 7.25% Series E Convertible Preferred Shares due 2030, liquidation preference of $1,000.00 (the “Convertible Preferred Shares”), at a price equal to $930.00 per Convertible Preferred Share”
ARTELO BIOSCIENCES, INC. issued 438,182 shares of common stock underlying warrants of warrant to certain investors for Part of the same consideration as the notes; warrants issued in the same transaction.
“On October 28, 2025, Artelo Biosciences, Inc. (the " Company ") entered into a Subscription Agreement (the " Subscription Agreement ") pursuant to which it issued and sold to certain investors (the " Investors "), and the Investors purchased (by converting all or a portion of the unconverted "Voluntary Conversion" portion of unpaid principal balance and accrued interest due to such Investors upon the maturity of the convertible promissory notes issued to the Investors on May 1, 2025): (i) convertible notes (the " Notes ") to the Investors in an aggregate principal amount of $690,154.69; and (ii) warrants (the " Warrants ") to purchase an aggregate of 438,182 shares of the Company's common stock, par value $0.001 per share (" Common Stock "), at an exercise price of $3.40 per share (collectively, the " Offering ").”
ARTELO BIOSCIENCES, INC. issued Aggregate principal amount of $690,154.69 of convertible notes of convertible note to certain investors for Conversion of all or a portion of the unconverted 'Voluntary Conversion' portion of unpaid principal balance and accrued interest due upon maturity of convertib.
“On October 28, 2025, Artelo Biosciences, Inc. (the " Company ") entered into a Subscription Agreement (the " Subscription Agreement ") pursuant to which it issued and sold to certain investors (the " Investors "), and the Investors purchased (by converting all or a portion of the unconverted "Voluntary Conversion" portion of unpaid principal balance and accrued interest due to such Investors upon the maturity of the convertible promissory notes issued to the Investors on May 1, 2025): (i) convertible notes (the " Notes ") to the Investors in an aggregate principal amount of $690,154.69; and (ii) warrants (the " Warrants ") to purchase an aggregate of 438,182 shares of the Company's common stock, par value $0.001 per share (" Common Stock "), at an exercise price of $3.40 per share (collectively, the " Offering ").”
BEYOND MEAT, INC. issued 0 of convertible note to eligible holders of the Existing Convertible Notes accepted for exchange in the Exchange Offer for exchange of Existing Convertible Notes.
“on October 30, 2025, in reliance upon the exemption from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”) provided by Section 4(a)(2) thereof and Rule 506 of Regulation D promulgated thereunder, the Company issued 1,684,270 New Shares and $1,004,000 in aggregate principal amount of New Convertible Notes to eligible holders of the Existing Convertible Notes accepted for exchange in the Exchange Offer.”
Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.