Equity Issuances

Super League Enterprise, Inc. issued Common Stock Purchase Warrants to purchase one share of Common Stock per Share or Pre-Funded Warrant purchased of warrant to certain accredited investors for exercise price of $1.00.

“Common Stock Purchase Warrants (“ Warrants ”), to purchase one share of Common Stock (“ Warrant Shares ”), with an exercise price of $1.00 (the “ Exercise Price ”)”

Super League Enterprise, Inc. issued Pre-Funded Warrants to purchase 2,440,000 shares of Common Stock of warrant to certain accredited investors for price per Pre-Funded Warrant equal to same price as that for Shares minus $0.00001.

“Pre-Funded Warrants (“ Pre-Funded Warrants ”) to purchase 2,440,000 shares of Common Stock (the “ Pre-Funded Warrants ”) at a price per Pre-Funded Warrant equal to same price as that for Shares minus $0.00001”

Super League Enterprise, Inc. issued 2,310,000 shares of common stock to certain accredited investors for $1.00 per share.

“the Company’s sale (the “ Offering ”) of an aggregate of (a) 2,310,000 shares (the “ Shares ”) of the Company’s Common Stock, par value $0.001 per share (“ Common Stock ”), at a price per Share equal to $1.00”

Carlyle Credit Solutions, Inc. issued 16,097,173 shares of common stock to investors for $306.3 million.

“As of October 1, 2025, Carlyle Credit Solutions, Inc. (the “Company”) issued and sold 16,097,173 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 October 27, 2025 for aggregate consideration of $306.3 million.”

Cenntro Inc. issued 12,000,000 shares of Common Stock of common stock to About Investment Pte. Ltd..

“About Pte has converted the Exchange Note to purchase an aggregate of 12,000,000 shares of common stock, $0.0001 par value per share (the “Common Stock”) of the Company, and the Company has issued to the About Pte 12,000,000 shares of Common Stock in accordance with the terms of the Exchange Note.”

Celularity Inc issued preferred stock to an institutional investor for 90% of the stated value.

“with the Series A Preferred Stock, the “Securities”). Under the Purchase Agreement, the Series A Preferred Stock will be issued and sold at a purchase price equal to 90% of the stated value, with each Preferred Share having a stated value of $1.111111 per share, and the Warrants will be issued for no additional consideration. Each Warrant will”

Zapata Quantum, Inc. issued 5,000 shares of the Company's Series A Convertible Preferred Stock of preferred stock to accredited investors for $100 per share for total gross proceeds of $500,000.

“From October 22, 2025 through the date of this Current Report on Form 8-K, the Company entered into Securities Purchase Agreements (“SPA”) with accredited investors, pursuant to which the Company offered and sold 5,000 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 $500,000.”

Stepstone Private Credit Fund LLC issued 5,153,708 unregistered shares of common stock to participating investors for aggregate consideration of $134.3 million.

“As of October 1, 2025, Stepstone Private Credit Fund LLC (the “Company”) sold 5,153,708 unregistered shares (the “Sold Shares”) of the Company’s limited liability company interests (the “Shares”) (with the final number of Sold Shares issued being determined on October 28, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $134.3 million.”

HPS Corporate Capital Solutions Fund issued 442,867 Class I Common Shares; 1,195,631 Class D Common Shares of common stock to accredited investors or non-U.S. persons for $11.86 million for Class I Shares; $32.02 million for Class D Shares.

“On October 1, 2025, HPS Corporate Capital Solutions Fund (the “ Fund ”) sold common shares of beneficial interest (the “ Shares ”).”

Apollo Asset Backed Credit Co LLC issued common stock to third party investors.

“As of October 1, 2025, Apollo Asset Backed Credit Company LLC (the “Company”) issued and sold the following unregistered shares of the Company (with the final number of shares being determined on October 27, 2025) to third party investors for cash:”

EQT Private Equity Co LLC issued approximately 696,132 Class E Shares of common stock to EQT Holdings AB for valued at approximately $28.31 per Class E Share.

“On October 24, 2025, EQT Private Equity Company LLC (the “Company”) issued to EQT Holdings AB, an indirect subsidiary of EQT AB, a total of approximately 696,132 Class E Shares of the Company (the “Class E Shares”), valued at approximately $28.31 per Class E Share, in exchange for the contribution to the Company of a portion of EQT Holding AB’s ownership interests in Acronis AG”

VistaOne, L.P. issued 718,347 Class A-B units, 2,127,787 Class A-I units, 763,181 Class A-S units of unit to third-party investors for aggregate consideration of approximately $106.4 million.

“As of October 1, 2025, VistaOne, L.P. (the “Fund”) sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $106.4 million.”

Miluna Acquisition Corp issued 194,100 units of unit to MilunaC Technology Limited for $1,941,000.

“On October 24, 2025, simultaneously with the closing of the IPO, pursuant to the Private Units Purchase Agreement, the Company completed the private sale of an aggregate of 194,100 units (the “ Private Placement Units ”) to the Sponsor at a purchase price of $10.00 per Private Placement Units, generating gross proceeds to the Company of $1,941,000 (the “ Private Placement ”).”

LaFayette Acquisition Corp. issued 380,000 units of unit to the Sponsor and EBC (and its affiliates or permitted assignees) for $10.00 per Private Placement Unit, generating gross proceeds of $3,800,000.

“On October 27, 2025, simultaneously with the consummation of the Offering, the Company consummated the private placement of an aggregate of 380,000 units (the “Private Placement Units”) to the Sponsor and EBC (and its affiliates or permitted assignees) at a price of $10.00 per Private Placement Unit, generating gross proceeds of $3,800,000 (the “Private Placement”).”

Smart Powerr Corp. issued warrant to certain accredited investors for $1.18 per Unit.

“each consisting of one share of Common Stock, and one warrant, each exercisable to purchase one share of Common Stock (each, a “Warrant”), at a purchase price of $1.18 per Unit”

Smart Powerr Corp. issued 17,000,000 shares of common stock of common stock to certain accredited investors for $1.18 per Unit.

“the Company agreed to issue and sell, in a private placement (the “Private Placement”), an aggregate of 17,000,000 shares of common stock, par value $0.001 per share (the “Common Stock”) included in 17,000,000 units (the “Units”), each consisting of one share of Common Stock, and one warrant, each exercisable to purchase one share of Common Stock (each, a “Warrant”), at a purchase price of $1.18 per Unit”

Neuphoria Therapeutics Inc. issued common stock.

“the Board declared a dividend of one preferred share purchase right for each outstanding share of the Company’s common stock as of the close of business on October 27, 2025, the record date”

Rise Gold Corp. issued 6,000 finder's warrants, each exercisable for one common share of warrant to finders for finder's fees of US$1,500.

“The Company paid finder's fees of US$1,500 and issued a total of 6,000 finder's warrants (" Finder's Warrants "), with each Finder's Warrant entitling the holder to acquire one Share (each a " Finder's Warrant Share ") at a price of US$0.45 until October 24, 2028.”

Rise Gold Corp. issued 28,000,000 units, each consisting of one common share and one common share purchase warrant of unit to multiple investors (including Abdiel Capital Advisors, Equinox Partners, Myrmikan Gold Fund, directors and officers) for US$7,000,000 (US$0.25 per unit).

“Item 3.02 Unregistered Sales of Securities On October 24, 2025, Rise Gold Corp. (the " Company ") closed the non-brokered private placement of units (" Units ") previously announced in the Company's October 17, 2025 news release. The Company raised a total of US$7,000,000 through the sale of 28,000,000 units (each a " Unit ") at a price of US$0.25 per Unit.”

FOCUS UNIVERSAL INC. issued 8,236 shares of the Company’s Series B Convertible Preferred Stock, par value $0.001 per share of preferred stock to private accredited investors for up to $7,000,000 at a price per share of $850.00, which represents a 15% original issuance discount.

“On or about October 21, 2025, the Company entered into a securities purchase agreement (the “ Series B Agreement ”) with private accredited investors (the “ Investors ”) the form of which is included hereto as Exhibit 10.2, is incorporated by reference into this Item 3.02. Pursuant to the terms and conditions of the Series B Agreement, the Investors committed to purchase up to $7,000,000 or 8,236 shares (the “ Commitment Amount ”) of the Company’s Series B Convertible Preferred Stock, par value $0.001 per share (the “ Series B Preferred Stock ”) at a price per share of $850.00”

FOCUS UNIVERSAL INC. issued 750,000 shares of Series A Convertible Preferred Stock of preferred stock to Edward Lee, the Chairman of the Company’s Board of Directors, as the lead investor and other accredited investors for aggregate purchase price of $3,000,000, or $4.00 per share.

“On or about October 20, 2025, the Company committed the sale of 750,000 shares of Series A Convertible Preferred Stock (the “ Series A Preferred Stock ”) in a private placement to Edward Lee, the Chairman of the Company’s Board of Directors, as the lead investor and other accredited investors for an aggregate purchase price of $3,000,000, or $4.00 per share”

JUPITER NEUROSCIENCES, INC. issued convertible note to YA II PN, LTD for $3,720,000.

“the first Pre-Paid Advance in the amount of $3,720,000 was disbursed to the Company on October 27, 2025, in exchange for the Company’s issuance to Yorkville of a Convertible Note in the principal amount of $4.0 million”

JUPITER NEUROSCIENCES, INC. issued common stock to YA II PN, LTD for up to $20.0 million.

“the Company has the right to sell to Yorkville up to $20.0 million of its common stock”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 6,178 Class E Common Shares of common stock to Brookfield and its affiliates for $64,680.

“Date of Unregistered Sale Number of Class E Common Shares Issued to Brookfield and its Affiliates Consideration October 20, 2025 6,178 $64,680”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 3,007 Class I Common Shares of common stock to Brookfield and its affiliates for $31,516.

“Date of Unregistered Sale Number of Class I Common Shares Issued to Brookfield and its Affiliates Consideration October 20, 2025 3,007 $31,516”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 10,061 Class I Common Shares of common stock to a feeder vehicle that offers interests in such feeder vehicles to non-U.S. persons for $105,507.

“Date of Unregistered Sale Number of Class I Common Shares Issued to Feeder Vehicles Consideration October 20, 2025 10,061 $105,507”

BROOKFIELD REAL ESTATE INCOME TRUST INC. issued 107,159 unregistered Class I common shares of common stock to Brookfield REIT Adviser LLC (the Adviser) for $1,123,253.

“the Company issued 107,159 unregistered Class I common shares to the Adviser in satisfaction of the September 2025 management fee of $1,123,253”

AMAZE HOLDINGS, INC. issued 1,000,000 shares of Common Stock of warrant to Parler Cloud Technologies, LLC for aggregate purchase price of $4,000,000.

“Purchase Agreement”). Under the A&R Purchase Agreement, Parler has agreed to purchase the same number of Shares and Warrants in three tranches for an aggregate purchase price of $4,000,000. Parler will pay the aggregate purchase price as follows: (i) $2,000,000 in the form of 400 shares of Parler’s Series A Preferred Stock priced at $5,000 per share, in exchange”

AMAZE HOLDINGS, INC. issued 1,000,000 shares of common stock to Parler Cloud Technologies, LLC for aggregate purchase price of $4,000,000.

“Purchase Agreement”). Under the A&R Purchase Agreement, Parler has agreed to purchase the same number of Shares and Warrants in three tranches for an aggregate purchase price of $4,000,000. Parler will pay the aggregate purchase price as follows: (i) $2,000,000 in the form of 400 shares of Parler’s Series A Preferred Stock priced at $5,000 per share, in exchange”

Apollo Infrastructure Co LLC issued 16,511 of common stock to third party investors for $454,000.

“Type Number of Shares Sold Aggregate Consideration Series I A-II Shares 458,657 $ 12,576,250 F-I Shares 10,339 280,000 I Shares 85,632 2,326,100 Series II A-II Shares 905,724 $ 25,116,000 F-I Shares 33,708 923,100 E Shares 2,674 75,000 I Shares 16,511 454,000”

Apollo Infrastructure Co LLC issued 33,708 of common stock to third party investors for $923,100.

“Type Number of Shares Sold Aggregate Consideration Series I A-II Shares 458,657 $ 12,576,250 F-I Shares 10,339 280,000 I Shares 85,632 2,326,100 Series II A-II Shares 905,724 $ 25,116,000 F-I Shares 33,708 923,100 E Shares 2,674 75,000 I Shares 16,511 454,000”

Apollo Infrastructure Co LLC issued 85,632 of common stock to third party investors for $2,326,100.

“Type Number of Shares Sold Aggregate Consideration Series I A-II Shares 458,657 $ 12,576,250 F-I Shares 10,339 280,000 I Shares 85,632 2,326,100 Series II A-II Shares 905,724 $ 25,116,000 F-I Shares 33,708 923,100 E Shares 2,674 75,000 I Shares 16,511 454,000”

Apollo Infrastructure Co LLC issued 458,657 of common stock to third party investors for $12,576,250.

“Type Number of Shares Sold Aggregate Consideration Series I A-II Shares 458,657 $ 12,576,250 F-I Shares 10,339 280,000 I Shares 85,632 2,326,100 Series II A-II Shares 905,724 $ 25,116,000 F-I Shares 33,708 923,100 E Shares 2,674 75,000 I Shares 16,511 454,000”

Apollo Infrastructure Co LLC issued 905,724 of common stock to third party investors for $25,116,000.

“Type Number of Shares Sold Aggregate Consideration Series I A-II Shares 458,657 $ 12,576,250 F-I Shares 10,339 280,000 I Shares 85,632 2,326,100 Series II A-II Shares 905,724 $ 25,116,000 F-I Shares 33,708 923,100 E Shares 2,674 75,000 I Shares 16,511 454,000”

Lord Abbett Private Credit Fund issued 1,345,224 of the Company's common shares of beneficial interest of common stock to accredited investors for aggregate offering price of approximately $33.9 million, reflecting a purchase price of $25.23 per Common Share.

“As of October 1, 2025, Lord Abbett Private Credit Fund ("we", the "Company" or the "Fund"), issued and sold approximately 1,345,224 of the Company’s common shares of beneficial interest (the “Common Shares”) for an aggregate offering price of approximately $33.9 million, reflecting a purchase price of $25.23 per Common Share (with the final number of Common Shares being determined on October 21, 2025).”

Fortress Private Lending Fund issued 1,358,688 of common stock to accredited investors for $34.0 million aggregate; purchase price per Share equaled NAV per Share as of September 30, 2025.

“During October 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 $34.0 million. The number of Shares to be issued was finalized on October 23, 2025. The purchase price per Share equaled the Company’s net asset value (“NAV”) per Share as of September 30, 2025.”

New Mountain Private Credit Fund issued 249,486 of its common shares of beneficial interest of common stock to accredited investors for aggregate consideration of approximately $6.1 million at a price per Share equal to $24.31.

“as of October 1, 2025 , the Company sold an aggregate of 249,486 of its common shares of beneficial interest for the month of October (the “Shares”), for aggregate consideration of approximately $6.1 million at a price per Share equal to $ 24.31”

Lord Abbett Private Credit Fund S issued approximately 119,617 Common Shares of common stock to accredited investors for aggregate offering price of approximately $3.0 million.

“As of October 1, 2025, Lord Abbett Private Credit Fund S ("we", the "Company" or the "Fund"), issued and sold approximately 119,617 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 $25.08 per Common Share (with the final number of Common Shares being determined on October 21, 2025).”

Harvard Ave Acquisition Corp issued 255,000 Class A Ordinary Shares of common stock to Northlake Partners Ltd. for aggregate purchase price of $3,399,640.

“the Units sold in the IPO, subject to limited exceptions as further described in the Registration Statement. The Private Securities were sold for an aggregate purchase price of $3,399,640. In connection with the IPO, the Company entered into the following agreements, the forms of which were previously filed as exhibits to the Registration Statement: ● the”

Harvard Ave Acquisition Corp issued 66,017 Private Units of unit to Northlake Partners Ltd. for aggregate purchase price of $3,399,640.

“the Units sold in the IPO, subject to limited exceptions as further described in the Registration Statement. The Private Securities were sold for an aggregate purchase price of $3,399,640. In connection with the IPO, the Company entered into the following agreements, the forms of which were previously filed as exhibits to the Registration Statement: ● the”

Harvard Ave Acquisition Corp issued 764,892 Class A Ordinary Shares of common stock to Copley Square LLC for aggregate purchase price of $3,399,640.

“the Units sold in the IPO, subject to limited exceptions as further described in the Registration Statement. The Private Securities were sold for an aggregate purchase price of $3,399,640. In connection with the IPO, the Company entered into the following agreements, the forms of which were previously filed as exhibits to the Registration Statement: ● the”

Harvard Ave Acquisition Corp issued 273,947 Private Units of unit to Copley Square LLC for aggregate purchase price of $3,399,640.

“the Units sold in the IPO, subject to limited exceptions as further described in the Registration Statement. The Private Securities were sold for an aggregate purchase price of $3,399,640. In connection with the IPO, the Company entered into the following agreements, the forms of which were previously filed as exhibits to the Registration Statement: ● the”

TPG Private Equity Opportunities, L.P. issued 1,571,396 Class R-I Units; 1,426,788 Class R-S Units of unit to third-party investors for $83.9 million aggregate consideration.

“On October 1, 2025, TPG Private Equity Opportunities, L.P., a Delaware limited partnership (the “Fund” or “T-POP”), sold unregistered limited partnership units (the “Units”) of the Fund as part of its continuous private offering for aggregate consideration of $83.9 million.”

DNA X, Inc. issued common stock.

“The Certificate of Amendment will become effective at 12:01 a.m. Eastern Time on October 27, 2025, at which time every eighteen (18) shares of Common Stock will be automatically combined into one (1) issued and outstanding share of Common Stock, without any change in par value per share.”

Cuentas Inc. issued convertible note to accredited investors for aggregate principal $385,000.

“The WM Notes (aggregate principal $385,000) and the three October 17, 2025 convertible notes referenced above were issued in transactions not involving a public offering.”

Genprex, Inc. issued up to an aggregate of 487,244 shares of Common Stock of warrant to certain investors named in the Purchase Agreement.

“the Company agreed to issue to the Purchasers warrants (the “Private Warrants”) exercisable for up to an aggregate of 487,244 shares of Common Stock (the “Private Warrant Shares”)”

FingerMotion, Inc. issued an aggregate of 4,000,000 common stock purchase warrants of warrant to a consultant.

“On October 21, 2025, FingerMotion, Inc. (the “Company”) issued an aggregate of 4,000,000 common stock purchase warrants (the “Warrants”) to a consultant pursuant to a consulting services agreement with respect to investor relations services.”

Western Uranium & Vanadium Corp. issued 229,444 broker warrants of warrant to A.G.P. Canada Investments ULC (the Underwriter).

“The Company has paid the Underwriter a cash commission of 7% on the aggregate proceeds from Units (being equal to approximately CAD$413,000) and issued 229,444 broker warrants having the same terms and conditions as the Warrants”

Western Uranium & Vanadium Corp. issued 6,555,556 units of unit for CAD$0.90 per unit.

“On October 14, 2025, Western Uranium & Vanadium Corp. (“Western” or the “Company”) completed a private placement (the “Offering”) of 6,555,556 units (“Units”) at a price of CAD$0.90 per unit for gross proceeds of approximately CAD$5,900,000.”

Silver Point Specialty Lending Fund issued 1,702,510 of common stock to shareholders for aggregate offering price of approximately $24,124,566.

“As of October 1, 2025, Silver Point Specialty Lending Fund (the “ Fund ”) issued and sold 1,702,510 of its unregistered common shares of beneficial interest, par value $0.001 per share (the “ Shares ”), for an aggregate offering price of approximately $24,124,566, reflecting a purchase price of $14.17 per Share”