Equity Issuances

AST SpaceMobile, Inc. issued convertible note to initial purchasers for $1.0 billion aggregate principal amount.

“On October 24, 2025, AST SpaceMobile, Inc. (the “ Company ”) completed its previously announced private offering (the “ Offering ”) of $1.0 billion aggregate principal amount of 2.00% Convertible Senior Notes due 2036 (the “ Notes ”).”

micromobility.com Inc. issued up to $25 million in aggregate gross purchase price of newly issued fully paid shares of our common stock of common stock to YA II PN, Ltd. (Yorkville) for 97% of the lowest daily VWAP of the shares of Common Stock during the three consecutive trading days.

“subject to certain limitations set forth in the October SEPA. The shares of common stock purchased pursuant to an Advance delivered by us will be purchased at a price equal to 97% of the lowest daily VWAP of the shares of Common Stock during the three consecutive trading days commencing on the date of the delivery of the Advance Notice, other than the”

micromobility.com Inc. issued convertible note to YA II PN, Ltd. (Yorkville).

“On October 20, 2025, we issued and sold the Promissory Note to Yorkville in a private placement pursuant to the exemption from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”).”

Blue Owl Credit Income Corp. issued 4,720,802 of common stock to feeder vehicles primarily created to hold the Company's Class I shares for $44,422,748.

“As of October 1, 2025, Blue Owl Credit Income Corp. (the “ Company ,” “ we ” or “ us ”) sold unregistered shares of its Class I common stock to feeder vehicles primarily created to hold the Company’s Class I shares. The offer and sale of these Class I shares was exempt from the registration provisions of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2) and/or Regulation S thereunder (the “ Private Offering ”). The following table details the shares sold: Date of Unregistered Sale Approximate Number of Shares of Class I Common Stock Consideration As of October 1, 2025 (number of shares finalized on October 23, 2025) 4,720,802 $ 44,422,748”

Tango Therapeutics, Inc. issued 1,732,101 shares of common stock to a certain accredited investor for $8.66 per share.

“the Company also entered into a securities purchase agreement (the “Purchase Agreement”) with a certain accredited investor (the “Purchaser”), for the private investment in public equity (the “Private Placement”) of 1,732,101 shares (the “PIPE Shares”) of the Company’s Common Stock, at a purchase price of $8.66 per share.”

Onfolio Holdings, Inc issued warrants to purchase 740,740 shares of warrant to accredited investors for $1 million aggregate.

“On October 21, 2025, Onfolio Holdings Inc. (the “ Company ”) sold seven units consisting of shares of the Company’s common stock, par value $0.001 per share (“ common stock ”) and non-publicly traded warrants (“ warrants ”) to purchase shares of common stock at an exercise price equal to $2.50 per share. The warrants expire on August 30, 2027. The shares and warrants comprising the units were immediately separable and were issued separately. Each unit was offered at the price of $50,000 per unit for an aggregate amount of $350,000. Each unit contained 37,037 shares (“ shares ”) of common stock and a warrant to purchase an additional 37,037 shares of common stock at an exercise price equal to US$2.50 per share. An additional thirteen units have been sold as of October 23, 2025, and the aggregate amount raised by the sale of all twenty units (comprising an aggregate of 740,740 shares and warrants to purchase 740,740 shares) was $1 million.”

Onfolio Holdings, Inc issued 740,740 shares of common stock to accredited investors for $1 million aggregate.

“On October 21, 2025, Onfolio Holdings Inc. (the “ Company ”) sold seven units consisting of shares of the Company’s common stock, par value $0.001 per share (“ common stock ”) and non-publicly traded warrants (“ warrants ”) to purchase shares of common stock at an exercise price equal to $2.50 per share. The warrants expire on August 30, 2027. The shares and warrants comprising the units were immediately separable and were issued separately. Each unit was offered at the price of $50,000 per unit for an aggregate amount of $350,000. Each unit contained 37,037 shares (“ shares ”) of common stock and a warrant to purchase an additional 37,037 shares of common stock at an exercise price equal to US$2.50 per share. An additional thirteen units have been sold as of October 23, 2025, and the aggregate amount raised by the sale of all twenty units (comprising an aggregate of 740,740 shares and warrants to purchase 740,740 shares) was $1 million.”

Spectral AI, Inc. issued pre-funded warrants to purchase up to 935,000 shares of our Common Stock of warrant to a certain investor for $1.8999 per Pre-Funded Warrant.

“investor (the “Investor”) for the sale of 3,065,000 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (“Common Stock”), at an offering price of $1.90 per Share (such transaction, the “Offering”). The sale and issuance of the Shares is being made pursuant to the Company’s registration statement on Form S-3 (file number”

Spectral AI, Inc. issued warrants to purchase up to 4,000,000 shares of our Common Stock of warrant to a certain investor.

“in a concurrent private placement pursuant to the Purchase Agreement (the “Private Placement”), the Company agreed to sell to the Investor (i) warrants (the “Warrants”) to purchase up to 4,000,000 shares of our Common Stock”

Spectral AI, Inc. issued 3,065,000 shares of common stock to a certain investor for $1.90 per Share.

“On October 22, 2025, Spectral AI, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with a certain investor (the “Investor”) for the sale of 3,065,000 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (“Common Stock”), at an offering price of $1.90 per Share”

Blue Owl Technology Income Corp. issued 4,214,663 shares of Class I common stock of common stock to feeder vehicles primarily created to hold the Company’s Class I shares for $43,916,794.

“Date of Unregistered Sale Approximate Number of Shares of Class I Common Stock Consideration As of October 1, 2025 (number of shares finalized on October 23, 2025) 4,214,663 $ 43,916,794”

First Eagle Private Credit Fund issued 289 of common stock to feeder vehicle for $ 7,020.

“details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of October 1, 2025 (number of shares finalized on October 23, 2025) 289 $ 7,020”

BlackRock Private Credit Fund issued 5,324,498.59 shares of common stock to feeder vehicles for $128,154,824.11.

“The Fund sells unregistered Institutional Class common shares of beneficial interest to feeder vehicles primarily created to hold the Fund’s Institutional Class shares. The offer and sale of these Institutional Class shares was exempt from the registration provisions of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2) and/or Regulation S thereunder (the “Private Offering”). The following table details the shares sold in the Private Offering. The Fund also issues shares to feeder vehicles pursuant to the distribution reinvestment plan of the Fund. Date of Unregistered Sale Amount of Institutional Class Shares Sold Consideration October 1, 2025 (number of shares finalized on October 20, 2025) 5,324,498.59 $128,154,824.11”

KKR Infrastructure Conglomerate LLC issued Class I Shares 4,999,372, Class S Shares 4,663,921, Class D Shares 137,100 of common stock to accredited investors and non-U.S. investors for $290,477,068 aggregate.

“On October 1, 2025, KKR Infrastructure LLC (the “Company”) sold the following unregistered shares (the “Investor Shares”) of the Company (with the final number of shares being determined on October 21, 2025) to investors for cash: Class Number of Shares Sold (1) Aggregate Consideration (1) Class I Shares 4,999,372 $ 148,127,402 Class S Shares 4,663,921 138,289,466 Class D Shares 137,100 4,060,200 Total $ 290,477,068”

Stepstone Private Credit Fund LLC issued 1,526,434 unregistered shares of common stock to participating investors for $39.7 million.

“As of July 1, 2025, Stepstone Private Credit Fund LLC (the “Company”) sold 1,526,434 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 July 29, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $39.7 million.”

Anteris Technologies Global Corp. issued 250,000 CDI Warrants of warrant to Evolution Capital Pty Ltd for services as lead manager.

“Evolution Capital Pty Ltd acted as lead manager for the CDI Offering, and will be issued 250,000 CDI Warrants.”

Anteris Technologies Global Corp. issued 2,244,896 Common Stock Warrants to purchase 2,244,896 shares of Common Stock of warrant to certain investors in the Common Stock Offering for issued as part of unit at US$4.90 per unit.

“we agreed to sell 2,244,896 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (“Common Stock”), and accompanying five-year warrants (the “Common Stock Warrants”) to purchase 2,244,896 shares of Common Stock at a price of US$4.90 per share of Common Stock and accompanying Common Stock Warrant (the “Common Stock Offering”)”

Anteris Technologies Global Corp. issued 2,244,896 shares of Common Stock of common stock to certain investors in the Common Stock Offering for US$4.90 per unit (one share of Common Stock and one Common Stock Warrant).

“we agreed to sell 2,244,896 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (“Common Stock”), and accompanying five-year warrants (the “Common Stock Warrants”) to purchase 2,244,896 shares of Common Stock at a price of US$4.90 per share of Common Stock and accompanying Common Stock Warrant (the “Common Stock Offering”)”

Fortress Private Lending Fund issued 1,328,696 of common stock to accredited investors for aggregate consideration of $33.2 million.

“sold its Class I common shares of beneficial interest, par value $0.01 per share (the “Shares”) for aggregate consideration of $33.2 million. The number of Shares to be issued was finalized on October 23, 2025.”

MMEX Resources Corp issued 1,565,000,000 shares of common stock of common stock to key consultants for in lieu of cash compensation.

“Effective October 21, 2025, we issued an aggregate of 1,565,000,000 shares of common stock to the consultants in order to satisfy a portion of the past due obligations”

XAI Octagon Floating Rate & Alternative Income Trust issued 5,000,000 MRP Shares of preferred stock to the Purchasers for $10.00 per share.

“On October 21, 2025, XAI Octagon Floating Rate & Alternative Income Trust (NYSE: XFLT) (the “Trust”) entered into a securities purchase agreement (the “Purchase Agreement”) among the Trust and the purchasers named therein (the “Purchasers”), in connection with the issuance and sale of up to 7,300,000 shares of the Trust’s Series A Mandatory Redeemable Preferred Shares, liquidation preference of $10.00 (the “MRP Shares”), at a price equal to $10.00 per MRP Share, in two transactions exempt from registration pursuant to Section 4(a)(2) of the Securities Act of 1933 on October 21, 2025 (the “First Closing”) and December 18, 2025 (the “Second Closing”).”

CXApp Inc. issued 1,583,633 shares of common stock of common stock to Avondale Capital, LLC for shares were issued between October 9, 2025 and October 20, 2025, at a price between $0.6481 and $0.6739 per share.

“The Company also issued an aggregate of 1,583,633 shares of common stock to Avondale under a Pre-Paid Purchase #1, dated as of March 26, 2025, which was entered into pursuant to the Purchase Agreement.”

CXApp Inc. issued maximum number of shares of common stock issuable under the Pre-Paid Purchase #3, assuming Avondale purchases the Purchase Shares at the Floor Price (which may of common stock to Avondale Capital, LLC for If Avondale elects to receive Purchase Shares, the purchase price will be determined as the lower of $0.9142 or 91% of the lowest daily VWAP during the ten cons.

“the Pre-Paid Purchase #3. Under the Pre-Paid Purchase #3, if Avondale elects to receive Purchase Shares, the Purchase Share purchase price will be determined as the lower of (i) $0.9142, or (ii) 91% of the lowest daily volume weighted average price during the ten consecutive trading days immediately preceding the relevant purchase notice date, but in any event”

Apollo Debt Solutions BDC issued 8,013,410 of common stock to feeder vehicles primarily created to hold the Fund's Class I Common Shares for $196,477,592.

“The following table details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of October 1, 2025 (number of shares finalized on October 22, 2025) 8,013,410 $ 196,477,592”

Diameter Credit Co issued 4,398,405.97 of common stock to certain investors for $120,479,596.07.

“The following table details the amount of Shares sold and consideration therefor: Date of Unregistered Sale Amount of Shares Consideration October 20, 2025 4,398,405.97 $120,479,596.07 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”

VISTA CREDIT STRATEGIC LENDING CORP. issued 779,215.788 shares of Class I common stock of common stock to accredited investors for $15,311,785.00.

“Number of Shares of Common Stock Issued Total Consideration As of October 1, 2025 (number of shares finalized on October 21, 2025) 779,215.788 shares of Class I common stock $15,311,785.00 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”

Goldman Sachs Private Credit Corp. issued 11,313,991 of common stock to accredited investors and/or Non-U.S. Persons for $283,302,339.

“table details the Shares sold: Date of Unregistered Sale Amount of Class I Shares Consideration As of October 1, 2025 (number of shares finalized on October 23, 2025) 11,313,991 $283,302,339 The sale of Shares was made pursuant to subscription agreements entered into by the Company and the purchasers thereof. The Company relied, in part, upon representations from the”

Blackstone Private Equity Strategies Fund L.P. issued unit to accredited investors and qualified purchasers for aggregate consideration of approximately $171.7 million.

“On October 1, 2025, Blackstone Private Equity Strategies Fund L.P. (the “BXPE U.S.”) and Blackstone Private Equity Strategies Fund (TE) L.P. (the “Feeder” and collectively with BXPE U.S., the “Funds,”) each sold unregistered limited partnership units (the “Units”) for aggregate consideration of approximately $421.5 million (1) and $171.7 million (2) , respectively.”

Senior Credit Investments, LLC issued 18,164.075 Units of unit to an investor for $32,500,000.

“therefor: Date of Unregistered Sale Amount of Units NAV per Unit Consideration As of September 29, 2025 (number of Units finalized on October 21, 2025) 18,164.075 $ 1,789.24607 $ 32,500,000 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”

Jefferies Credit Partners BDC Inc. issued 2,021,693.477 of common stock to certain third-party investors for $29,205,000.

“of Shares finalized on October 21, 2025) 5,540,093.309 $ 14.44019 $ 80,000,000 As of October 1, 2025 (number of Shares finalized on October 21, 2025) 2,021,693.477 $ 14.44581 $ 29,205,000 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”

Jefferies Credit Partners BDC Inc. issued 5,540,093.309 of common stock to a certain third-party investor for $80,000,000.

“Date of Unregistered Sale Amount of Shares NAV per Share Consideration As of September 29, 2025 (number of Shares finalized on October 21, 2025) 5,540,093.309 $ 14.44019 $ 80,000,000 As of October 1, 2025 (number of Shares finalized on October 21, 2025) 2,021,693.477 $ 14.44581 $ 29,205,000 SIGNATURES Pursuant to the requirements of the Securities Exchange Act”

EQT Private Equity Co LLC issued 3,136,768 shares of common stock to third-party investors for aggregate consideration of approximately $86,015,977.

“As of October 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 $86,015,977, at a price per Investor Share equal to transactional net asset value”

Capstone Holding Corp. issued convertible note to institutional investor for original principal amount of up to $10,909,885.

“(the “ Buyer ”), pursuant to which the Company authorized the issuance of senior secured convertible notes to the Buyer, in the aggregate original principal amount of up to $10,909,885, which are being issued with a 8.34% original issue discount (each, a “ Convertible Note ”) (the “ Convertible Note Financing ”). The first Convertible Note was issued in the”

INVO Fertility, Inc. issued 500 shares of C-2 Preferred of preferred stock to an institutional investor and existing holder for $500,000 in cash.

“a party pursuant to a joinder agreement (the “ Joinder Agreement ”) on October 11, 2024), to acquire 500 shares of C-2 Preferred, with an aggregate stated value of $500,000, for $500,000 in cash. As a result of the exercise, the conversion price on the C-2 Preferred adjusted to $0.6285 per share. The C-2 Preferred issued pursuant to this exercise were”

Singularity Future Technology Ltd. issued 3,000,000 shares of common stock of common stock to certain investors for at a price of $0.70 per share.

“On October 15, 2025, Singularity Future Technology Ltd. (the “Company”) entered into a securities purchase agreement (the “SPA”) with certain investors, under which the Company agrees to sell to the investors an aggregate of 3,000,000 shares of the Company’s common stock, without par value (the “Common Stock”) at a price of $0.70 per share, in a private placement to certain “non-U.S. Persons” as defined in Regulation S of the Securities Act of 1933, as amended (the “Regulation S”), for an aggregate purchase price of approximately $2.1 million (the “Offering”).”

TALPHERA, INC. issued up to an aggregate of 1,706,484 shares of common stock of warrant to certain Purchasers for $0.585 per pre-funded warrant.

“with respect to such Purchasers only (collectively, the Optional Closing), and we issued and sold to such Purchasers: ● 1,023,890 shares of common stock at a purchase price of $0.586 per share; and ● Pre-funded warrants at a purchase price of $0.585 per pre-funded warrant to purchase up to an aggregate of 1,706,484 shares of common stock at an exercise price”

TALPHERA, INC. issued 1,023,890 shares of common stock of common stock to certain Purchasers for $0.586 per share.

“and we issued and sold to such Purchasers: ● 1,023,890 shares of common stock at a purchase price of $0.586 per share”

Premier Air Charter Holdings Inc. issued preferred stock.

“to amend the conversion price of the Series A Preferred Stock from $0.04 per share to $0.25 per share”

Premier Air Charter Holdings Inc. issued 100,000 shares of the Company's Series A Preferred Stock of preferred stock to Innoworks Employment Services, Inc. for $6,419,269.43 in debt.

“the Company agreed to exchange an aggregate principal amount of $6,419,269.43 in debt”

Minerva Neurosciences, Inc. issued tranche A warrants to acquire shares of Series A Preferred Stock and tranche B warrants to acquire shares of Series A Preferred Stock of warrant to certain accredited investors for Exercise price $1,000 per share, aggregate cash exercise price up to $80 million for Tranche A and $40 million for Tranche B.

“placement (the “Private Placement”), (i) 80,000 shares of Series A Convertible Preferred Stock, par value $0.0001 per share (“Series A Preferred Stock”), at a purchase price of $1,000 per share, (ii) tranche A warrants (the “Preferred Tranche A Warrants”) to acquire shares of Series A Preferred Stock (the “Tranche A Warrant Shares”) and (iii) tranche B warrants”

Minerva Neurosciences, Inc. issued 80,000 shares of Series A Convertible Preferred Stock of preferred stock to certain accredited investors for $1,000 per share.

“The Company agreed to issue and sell, in a private placement (the “Private Placement”), (i) 80,000 shares of Series A Convertible Preferred Stock, par value $0.0001 per share (“Series A Preferred Stock”), at a purchase price of $1,000 per share”

Summit Therapeutics Inc. issued 26,682,846 shares of common stock to multiple leading biotech institutional and individual accredited investors for $18.74 per Share.

“On October 21, 2025, Summit Therapeutics Inc. (the “Company”) entered into securities purchase agreements (the “Purchase Agreements”) with multiple leading biotech institutional and individual accredited investors (the “Investors”), for the sale by the Company in a private placement (the “Private Placement”) of an aggregate of 26,682,846 shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), at purchase price of $18.74 per Share, which was the closing price of the Common Stock on October 21, 2025, for aggregate gross proceeds to the Company of approximately $500.0 million.”

Super League Enterprise, Inc. issued Common Stock Purchase Warrants to purchase one share of Common Stock of warrant to accredited investors for exercise price of $1.00.

“For each one Share or Pre-Funded Warrant purchased in the Offering, each Purchaser also received Common Stock Purchase Warrants (“ Warrants ”), to purchase one share of Common Stock (“ Warrant Shares ”), with an exercise price of $1.00”

Super League Enterprise, Inc. issued Pre-Funded Warrants to purchase 13,575,000 shares of Common Stock of warrant to accredited investors for price per Pre-Funded Warrant equal to same price as that for Shares minus $0.00001.

“Pre-Funded Warrants ”) to purchase 13,575,000 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, and the remaining exercise price of each Pre-Funded Warrant will equal $0.00001 per share, for gross proceeds to the Company of approximately $15,250,000, before deducting”

Super League Enterprise, Inc. issued 1,675,000 shares of common stock to accredited investors for $1.00 per Share.

“On October 22, 2025, Super League Enterprise, Inc. (the “ Company ”) entered into Securities Purchase Agreements (the “ Purchase Agreement ”) with certain accredited investors (the “ Purchasers ”), relating to the Company’s offering (the “ Offering ”) of (a) 1,675,000 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”

Maison Solutions Inc. issued convertible note to the investor signatory to the Purchase Agreement for principal amount of $3,000,000.

“On October 22, 2025, Maison Solutions Inc. (the “Company”) issued an additional senior unsecured convertible promissory note in the principal amount of $3,000,000 (the “Additional Note”) to the investor signatory to the Purchase Agreement (as defined below)(the “Holder”) pursuant to a partial exercise of the previously reported note purchase warrant to purchase senior unsecured convertible promissory notes of the Company up to an aggregate principal amount of $6,500,000 (the “Incremental Warrant”) issued by the Company pursuant to that certain Securities Purchase Agreement dated as of March 12, 2025 by and between the Company and the Holder (the “Purchase Agreement”).”

RenX Enterprises Corp. issued common warrants to purchase up to 6,617,647 shares of common stock of warrant to institutional investors for combined purchase price of $25.00 for each share of Preferred Stock and accompanying Warrant.

“common warrants (the “Warrants”) to purchase up to 6,617,647 shares of common stock (the “Warrant Shares”) exercisable at an initial exercise price of $1.36 per share, subject, among other things, to adjustment, shareholder approval and certain beneficial ownership limitations set by each holder, for a combined purchase price of $25.00 for each share of Preferred Stock and accompanying Warrant”

RenX Enterprises Corp. issued 360,000 shares of a newly designated series of Series B Non-Voting Convertible Preferred Stock of preferred stock to institutional investors for combined purchase price of $25.00 for each share of Preferred Stock and accompanying Warrant.

“On October 16, 2025, Safe and Green Development Corporation (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with institutional investors (the “Purchasers”) for the issuance and sale in a private placement transaction (the “Private Placement”) of 360,000 shares of a newly designated series of Series B Non-Voting Convertible Preferred Stock (the “Preferred Stock”) convertible at an initial conversion price of $1.36 per share into 6,617,647 shares of common stock (the “Conversion Shares”) and common warrants (the “Warrants”) to purchase up to 6,617,647 shares of common stock (the “Warrant Shares”) exercisable at an initial exercise price of $1.36 per share, subject, among other things, to adjustment, shareholder approval and certain beneficial ownership limitations set by each holder, for a combined purchase price of $25.00 for each share of Preferred Stock and accompanying Warrant”

GULF RESOURCES, INC. issued every 10 shares of common stock.

“As a result of the Reverse Stock Split, every 10 shares of the Company’s pre-split common stock issued and outstanding will be automatically reclassified into one new share of the Company’s common stock.”

Kartoon Studios, Inc. issued 3,000,000 shares of common stock to an institutional investor for public offering price of $0.738 per share; aggregate gross proceeds of approximately $7.3 million.

“Placement”), common warrants (the “Common Warrants”) to purchase an aggregate of up to 9,903,049 shares of Common Stock (the “Common Warrant Shares”), with an exercise price of $0.738. The Registered Direct Offering and the Concurrent Private Placement are collectively referred to in this Current Report on Form 8-K (“Current Report”) as the “Offerings.” The”