Equity Issuances

Rani Therapeutics Holdings, Inc. issued warrants to purchase up to an aggregate of 125,000,004 shares of Class A Common Stock of warrant to institutional and accredited investors, and Mir Imran for Part of purchase price per share and Common Warrant; exercise price $0.48 per share.

“of 82,366,667 shares of Class A Common Stock (the “Pre-Funded Warrants”). Pursuant to the Purchase Agreement, the purchase price of the Shares to the Institutional Investors is $0.48 per share; and the Purchase Price of the Shares to the Affiliated Investor is $0.605 per share, which reflects the consolidated closing bid price of our Class A Common Stock on”

Rani Therapeutics Holdings, Inc. issued 42,633,337 shares of Class A common stock of common stock to institutional and accredited investors, and Mir Imran for $0.48 per share to Institutional Investors; $0.605 per share to Affiliated Investor; aggregate gross proceeds approximately $60.3 million.

“of 82,366,667 shares of Class A Common Stock (the “Pre-Funded Warrants”). Pursuant to the Purchase Agreement, the purchase price of the Shares to the Institutional Investors is $0.48 per share; and the Purchase Price of the Shares to the Affiliated Investor is $0.605 per share, which reflects the consolidated closing bid price of our Class A Common Stock on”

Expion360 Inc. issued up to 144,498 shares of Common Stock of warrant to two institutional investors for $1.6499 per Pre-Funded Warrant Share.

“The offering price per Share was $1.65 and the offering price per Pre-Funded Warrant Share was $1.6499.”

Expion360 Inc. issued 613,077 shares of common stock to two institutional investors for $1.65 per share.

“shares of Common Stock (the “ Pre-Funded Warrant Shares ” and, collectively with the Shares and the Pre-Funded Warrant, the “ Securities ”). The offering price per Share was $1.65 and the offering price per Pre-Funded Warrant Share was $1.6499. The Purchase Agreement contains customary representations and warranties, covenants, indemnification rights,”

Lexeo Therapeutics, Inc. issued 15,625,000 shares of Common Stock, plus an over-allotment option for up to 2,343,750 additional shares of common stock to the several underwriters for gross proceeds of approximately $125 million, at a price to the public of $8.00 per share, underwriter purchase price $7.52 per share.

“On October 16, 2025, Lexeo Therapeutics, Inc. (the “ Company ”) entered into an underwriting agreement (the “ Underwriting Agreement ”) with Leerink Partners LLC, as representative (the “ Representative ”) of the several underwriters named therein (collectively, the “ Underwriters ”), relating to the issuance and sale in a public offering (the “ Public Offering ”) of 15,625,000 shares (the “ Firm Shares ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), at a price to the public of $8.00 per share.”

Lexeo Therapeutics, Inc. issued pre-funded warrants to purchase 1,250,015 shares of Common Stock of warrant to a qualified institutional buyer for aggregate gross proceeds of approximately $10 million, at $7.9999 per Pre-Funded Warrant.

““ Public Offering ”) of 15,625,000 shares (the “ Firm Shares ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), at a price to the public of $8.00 per share. Under the terms of the Underwriting Agreement, the Underwriters have agreed to purchase the Firm Shares from the Company at a price of $7.52 per share. In addition, the”

BIP Ventures Evergreen BDC issued 368,081 unregistered common shares of common stock to accredited investors for $33.61 per Share.

“As of October 1, 2025, BIP Ventures Evergreen BDC sold 368,081 unregistered common shares of beneficial interest (the “Shares”) at a price per Share of $33.61 (with the final number of shares being determined on October 15, 2025) to accredited investors in a private placement of Shares for an aggregate purchase price of $12,371,200.”

Medicus Pharma Ltd. issued 1,088,048 common shares of common stock to YA II PN, Ltd. (Yorkville) for $2,526,364 aggregate.

“2, 2025 250,000 $2.1884 $547,100 October 8, 2025 125,000 $2.3542 $294,275 October 16, 2025 41,667 $2.2901 $95,422 October 16, 2025 68,363 $2.2795 $155,833 Total 1,088,048 $2,526,364 The Company may cause Yorkville to purchase additional Common Shares under the SEPA from time to time, subject to the satisfaction or waiver of the conditions and limitations set”

LAGO Evergreen Credit issued 818,076 unregistered common shares of common stock to accredited investors for $25.31 per Share.

“LAGO Evergreen Credit sold 818,076 unregistered common shares of beneficial interest (the “Shares”) at a price per Share of $25.31 (with the final number of shares being determined on October 16, 2025) to accredited investors in a private placement of Shares for an aggregate purchase price of $20,705,500.”

Theriva Biologics, Inc. issued 16,184,560 shares of Common Stock of warrant to certain holders of existing warrants for cash exercise of existing warrants at $0.54 per share for aggregate gross proceeds of approximately $4.4 million.

“Warrants, the “Existing Warrants”). Pursuant to the Inducement Agreement, (1) the Holders agreed to exercise for cash the Existing Warrants at a reduced exercise price of $0.54 per share and (2) the Company agreed to issue to the Holders new Common Stock Purchase Warrants to purchase up to an aggregate of 16,184,560 shares of Common Stock (the “New”

SPECTRAL CAPITAL Corp issued up to One Million (1,000,000) shares of common stock to accredited investors for $1.30 per share.

“The Company offered up to One Million (1,000,000) shares of its common stock at a purchase price of $1.30 per share, resulting in gross proceeds of up to $1,300,000. The Private Placement was made to accredited investors without the use of general solicitation or advertising.”

Akari Therapeutics Plc issued Placement Agent warrants to purchase up to 125,000 ADSs of warrant to Placement Agent for Issued as compensation for placement agent services; exercise price $1.00 per share; 5-year term.

“The Placement Agent or its designees will also receive warrants (the “Placement Agent Warrants”) on substantially the same terms as the Series E Warrants in an amount equal to 4.0% of the aggregate number of ADSs sold in the Offering, or Placement Agent warrants to purchase up to 125,000 ADSs, at an exercise price of $1.00 per share and will have a 5-year term from the commencement of sales of the Offering.”

Akari Therapeutics Plc issued Series E warrants to purchase up to 3,125,000 ADSs and Series F warrants to purchase up to 3,125,000 ADSs of warrant to institutional investors for Issued as part of unit with ADS at $0.80 per combined unit; exercise price $0.98 per share.

“E Warrants, the “Warrants”), which are being issued in a concurrent private placement. The combined purchase price per each ADS and accompanying Warrants sold in the Offering is $0.80. The aggregate gross proceeds from the Offering are expected to be approximately $2.5 million, excluding any proceeds from any future exercises of Warrants. The Offering”

Akari Therapeutics Plc issued 3,125,000 ADSs each representing 2,000 ordinary shares of unit to institutional investors for $0.80 per combined ADS and accompanying warrants, aggregate gross proceeds approximately $2.5 million.

“E Warrants, the “Warrants”), which are being issued in a concurrent private placement. The combined purchase price per each ADS and accompanying Warrants sold in the Offering is $0.80. The aggregate gross proceeds from the Offering are expected to be approximately $2.5 million, excluding any proceeds from any future exercises of Warrants. The Offering”

Aqua Metals, Inc. issued up to 1,133,794 shares of Common Stock of warrant to institutional investor for at an offering price of $0.125 per warrant.

“and (b) in a concurrent private placement, common stock purchase warrants (the “Private Placement Warrants”), at an offering price of $0.125 per warrant, exercisable for an aggregate of up to 1,133,794 shares of Common Stock, at an exercise price of $11.34 per share for aggregate gross proceeds of approximately $13 million.”

Kezar Life Sciences, Inc. issued securities.

“On October 16, 2025, the Company entered into Amendment No. 2 (the “Amendment”) to the Rights Agreement, dated as of October 17, 2024, as amended on December 3, 2024, by and between the Company and Computershare Trust Company, N.A., as rights agent (as amended, the “Rights Agreement”).”

GRAIL, Inc. issued 1,570,308 shares of common stock of common stock to Samsung C&T Corporation and Samsung Electronics Singapore Pte. Ltd. for $70.05 per share.

“On October 16, 2025, GRAIL, Inc. (the “Company”) entered into a stock purchase agreement (the “Stock Purchase Agreement”), by and among the Company, Samsung C&T Corporation (“Samsung C&T”), Samsung Electronics Singapore Pte. Ltd. (“Samsung Electronics Singapore” and together with Samsung C&T, the “Samsung Investors”) and Samsung Electronics Co., Ltd. (“Samsung Electronics”), providing for the issuance and sale by the Company to the Samsung Investors in a private placement of an aggregate of 1,570,308 shares of common stock, par value $0.001 per share (the “Shares”), at a purchase price of $70.05 per share”

North Haven Net REIT issued 118,615 Class IO shares of preferred stock to a feeder vehicle primarily created to hold certain classes of the Company's common shares for aggregate consideration of approximately $2,420,000.

“sold an aggregate of 118,615 Class IO shares (the "Shares") (with the final number of Shares being determined on October 15, 2025) for aggregate consideration of approximately $2,420,000 based on the net asset value per share as of September 30, 2025, to a feeder vehicle primarily created to hold certain classes of the Company's common shares”

KOPIN CORP issued $7.0 million worth of shares of preferred stock to Theon International Plc for $7.0 million.

“Theon purchased $7.0 million worth of shares of Series A Convertible Preferred Stock, par value $0.01 per share, of Kopin (the “Preferred Stock”).”

WINDTREE THERAPEUTICS INC /DE/ issued 80% of the cash purchase price paid per share, unit or other security denomination of convertible note to the other investors in such transaction for cash purchase price.

“Item 3.02 Unregistered Sales of Equity Securities. The disclosure set forth under Item 3.01 relating to the Commitment Notes is hereby incorporated into this Item 3.02 by reference. The foregoing description of the Commitment Notes does not purport to be complete and is qualified in its entirety by reference to the full text of the Commitment Notes, a copy of which is filed as Exhibit 4.1 to this Current Report on Form 8-K and is incorporated by reference herein. The Company issued the Commitment Notes in reliance upon the exemption from registration provided by Section 4(a)(2) of the Securities Act and/or Rule 506(b) of Regulation D promulgated thereunder.”

Texas Mineral Resources Corp. issued 1,000,000 shares of common stock for $300,000 aggregate.

“the balance of this Warrant, issued in February 2025, was exercised on October 9, 2025 to purchase 1,000,000 shares of Common Stock for an aggregate exercise price of $300,000.”

American Resources Corp issued an aggregate of 9,480,282 shares of common stock to certain investors (the "Purchasers") for at an offering price of $3.55 per share.

“the Company agreed to sell and issue to the Purchasers in a private placement offering (the “Offering”) an aggregate of 9,480,282 shares (the “Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company at an offering price of $3.55 per share.”

Quoin Pharmaceuticals, Ltd. issued 15,152 ADSs representing ordinary shares, Pre-Funded Warrants to purchase 1,993,939 ADSs, Series H Warrants to purchase 2,009,091 ADSs, Series I Warrants to pur of unit to institutional and accredited investors for aggregate upfront gross proceeds of approximately $16.6 million (combined purchase price of $8.25 per unit or $8.2499 for pre-funded unit).

“On October 10, 2025, Quoin Pharmaceuticals Ltd. (the "Company" or "Quoin") entered into a Securities Purchase Agreement (the "Purchase Agreement") with several institutional and accredited investors (the "Purchasers") for the issuance and sale in a private placement (the "Private Placement") of securities for gross proceeds at the Closing Date (as defined below) of approximately $16.6 million.”

ENDRA Life Sciences Inc. issued 44,660 shares of Common Stock of warrant to Placement Agent for exercise price of $9.47 per share.

“on the Closing Date, the Company issued to the Placement Agent warrants (the “Placement Agent Warrants”) to purchase up to an aggregate of 44,660 shares of Common Stock at an exercise price of $9.47 per share.”

ENDRA Life Sciences Inc. issued 400,000 shares of Common Stock of warrant to Arca Investment Management, LLC.

“the Company issued to Arca warrants to purchase an aggregate of 400,000 shares of Common Stock (the “Advisory Warrants”)”

ENDRA Life Sciences Inc. issued Prefunded Warrants of warrant to certain accredited investors for exercise price of $0.0001 per share.

“Each of the Prefunded Warrants is exercisable for one share of Common Stock at the exercise price of $0.0001 per share of Common Stock underlying the Prefunded Warrant”

ENDRA Life Sciences Inc. issued up to 1,488,680 shares of Common Stock of warrant to certain accredited investors for per share exercise price of $6.32.

“Each of the Common Warrants is exercisable for one share of Common Stock at the exercise price of $6.32 per share of Common Stock”

ENDRA Life Sciences Inc. issued 744,340 shares of common stock to certain accredited investors for combined purchase price of $6.57.

“at a per share exercise price of $6.32. Each share of common stock (or pre-funded warrant in lieu thereof) and accompanying warrants were sold at a combined purchase price of $6.57. In accordance with the rules of the Nasdaq Stock Market, a member of the Company’s board of directors who participated in the Offering (the “Director Participant”) purchased”

ENDRA Life Sciences Inc. issued 44,660 shares of warrant to Lucid Capital Markets, LLC for exercise price of $9.47 per share.

“In connection with the Offering, in addition to customary placement fees and reimbursement of certain expenses of the Placement Agent, on the Closing Date, the Company issued to the Placement Agent warrants (the “Placement Agent Warrants”) to purchase up to an aggregate of 44,660 shares of Common Stock at an exercise price of $9.47 per share.”

ENDRA Life Sciences Inc. issued 400,000 shares of warrant to Arca Investment Management, LLC for exercise prices ranging from $6.95 to $7.50.

“aggregate of 400,000 shares of Common Stock (the “Advisory Warrants”). Advisory Warrants in respect of 100,000 shares are exercisable immediately for an exercise price equal to $6.95, or 110% of the exercise price of the Common Warrants. Advisory Warrants in respect of 300,000 shares become exercisable in the event that AUM exceeds certain thresholds within”

ENDRA Life Sciences Inc. issued 1,488,680 shares of warrant to accredited investors for exercise price $6.32 per share.

“On October 10, 2025, ENDRA Life Sciences Inc., a Delaware corporation (the “Company”), entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain accredited investors (the “Purchasers”) pursuant to which the Company agreed to sell and issue to the Purchasers in a private placement offering (the “Offering”) an aggregate of 744,340 shares (the “Shares”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”), and/or prefunded warrants in lieu thereof (the “Prefunded Warrants”), and warrants (the “Common Warrants”) to purchase an aggregate of up to 1,488,680 shares of Common Stock at a per share exercise price of $6.32.”

ENDRA Life Sciences Inc. issued 744,340 shares of common stock to accredited investors for $6.57 per share.

“at a per share exercise price of $6.32. Each share of common stock (or pre-funded warrant in lieu thereof) and accompanying warrants were sold at a combined purchase price of $6.57. In accordance with the rules of the Nasdaq Stock Market, a member of the Company’s board of directors who participated in the Offering (the “Director Participant”) purchased”

Momentus Inc. issued up to 7,469,607 shares of Common Stock of warrant to the Holder for aggregate gross proceeds of approximately $7 million.

“$2.00 per share and the July Warrants were immediately exercisable at an exercise price of $1.41 per share. The Company will receive aggregate gross proceeds of approximately $7 million from the exercise of the Existing Warrants before deducting financial advisory fees and other expenses payable by the Company. In consideration of the Holder’s agreement to”

Aris Water Solutions, Inc. issued common stock.

“each holder of shares of Company Class A Common Stock outstanding immediately prior to the Effective Time ceased to have any rights as a stockholder of the Company other than the right to receive the applicable Merger Consideration”

Adagio Medical Holdings, Inc. issued pre-funded warrants in lieu of shares of Common Stock of warrant to accredited investors for $1.9402 per Pre-Funded Warrant and $0.0001 exercise price.

“whereby the Company will issue and sell to the Purchasers in a private placement (the “Private Placement”): (i) 9,792,506 shares (the “Shares”) of its common stock, par value $0.0001 per share (the “Common Stock”), or pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares of Common Stock in lieu thereof, and (ii) accompanying (a) Tranche A Warrants”

Adagio Medical Holdings, Inc. issued 6,012,943 shares of Common Stock of warrant to accredited investors for $1.71 per share exercise price.

“by reference herein. Terms of the Pre-Funded Warrants and Milestone Warrants Each Milestone Warrant is exercisable for one share of Common Stock at an exercise price of $1.71 per share. The Milestone Warrants will expire upon the earlier of (i) five years from the date of issuance or (ii) (a) for the Tranche A Warrants, the date that is thirty (30)”

Adagio Medical Holdings, Inc. issued 9,792,506 shares of common stock to accredited investors for $1.9403 per Share.

“will be accompanied by one Tranche A Warrant, one Tranche B Warrant and one Tranche C Warrant. The combined purchase price of each Share and accompanying Milestone Warrants is $1.9403 and (which includes $0.2303 for the Milestone Warrants sold with each Share in accordance with the rules and regulations of The Nasdaq Stock Market LLC). The combined purchase”

KKR Enhanced US Direct Lending Fund-L Inc. issued 48,252 shares of common stock to KKR Enhanced US Direct Lending Fund-L Holdings L.P. for $50.00 million.

“On October 1, 2025, KKR Enhanced US Direct Lending Fund-L Inc. (the "Company") issued and sold 48,252 shares of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of common shares issued being determined on October 10, 2025) pursuant to a subscription agreement entered into with KKR Enhanced US Direct Lending Fund-L Holdings L.P. (the “Subscriber”) for aggregate consideration of $50.00 million.”

Classover Holdings, Inc. issued an aggregate of 596,808 shares of the Company's Class B common stock of common stock to two unaffiliated third party investors for deliver to the Company an aggregate of 62,068 shares of Series A Preferred Stock to be cancelled and retired.

“the Preferred Holders agreed to deliver to the Company an aggregate of 62,068 shares of Series A Preferred Stock, par value $0.0001 per share (“Preferred Stock”) to be cancelled and retired in exchange for the issuance of an aggregate of 596,808 shares of the Company’s Class B common stock, par value $0.0001 per share (the “Common Stock”).”

AA Mission Acquisition Corp. II issued 26,250 Private Placement Units of unit.

“The information with respect to the sale of an additional 26,250 Private Placement Units included in Item 8.01 of this Current Report on Form 8-K is incorporated into this Item 3.02 by reference.”

INTERLINK ELECTRONICS INC issued all outstanding shares of 8.00% Series A Convertible Preferred Stock of preferred stock.

“On October 15, 2025 (the "Mandatory Conversion Notice Date") the Company converted all shares of Series A Preferred Stock into shares of Common Stock”

TAO Synergies Inc. issued warrants to purchase up to an aggregate of 1,375,000 shares of Common Stock of warrant to certain accredited investors for aggregate gross proceeds...expected to be $11.0 million.

“is expected to occur on October 15, 2025, subject to the satisfaction of customary closing conditions. The aggregate gross proceeds from the Private Placement are expected to be $11.0 million. The Company expects to use the net proceeds from the Private Placement for general corporate purposes and working capital. The Purchase Agreement contains certain”

TAO Synergies Inc. issued 11,000 shares of the Company's newly designated Series E convertible preferred stock of preferred stock to certain accredited investors for aggregate gross proceeds...expected to be $11.0 million.

“is expected to occur on October 15, 2025, subject to the satisfaction of customary closing conditions. The aggregate gross proceeds from the Private Placement are expected to be $11.0 million. The Company expects to use the net proceeds from the Private Placement for general corporate purposes and working capital. The Purchase Agreement contains certain”

Purebase Corp issued convertible note to Vanquish Funding Group Inc. for principal amount of $123,050 (including $16,050 of original issue discount).

“On September 24, 2025, Purebase Corporation, a Nevada corporation (the “Company”), entered into a securities purchase agreement with Vanquish Funding Group Inc., a Virgina corporation (“Vanquish”), pursuant to which the Company issued to Vanquish a promissory note (the “Note”) in the principal amount of $123,050 (including $16,050 of original issue discount) and received funds of $100,000 after legal fees of $2,500 and a due diligence fee of $4,500.”

American Resources Corp issued 9,480,282 shares of common stock of common stock to certain investors for $3.55 per share.

“On October 13, 2025, American Resources Corporation, a Florida corporation (the “Company”) entered into securities purchase agreements (the “Securities Purchase Agreements”) with certain investors (the “Purchasers”) pursuant to which the Company agreed to sell and issue to the Purchasers in a private placement offering (the “Offering”) an aggregate of 9,480,282 shares of common stock, par value $0.001 per share (the “Common Stock”), of the Company at an offering price of $3.55 per share.”

Bluejay Diagnostics, Inc. issued Placement Agent Warrants to purchase up to an aggregate of 180,000 shares of common stock of warrant to Rodman and Renshaw LLC (placement agent) for 125% of the combined price per share.

“the “common warrants”) to purchase up to an aggregate of 180,000 shares of common stock on the same terms as the Series F Warrants, except that the exercise price per share is 125% of the combined price per share and Series F Warrants sold in the offering. Pursuant to the terms of the registration rights agreement, the Company has agreed to register for”

Bluejay Diagnostics, Inc. issued Series F Warrants to purchase up to 4,500,000 shares of common stock of warrant to institutional, accredited investors for $2.00 per share.

“and (ii) Series F warrants (“Series F Warrants”) to purchase up to 4,500,000 shares of common stock. The combined price of securities sold in the private placement was $2.00 per share of common stock (or pre-funded warrant in lieu thereof, in which case such price was reduced by $0.0001) and accompanying Series F Warrants to acquire two shares of”

Bluejay Diagnostics, Inc. issued Pre-Funded Warrants to purchase up to 2,075,000 shares of common stock of warrant to institutional, accredited investors for $2.00 per share.

“and (ii) Series F warrants (“Series F Warrants”) to purchase up to 4,500,000 shares of common stock. The combined price of securities sold in the private placement was $2.00 per share of common stock (or pre-funded warrant in lieu thereof, in which case such price was reduced by $0.0001) and accompanying Series F Warrants to acquire two shares of”

Bluejay Diagnostics, Inc. issued 175,000 shares of common stock to institutional, accredited investors for $2.00 per share.

“and (ii) Series F warrants (“Series F Warrants”) to purchase up to 4,500,000 shares of common stock. The combined price of securities sold in the private placement was $2.00 per share of common stock (or pre-funded warrant in lieu thereof, in which case such price was reduced by $0.0001) and accompanying Series F Warrants to acquire two shares of”

ExchangeRight Income Fund issued 9,739 of common stock for $281,000.

“506(c) of Regulation D promulgated thereunder. The following table details the shares sold: Number of Gross Share Class Shares Sold Proceeds * Class ER-A Common Shares 9,739 $ 281,000 *Includes selling commissions as described above. Forward-Looking Statements Certain statements contained in this Current Report on Form 8-K other than historical facts may be”