Unregistered sales and modifications of equity under 8-K Items 3.02/3.03.
Goldman Sachs Real Estate Finance Trust Inc issued 271,546.143 of common stock to accredited investors for $6,868,674.
“table details the Shares sold: Title of Securities* Number of Shares Sold Aggregate Consideration Class I Common Stock 278,386.670 $ 6,976,370 Class S Common Stock 271,546.143 $ 6,868,674 (1) (1) Includes upfront selling commissions of $71,874. * The Company views the different series of common stock (Series T, Series S, Series D and Series I) as being part of the”
Goldman Sachs Real Estate Finance Trust Inc issued 278,386.670 of common stock to accredited investors for $6,976,370.
“and Regulation D thereunder. The following table details the Shares sold: Title of Securities* Number of Shares Sold Aggregate Consideration Class I Common Stock 278,386.670 $ 6,976,370 Class S Common Stock 271,546.143 $ 6,868,674 (1) (1) Includes upfront selling commissions of $71,874. * The Company views the different series of common stock (Series T, Series S,”
Ares Core Infrastructure Fund issued common stock for $182.2 million aggregate.
“On October 1, 2025, the Fund agreed to sell Class I common shares of beneficial interest (“Class I Common Shares”) and Class S common shares of beneficial interest (“Class S Common Shares” and, together with the Class I Common Shares, the “Common Shares”) for an aggregate purchase price of $182.2 million.”
TIC Solutions, Inc. issued 3,125,000 shares of Common Stock of warrant to the Investor for at $11.9999 per share.
“and (ii) a pre-funded warrant (the “ Pre-Funded Warrant ,” and together with the Shares, the “ Securities ”) to purchase 3,125,000 shares of Common Stock, at $11.9999 per share”
TIC Solutions, Inc. issued 17,708,333 shares of common stock to the Investor for at $12.00 per share.
“Acuren Corporation (the “ Company ”) entered into a Securities Purchase Agreement (the “ Purchase Agreement ”) with the investor named therein (the “ Investor ”), for the private placement (the “ Private Placement ”), of (i) 17,708,333 shares (the “ Shares ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), at $12.00 per share”
Range Capital Acquisition Corp II issued 430,000 units to the Sponsor and an aggregate of 230,000 units to the Representative of unit to the Sponsor and an aggregate of 230,000 units to the Representative for $10.00 per Private Placement Unit.
“On October 6, 2025, simultaneously with the consummation of the Offering, the Company consummated the private placement of 430,000 units to the Sponsor and an aggregate of 230,000 units to the Representative (collectively, the “Private Placement Units”) at a price of $10.00 per Private Placement Unit, generating gross proceeds of $6,600,000 (the “Private Placement”).”
Microbot Medical Inc. issued 66,224 preferred investment options of warrant to H.C. Wainwright & Co., LLC.
“The Company issued the New PIOs, and 66,224 preferred investment options (the “Wainwright PIOs”) to H.C. Wainwright & Co., LLC (“Wainwright”) pursuant to the Company’s May 29, 2024 engagement letter with Wainwright, as amended, pursuant to the exemption from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), available under Section 4(a)(2) thereof.”
Microbot Medical Inc. issued 1,324,488 new series J preferred investment options of warrant to the Holder.
“On October 6, 2025, the holder (the “Holder”) of 1,324,488 series H preferred investment options (the “Existing POIs”) of Microbot Medical Inc., a Delaware corporation (the “Company”), pursuant to that previously-disclosed inducement agreement with the Company dated September 14, 2025 (the “Letter Agreement”), exercised the Existing PIOs for 1,324,488 shares of the Company’s common stock, par value $0.01 per share (the “Common Stock”), at an exercise price of $2.10 per share, and the Holder received 1,324,488 new series J preferred investment options pursuant to the terms of the Letter Agreement (the “New PIOs”).”
Microbot Medical Inc. issued 1,324,488 shares of the Company’s common stock of preferred stock to the Holder for exercise price of $2.10 per share.
“On October 6, 2025, the holder (the “Holder”) of 1,324,488 series H preferred investment options (the “Existing POIs”) of Microbot Medical Inc., a Delaware corporation (the “Company”), pursuant to that previously-disclosed inducement agreement with the Company dated September 14, 2025 (the “Letter Agreement”), exercised the Existing PIOs for 1,324,488 shares of the Company’s common stock, par value $0.01 per share (the “Common Stock”), at an exercise price of $2.10 per share, and the Holder received 1,324,488 new series J preferred investment options pursuant to the terms of the Letter Agreement (the “New PIOs”).”
CitroTech Inc. issued warrants to purchase up to a number of shares of Common Stock equal to 5% of the total number of Common Stock issuable upon conversion of the Preferred Stock Sh of warrant to Univest Securities, LLC.
“issued the Placement Agent, or its designees, warrants to purchase up to a number of shares of Common Stock (the “Placement Agent Warrants”) equal to 5% of the total number of Common Stock issuable upon conversion of the Preferred Stock Shares and exercise of the PIPE Warrants sold in the PIPE Offering”
CitroTech Inc. issued warrants (the “PIPE Warrants”) to purchase up to 701,563 shares of Common Stock of warrant to accredited investors for offering price of $15.00 per share of Series C Preferred Stock and accompanying PIPE Warrant.
“warrants (the “PIPE Warrants”) to purchase up to 701,563 shares of Common Stock at an offering price of $15.00 per share of Series C Preferred Stock and accompanying PIPE Warrant”
CitroTech Inc. issued 420,937 shares of its Series C Convertible Preferred Stock of preferred stock to accredited investors for aggregate purchase price of $6,314,062.
“On September 30, 2025, General Enterprise Ventures, Inc. (the “Company”) entered into Securities Purchase Agreements (the “Securities Purchase Agreements”) with certain investors (the “Investors”) for the issuance and sale (the “PIPE Offering”) of (i) 420,937 shares of its Series C Convertible Preferred Stock par value $0.0001 per share for an aggregate purchase price of $6,314,062”
CAMPBELL FUND TRUST issued unit to existing and/or new unitholders of Registrant for $792,400.00, $3,536,008.48 and $300,000.00 in cash for Series A, Series D and Series W, respectively.
“Effective as of September 30, 2025, Registrant sold equity securities in Registrant (“Units of Beneficial Interest”) to existing and/or new unitholders of Registrant in transactions that were not registered under the Securities Act of 1933, as amended (the “Securities Act”). The aggregate estimate consideration for Units of Beneficial Interest, excluding escrow interest, sold on September 30, 2025 was $792,400.00, $3,536,008.48 and $300,000.00 in cash for Series A, Series D and Series W, respectively.”
Global Water Resources, Inc. issued 1,270,572 shares of common stock to Levine Investments Limited Partnership and Andrew M. Cohn for $10.30 per share.
“Agreement, the Purchasers purchased the Shares at a purchase price (determined in accordance with Nasdaq rules relating to the “market value” of the Company’s common stock) of $10.30 per share, which was equal to the consolidated closing bid price reported by Nasdaq immediately preceding the time the Company entered into the Securities Purchase Agreement, for”
FingerMotion, Inc. issued 1,500,000 shares of common stock of common stock to Shanghai Jihaohe for at a deemed issuance price of $1.57 per share.
“On October 2, 2025, the Company issued 1,500,000 fully paid and non-assessable shares of common stock at a deemed issuance price of $1.57 per share to Shanghai Jihaohe pursuant to the closing of the Asset Purchase Agreement.”
cbdMD, Inc. issued 1,700,000 shares of Series B Convertible Preferred Stock of preferred stock to four institutional investors for aggregate gross proceeds of $1,700,000.
“the Investors were issued an aggregate of 1,700,000 shares of Series B Convertible Preferred Stock (“Series B Preferred Stock”) for aggregate gross proceeds of $1,700,000”
ExchangeRight Income Fund issued 12,773 of its Class ER-A Common Shares of common stock for $369,000.
“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 12,773 $ 369,000 *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”
Momentus Inc. issued Warrants to purchase 342,895 shares of Common Stock of warrant to Baker & McKenzie LLP for aggregate value of $1,072,171.
“stock, par value $0.00001 per share (“Common Stock”), and pre-funded warrants (“Warrants”, and together with the Common Stock, the “Securities”) with an aggregate value of $1,072,171, in accordance with a Securities Purchase Agreement (the “Purchase Agreement”) entered into by the Company and B&M on the Settlement Date. The Settlement Agreement provides that”
Momentus Inc. issued 580,594 shares of Common Stock of common stock to Baker & McKenzie LLP for aggregate value of $1,072,171.
“stock, par value $0.00001 per share (“Common Stock”), and pre-funded warrants (“Warrants”, and together with the Common Stock, the “Securities”) with an aggregate value of $1,072,171, in accordance with a Securities Purchase Agreement (the “Purchase Agreement”) entered into by the Company and B&M on the Settlement Date. The Settlement Agreement provides that”
Interactive Strength, Inc. issued 142,857 shares of Common Stock of warrant to accredited investor for $5.916 per share exercise price.
“The Class A Incremental Common Warrants are exercisable for shares of Common Stock at a price of $5.916 per share (the “Class A Incremental Common Warrant Exercise Price”). The Class A Incremental Common Warrants issued pursuant to the Warrant Exercise may be exercised during the period commencing October 3, 2025 and ending October 3, 2032.”
Interactive Strength, Inc. issued 142,857 shares of Common Stock of unit to accredited investor for $1,000,000 principal amount of Class A Incremental Note.
“On October 3, 2025, the Investor elected to exercise Class A Incremental Warrants (the “Warrant Exercise”) to purchase a Class A Incremental Note for a principal amount of $1,000,000 (the “Class A Incremental Note”) and, as a result, was issued Class A Incremental Common Warrants to purchase an aggregate 142,857 shares of Common Stock.”
Marpai, Inc. issued an aggregate of 147,058 shares of its Class A common stock of common stock to HillCour Investment Fund, LLC for at a purchase price of $1.36 per share.
“the Company agreed to issue and sell an aggregate of 147,058 shares of its Class A common stock (the “Common Stock”) in a private placement, at a purchase price of $1.36 per share.”
Strategic Storage Trust VI, Inc. issued preferred stock for up to $75.0 million (expandable up to $100.0 million) ... at an offering price of $10.00 per share.
“Agreement. Series E Preferred Offering On September 30, 2025, Strategic Storage Trust VI, Inc., a Maryland corporation (the “ Company ”), commenced a private offering of up to $75.0 million (expandable up to $100.0 million in the sole discretion of the Company’s board of directors (the “ Board ”)) in shares of the Company’s Series E Redeemable 8% Preferred Stock,”
Alternus Clean Energy, Inc. issued 1,150 shares of Series B of preferred stock to Hover Energy LLC for repayment of $1,150,000 owed.
“the Company agreed to repay the total outstanding amount of $5,150,000 owed to Hover under the SAA through the following methods: i) $1,150,000 through the issuance of 1,150 shares of Series B”
Alternus Clean Energy, Inc. issued 20,000 shares of the Company’s Series B Convertible Preferred Stock of preferred stock to Hover Energy LLC for contributed certain Microgrid Projects.
“issued 20,000 shares of the Company’s Series B Convertible Preferred Stock (the “Series B”) to Hover, in exchange for which Hover contributed certain Microgrid Projects to the JV”
CN Healthy Food Tech Group Corp. issued 1,000,000 shares of restricted common stock of common stock to Messrs. Bengochea and Caragol.
“At the Closing, the Company issued a total of 1,000,000 shares of restricted common stock to Messrs. Bengochea and Caragol pursuant to the Consulting Agreements.”
New Mountain Net Lease Trust issued 675,255 of its common shares of common stock for aggregate consideration of approximately $13.5 million.
“on October 1, 2025, the Company sold an aggregate of 675,255 of its common shares of beneficial interest, par value $0.01 per share (the “Shares”), for aggregate consideration of approximately $13.5 million at the most recently determined net asset value per share.”
StoneBridge Acquisition II Corp issued an aggregate of 825,000 founder shares of common stock to at-risk capital investors for an aggregate purchase price of approximately $10,760, or approximately $0.013 per share.
“On September 30, 2025, the Sponsor forfeited an additional 825,000 founder shares, and at-risk capital investors purchased an aggregate of 825,000 founder shares pursuant to the Subscription Agreements (with the Maxim individuals purchasing 215,000 of such founder shares and the third-party investors purchasing 610,000 of such founder shares) at an aggregate purchase price of approximately $10,760, or approximately $0.013 per share”
StoneBridge Acquisition II Corp issued 5,750,000 Class B ordinary shares of the Company of common stock to Sponsor for an aggregate purchase price of $25,000.
“Prior to the IPO, on August 27, 2024, the Sponsor acquired from the Company an aggregate of 5,750,000 Class B ordinary shares of the Company, par value $0.0001 per share (the “founder shares”), for an aggregate purchase price of $25,000, or approximately $0.004 per share.”
StoneBridge Acquisition II Corp issued an aggregate of 153,750 private placement units of unit to the Sponsor and the at-risk capital investors for $10.00 per Private Unit.
“Simultaneously with the closing of the IPO, pursuant to the Sponsor Units Purchase Agreement and Subscription Agreements, as applicable, the Company completed the private sale of an aggregate of 153,750 private placement units (the “Private Units”), consisting of (i) 68,750 Private Units to the Sponsor and (ii) 85,000 Private Units to the at-risk capital investors, which were sold at a purchase price of $10.00 per Private Unit, generating aggregate gross proceeds to the Company of $1,537,500.”
Carlyle Private Equity Partners Fund, L.P. issued 868,860 Class A-I Units, 29,000 Class A Units, 40,000 Class C Units of unit to certain investors for aggregate consideration of approximately $23.4 million.
“On October 1, 2025, the Fund sold unregistered limited partnership units (the “Units”) to certain investors for aggregate consideration of approximately $23.4 million.”
Rice Acquisition Corp 3 issued 10,650,000 Private Placement Warrants of warrant to the Sponsor for $1.00 per Private Placement Warrant.
“the Company completed the private sale of 10,650,000 Private Placement Warrants at a purchase price of $1.00 per Private Placement Warrant to the Sponsor”
AA Mission Acquisition Corp. II issued 334,000 units of unit to the Sponsor for $10.00 per Private Placement Unit.
“Simultaneously with the closing of the IPO on October 2, 2025, pursuant to the Private Placement Unit Purchase Agreement, the Company completed the private sale of 334,000 units (the “Private Placement Units”) to the Sponsor at a purchase price of $10.00 per Private Placement Unit, generating gross proceeds to the Company of $3,340,000.”
ADVANCED MICRO DEVICES INC issued up to an aggregate of 160 million shares of common stock of warrant to OpenAI OpCo, LLC for exercise price of $0.01 per share.
“On October 5, 2025, Advanced Micro Devices, Inc. (the “ Company ”) issued to OpenAI OpCo, LLC (“ Warrantholder ”) a warrant (the “ Warrant ”) to purchase up to an aggregate of 160 million shares of common stock of the Company (the “ Warrant Shares ”) at an exercise price of $0.01 per share.”
Capstone Holding Corp. issued 825,067 Series Z Preferred shares of preferred stock to Brookstone Partners Acquisition XXI Corporation for exchange of note in the combined principal and interest amount of $1,089,222.22.
“Brookstone entity, Brookstone Partners Acquisition XXI Corporation (“Brookstone Acquisition”), held a note from the Company in the combined principal and interest amount of $1,089,222.22. Both notes had a maturity date of June 30, 2026. On September 30, 2025, following approval by the Audit Committee of the Board, the Company and each of BP Peptides and”
Capstone Holding Corp. issued 642,276 Series Z Preferred shares of preferred stock to BP Peptides, LLC for exchange of note in the combined principal and interest amount of $847,919.95.
“In addition, as of September 30, 2025, one Brookstone entity, BP Peptides, LLC (“BP Peptides”), held a note from the Company in the combined principal and interest amount of $847,919.95. As of September 30, 2025, another Brookstone entity, Brookstone Partners Acquisition XXI Corporation (“Brookstone Acquisition”), held a note from the Company in the combined”
Q/C TECHNOLOGIES, INC. issued a warrant to purchase up to 100,000 shares of Common Stock at an exercise price of $5.00 per share (the 'First Tranche Warrant') of warrant to James Altucher and Z-List Media, Inc. for consulting services.
“Pursuant to the Altucher Consulting Agreement, the Company agreed to issue to Z-List Media, Inc. warrants to purchase up to an aggregate of 400,000 shares of Common Stock, consisting of: (i) a warrant to purchase up to 100,000 shares of Common Stock at an exercise price of $5.00 per share (the “First Tranche Warrant”), which were issued on the date of the Altucher Consulting Agreement (such date, the “Effective Date”),”
Q/C TECHNOLOGIES, INC. issued certain warrants (the 'Warrants') to purchase shares of the Company's common stock, par value $0.001 per share, subject to adjustment of warrant to certain accredited investors (the 'Holders').
“On September 2, 2025, Q/C Technologies, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “SPA”) with certain accredited investors (the “Holders”) pursuant to which it agreed to sell to the Holders in a private placement (i) shares of the Company’s Series H convertible preferred stock, par value $0.001 per share, with a stated value of $1,000 per share (the “Preferred Stock”), and (ii) certain warrants (the “Warrants”) to purchase shares of the Company’s common stock, par value $0.001 per share (“Common Stock”), subject to adjustment (collectively, the “Private Placement”).”
Q/C TECHNOLOGIES, INC. issued shares of the Company's Series H convertible preferred stock, par value $0.001 per share, with a stated value of $1,000 per share of preferred stock to certain accredited investors (the 'Holders') for stated value of $1,000 per share.
“On September 2, 2025, Q/C Technologies, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “SPA”) with certain accredited investors (the “Holders”) pursuant to which it agreed to sell to the Holders in a private placement (i) shares of the Company’s Series H convertible preferred stock, par value $0.001 per share, with a stated value of $1,000 per share (the “Preferred Stock”), and (ii) certain warrants (the “Warrants”) to purchase shares of the Company’s common stock, par value $0.001 per share (“Common Stock”), subject to adjustment (collectively, the “Private Placement”).”
INVO Fertility, Inc. issued 400 shares of C-2 Preferred of preferred stock to an institutional investor and existing holder for $400,000.
“became a party pursuant to a joinder agreement (the “ Joinder Agreement ”) on October 11, 2024), to acquire 400 shares of C-2 Preferred, with an aggregate stated value of $400,000, for $400,000 in cash. As a result of the exercise, the conversion price on the C-2 Preferred adjusted to $0.7141 per share. The C-2 Preferred issued pursuant to this exercise were”
Vivakor, Inc. issued 5,235,602 shares of common stock to J.J. Astor & Co. for $700,000 of the Principal Amount.
“On September 29, 2025, the Company received a Notice of Conversion from the Lender converting $700,000 of the Principal Amount of the Initial Note into 5,235,602 shares of the Company’s common stock”
AIxCrypto Holdings, Inc. issued warrants to purchase number of shares equal to 6% of the securities sold in the Offering of warrant to Univest Securities LLC (Placement Agent) for cash fee of 5.5% of gross proceeds and issuance of warrants.
“the Company agreed to pay the Placement Agent a cash fee of 5.5% of the gross proceeds from the Offering and to issue to the Placement Agent (or its designees) warrants to purchase that number of shares of Common Stock equal to 6% of the securities sold in the Offering, which will be exercisable immediately following”
AIxCrypto Holdings, Inc. issued 17,783 shares of preferred stock to certain investors, including Faraday Future Intelligent Electric Inc. for cash consideration of $1,000 per share.
“Preferred Stock, par value $0.001 per share (the “Series B Stock”). The purchase price of the Common Stock was $2.246 per share and the purchase price for the Series B Stock was $1,000 per share (the “Stated Value”). At the closing of the Offering (the “Closing”), the shares of Common Stock and Series B Stock were allocated among the investors so that no”
AIxCrypto Holdings, Inc. issued 337,432 shares of common stock to certain investors, including Faraday Future Intelligent Electric Inc. for cash consideration of $2.246 per share.
“Stock”) and 17,783 shares of a newly created Series B Convertible Preferred Stock, par value $0.001 per share (the “Series B Stock”). The purchase price of the Common Stock was $2.246 per share and the purchase price for the Series B Stock was $1,000 per share (the “Stated Value”). At the closing of the Offering (the “Closing”), the shares of Common Stock and”
Jaguar Health, Inc. issued 286,532 shares of common stock to a holder of royalty interest for $600,000 reduction.
“On September 30, 2025, Jaguar Health, Inc. (the “Company”) entered into a privately negotiated exchange agreement (the “Exchange Agreement”) with a holder of royalty interest in the Company. Pursuant to the Exchange Agreement, the Company issued 286,532 shares of common stock to such holder in exchange for a $600,000 reduction in the outstanding balance of the royalty interest held by such holder.”
Greenpro Capital Corp. issued 100,000 shares of common stock to accredited investors for $1.30 per share.
“providing for the private placement of an aggregate of 100,000 shares of the Company’s common stock, par value $0.0001 (the “Common Stock”), at a per share purchase price of $1.30 (the “Offering”). The Offering closed on October 1, 2025. The issuance of shares of Common Stock pursuant to the Subscription Agreements was made in reliance upon the exemptions”
Boxlight Corp issued preferred stock.
“Item 3.03 Material Modification to Rights of Security Holders. On October 2, 2025, the Company filed with the Nevada Secretary of State an Amendment to the Certificate of Designation of its Series B Preferred Stock to implement the amendments described in the third and fourth paragraphs of Item 1.01 above, which paragraphs are incorporated by reference herein in response to this item.”
Ovid Therapeutics Inc. issued to purchase 28,861,000 shares of Common Stock of warrant to the Investors (including the Chief Executive Officer) for $1,400.00 per Security.
“purchase) and a Series B Warrant to purchase 500 shares of Common Stock and/or Pre-Funded Warrants (together, a “Security”). The Securities will be sold at a purchase price of $1,400.00 per Security to the Investors, which includes the Company’s Chief Executive Officer. The Warrants will each have an exercise price of $1.40 per share. The PIPE financing is”
Ovid Therapeutics Inc. issued to purchase 38,481,325 shares of Common Stock of warrant to the Investors (including the Chief Executive Officer) for $1,400.00 per Security.
“purchase) and a Series B Warrant to purchase 500 shares of Common Stock and/or Pre-Funded Warrants (together, a “Security”). The Securities will be sold at a purchase price of $1,400.00 per Security to the Investors, which includes the Company’s Chief Executive Officer. The Warrants will each have an exercise price of $1.40 per share. The PIPE financing is”
Ovid Therapeutics Inc. issued 57,722 shares of preferred stock to the Investors (including the Chief Executive Officer) for $1,400.00 per Security.
“purchase) and a Series B Warrant to purchase 500 shares of Common Stock and/or Pre-Funded Warrants (together, a “Security”). The Securities will be sold at a purchase price of $1,400.00 per Security to the Investors, which includes the Company’s Chief Executive Officer. The Warrants will each have an exercise price of $1.40 per share. The PIPE financing is”
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.