Equity Issuances

AMERICAN REBEL HOLDINGS INC issued 35,000 shares of preferred stock to accredited investors for $7.50 per share.

“On October 2, 2025, the Company received subscription agreements for the purchase of 35,000 shares of Series D Convertible Preferred Stock at $7.50 per share to six accredited investors for cash consideration of $262,500.”

AMERICAN REBEL HOLDINGS INC issued 100,000 shares of preferred stock to Horberg Enterprises LP for $750,000.

“On October 2, 2025, the Company authorized the issuance of 100,000 shares of Series D Convertible Preferred Stock for $750,000 pursuant to the Horberg SPA discussed in Item 1.01 above.”

AMERICAN REBEL HOLDINGS INC issued 70,000 shares of preferred stock to accredited investors for $7.50 per share.

“On September 30, 2025, the Company received two subscription agreements for the purchase of 70,000 shares of Series D Convertible Preferred Stock at $7.50 per share to two accredited investors for cash consideration of $525,000.”

AMERICAN REBEL HOLDINGS INC issued 20,000 shares of preferred stock to DeMint Law, PLLC for accrued fees in the amount of $150,000.

“On September 30, 2025, the Company authorized the issuance of 20,000 shares of Series D Convertible Preferred Stock to DeMint Law, PLLC for accrued fees in the amount of $150,000.”

AMERICAN REBEL HOLDINGS INC issued 200,000 shares of preferred stock to RAEK Data, LLC for aggregate purchase price of $1,500,000.

“Pursuant to the terms of the Agreement, the Company has agreed to issue 200,000 shares of Series D Convertible Preferred Stock to RAEK for an aggregate purchase price of $1,500,000 for the purchase of 79,436 membership units in RAEK representing a 3.0% ownership interest in RAEK. The closing was effective September 30, 2025. Within 30 business days of the”

urban-gro, Inc. issued common stock to Gemini Finance Corp. for net proceeds equal to the Claim Amount.

“the Company will issue to the Lender shares of the Company’s common stock (the “Common Stock”) that, upon sale by the Lender, would result in net proceeds to the Lender equal to the Claim Amount”

Grayscale Zcash Trust (ZEC) issued 52,300 Shares of common stock to accredited investors for 4,289.95115626 ZEC representing $250,545.

“the Trust issued 52,300 Shares at varying prices determined by reference to its NAV per Share to selected "accredited investors," within the meaning of Rule 501 of Regulation D under the Securities Act of 1933, as amended (the "Securities Act"), in private placement transactions exempt from the registration requirements of the Securities Act pursuant to Rule 506(c) thereunder for an aggregate of 4,289.95115626 ZEC representing $250,545.”

Onconetix, Inc. issued warrants to purchase 2,025,223 shares of Common Stock of warrant to institutional investors for aggregate purchase price of approximately $6.25 million.

“On October 1, 2025, Onconetix, Inc., a Delaware corporation (the “ Company ”), entered into, and sold to institutional investor(s) (collectively, the “ PIPE Investors ”), pursuant to a securities purchase agreement (the “ Securities Purchase Agreement ”) an aggregate of 7,813 shares of Series E convertible preferred stock, par value $0.00001 per share (“ Series E Preferred Stock ”), which are convertible into common stock of the Company, $0.00001 par value per share (the “ Common Stock ”) and warrants to purchase 2,025,223 shares of Common Stock (the “ Warrants ” and, together with the Series E Preferred Stock, the “ PIPE Securities ”), for an aggregate purchase price of approximately $6.25 million.”

Onconetix, Inc. issued 7,813 shares of Series E convertible preferred stock of preferred stock to institutional investors for aggregate purchase price of approximately $6.25 million.

“On October 1, 2025, Onconetix, Inc., a Delaware corporation (the “ Company ”), entered into, and sold to institutional investor(s) (collectively, the “ PIPE Investors ”), pursuant to a securities purchase agreement (the “ Securities Purchase Agreement ”) an aggregate of 7,813 shares of Series E convertible preferred stock, par value $0.00001 per share (“ Series E Preferred Stock ”), which are convertible into common stock of the Company, $0.00001 par value per share (the “ Common Stock ”) and warrants to purchase 2,025,223 shares of Common Stock (the “ Warrants ” and, together with the Series E Preferred Stock, the “ PIPE Securities ”), for an aggregate purchase price of approximately $6.25 million.”

SHF Holdings, Inc. issued 31,052 shares of Series B Convertible Preferred Stock of preferred stock to multiple investors (the Buyers) for aggregate purchase price of approximately $28.8 million, including cancellation of outstanding indebtedness, amounts owed, and transfer of assets; net proceeds.

“$7.7644 per share, subject to adjustment as provided therein. The aggregate purchase price paid by the Buyers to the Company pursuant to the Purchase Agreement was approximately $28.8 million, resulting in approximately $6.3 million in additional cash to the Company. This purchase price includes certain Buyers that paid for the securities acquired pursuant to the”

Sculptor Diversified Real Estate Income Trust, Inc. issued 109 Class E restricted shares at $1,221 of securities to independent directors for compensation plan.

“Includes distributions of 109 Class E restricted shares at $1,221 in connection with the restricted stock held by our independent directors under our independent director compensation plan.”

Sculptor Diversified Real Estate Income Trust, Inc. issued 48,236 shares of common stock to various investors for $522,592.

“On September 12, 2025, the Company, pursuant to its distribution reinvestment plan, issued the following shares based on the respective net asset value per share as of July 31, 2025: Number of Shares Issued Purchase Price Class E Shares (1) 2,467 $ 27,542 Class F Shares 136 1,495 Class FF Shares 22,625 244,732 Class AA Shares 21,759 235,497 Class A Shares 950 10,146 Class I-S Shares 299 3,180 Total 48,236 $ 522,592”

Sculptor Diversified Real Estate Income Trust, Inc. issued 1,231,355 shares of common stock to various investors for $13,553,803.

“On October 1, 2025, Sculptor Diversified Real Estate Income Trust, Inc. (the “Company”) issued the following shares based on the respective net asset value per share as of August 31, 2025. The following table details the shares issued and gross proceeds: Number of Shares Issued Gross Proceeds Class E Shares (1) 552,450 $ 6,176,228 Class AA Shares (2) 678,905 7,377,575 Total 1,231,355 $ 13,553,803”

Sculptor Diversified Real Estate Income Trust, Inc. issued 15,735 shares at $175,908 of common stock to Sculptor Advisors LLC for payment for accrued management fees.

“Includes 15,735 shares at $175,908 issued to Sculptor Advisors LLC as payment for accrued management fees.”

Blue Owl Real Estate Net Lease Trust issued 23,894,685 common shares of common stock to unknown for gross proceeds of approximately $248.3 million.

“On October 1, 2025, Blue Owl Real Estate Net Lease Trust (the “ Company ,” “ ORENT ” “ we ” or “ us ”) sold an aggregate of 23,894,685 of its common shares for gross proceeds of approximately $248.3 million, based on net asset value per share as of August 31, 2025. The offers and sales of these shares were exempt from the registration provisions of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2), Regulation D and/or Regulation S thereunder.”

Starwood Credit Real Estate Income Trust issued 260,692.889 of its common shares of common stock to accredited investors for aggregate consideration of approximately $5.3 million.

“on October 1, 2025, the Company sold an aggregate of 260,692.889 of its common shares of beneficial interest, par value $0.01 per share (the “Shares”), for aggregate consideration of approximately $5.3 million at a price per Class S Share, Class I Share and Class E Share equal to $20.3675, $20.3542, and $21.1129, respectively, plus applicable upfront selling commissions and dealer manager fees.”

Principal Credit Real Estate Income Trust issued 94,186.46 common shares of common stock for aggregate consideration of approximately $1,926,000.

“on October 1, 2025, the Company sold an aggregate of 94,186.46 common shares (the “Shares”) for aggregate consideration of approximately $1,926,000”

BTC Development Corp. issued 3,300,000 units (over-allotment) of common stock to underwriters for $33,000,000.

“the closing of its initial public offering of 25,300,000 units, which includes 3,300,000 units issued pursuant to the exercise by the underwriters of their over-allotment option in full.”

BTC Development Corp. issued 760,000 Units of unit to CCM, KBW and BTC Development Sponsor LLC for $7,600,000.

“Simultaneously with the consummation of the IPO, the Company consummated the issuance and sale (“ Private Placement ”) of 760,000 Units (the “ Placement Units ”) in a private placement transaction at a price of $10.00 per Placement Unit, generating gross proceeds of $7,600,000.”

ISQ Open Infrastructure Co LLC issued 2,604,160 total Series II Shares (F-S, F-I, F-J, E) of securities to accredited investors and non-U.S. investors outside of the United States for $65,104,000 aggregate for Series II.

“Series II F-S Shares 200,600 5,015,000 F-I Shares 142,160 3,554,000 F-J Shares 1,961,400 49,035,000 E Shares 300,000 7,500,000”

ISQ Open Infrastructure Co LLC issued 19,600 Series I F-S TE Shares of securities to accredited investors and non-U.S. investors outside of the United States for $490,000.

“On October 1, 2025, the Company issued and sold the following unregistered shares of the Company to investors for cash: Type Number of Shares Sold* Aggregate Consideration* Series I F-S TE Shares 19,600 $ 490,000”

Apollo IG Core Replacement, L.P. issued unregistered limited partnership interests (the "Interests") of securities to unknown for aggregate consideration of approximately $200 million in cash and $31 million in assets.

“On October 1, 2025, Apollo IG Core Replacement, L.P. (“Apollo IG Core”) issued unregistered limited partnership interests (the “Interests”) for aggregate consideration of approximately $200 million in cash and $31 million in assets.”

Microbot Medical Inc. issued 374,167 shares of Common Stock of common stock for between $1.875 and $2.6625 per share.

“the exercise of a like number of preferred investment options (the “PA Options”) by the holder of such PA Options. The exercise prices per share of the PA Options was between $1.875 and $2.6625, generating gross proceeds to the Company, before deducting placement agent fees and expenses, of approximately $896,000. The shares issued upon exercise of the PA”

Microbot Medical Inc. issued 30,000 preferred investment options of warrant to H.C. Wainwright & Co., LLC.

“The Company issued the New PIOs, and 30,000 preferred investment options (the “Wainwright PIOs”) to H.C. Wainwright & Co., LLC (“Wainwright”)”

ZW Data Action Technologies Inc. issued 608,800 restricted shares of common stock of common stock to accredited and non-US persons and entities for $2.10 per share with total gross proceeds from the transactions amounting to approximately $1,278,480.

“the Company issued a total of 608,800 restricted shares of common stock to the investors, including accredited and non-US persons and entities. The shares of common stock were sold for $2.10 per share with total gross proceeds from the transactions amounting to approximately $1,278,480.”

Venus Concept Inc. issued 343,561 shares of preferred stock to Madryn Health Partners (Cayman Master), LP for exchange of Secured Subordinated Convertible Note, original principal amount of $6,990,782.23.

“(ii) that certain Secured Subordinated Convertible Note issued by the Company in favor of Madryn Cayman, dated June 30, 2025 (the “ Existing Madryn Cayman Note ,” and together with the Existing Madryn Note, the “ Existing Notes ”), in the original principal amount of $6,990,782.23, for 343,561 shares of Series Y Preferred Stock to be issued by the Company to Madryn Cayman (the “ Madryn Cayman Shares ,” and together with the Madryn Shares, the “ Preferred Shares ”)”

Venus Concept Inc. issued 201,774 shares of preferred stock to Madryn Health Partners, LP for exchange of Secured Subordinated Convertible Note, original principal amount of $4,105,696.60.

“the Holders agreed to exchange (the “ Exchange ”): (i) that certain Secured Subordinated Convertible Note issued by the Company in favor of Madryn, dated June 30, 2025, in the original principal amount of $4,105,696.60 (the “ Existing Madryn Note ”), for 201,774 shares of the Company’s convertible preferred stock, par value $0.0001 per share, designated as “Series Y Convertible Preferred Stock” (the “ Series Y Preferred Stock ”), to be issued by the Company to Madryn (the “ Madryn Shares ”)”

Interactive Strength, Inc. issued convertible note to Note Holder.

“The Exchange Note was offered and sold pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) or, in the event of an issuance of the Exchange Note Conversion Shares on a cashless basis, pursuant to the exemption provided in Section 3(a)(9) under the Securities Act.”

Steele Creek Capital Corp issued common stock for $218,126.00.

“On October 1, 2025, the Company sold approximately $218,126.00 worth of shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”),”

Stone Point Credit Corp issued 1,756,666.550 shares of common stock to investors for aggregate offering price of $35,000,000.00.

“Stone Point Credit Corporation (the “Company”) issued and sold 1,756,666.550 shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), on September 30, 2025 for an aggregate offering price of $35,000,000.00.”

Direct Digital Holdings, Inc. issued 2,400,000 shares of common stock to New Circle Principal Investments LLC for aggregate of $451,983.

“through September 26, 2025 , the Company sold 1,400,000 shares of its Class A Common Stock, par value $0.001 per share (the “Class A Common Stock”) for an aggregate of $451,983 in cash consideration after a total discount of $11,627. From September 26, 2025 to September 30, 2025, the Company sold an additional 1,000,000 shares of its Class A Common Stock”

Maison Solutions Inc. issued convertible note to an institutional investor for $3,000,000 principal amount for a purchase price of $2,745,000.

“the Company issued an initial Note to the Investor in the principal amount of $3,000,000 for a purchase price of $2,745,000”

JFB Construction Holdings issued preferred stock for stated value of $10 per share.

“”) for a private investment in public equity (the “ PIPE Offering ”) of 4,389,500 shares of its Series C Convertible Preferred Stock par value $0.0001 per share, stated value $10.00 per share (the “ Series C Preferred Stock ”) , convertible into 8,068,933 shares of common stock, par value $0.0001 (the “ Common Stock ”), at a conversion price of $5.44 per”

JFB Construction Holdings issued up to an aggregate of 645,515 shares of Common Stock of warrant to Dominari Securities, LLC or its designees for exercise price of $5.44 per share.

“value $10.00 per share (the “ Series C Preferred Stock ”) , convertible into 8,068,933 shares of common stock, par value $0.0001 (the “ Common Stock ”), at a conversion price of $5.44 per share of Series C Preferred Stock, an aggregate of 8,068,933 warrants (the “ Common Warrants A ”) to acquire up to 8,068,933 shares of Common Stock, and an aggregate of”

JFB Construction Holdings issued an aggregate of 8,068,933 warrants (the " Common Warrants B ") to acquire up to 8,068,933 shares of Common Stock of warrant to American Ventures LLC, Series XIV JFB for $5.44 per unit.

“value $10.00 per share (the “ Series C Preferred Stock ”) , convertible into 8,068,933 shares of common stock, par value $0.0001 (the “ Common Stock ”), at a conversion price of $5.44 per share of Series C Preferred Stock, an aggregate of 8,068,933 warrants (the “ Common Warrants A ”) to acquire up to 8,068,933 shares of Common Stock, and an aggregate of”

JFB Construction Holdings issued an aggregate of 8,068,933 warrants (the "Common Warrants A") to acquire up to 8,068,933 shares of Common Stock of warrant to American Ventures LLC, Series XIV JFB for $5.44 per unit.

“value $10.00 per share (the “ Series C Preferred Stock ”) , convertible into 8,068,933 shares of common stock, par value $0.0001 (the “ Common Stock ”), at a conversion price of $5.44 per share of Series C Preferred Stock, an aggregate of 8,068,933 warrants (the “ Common Warrants A ”) to acquire up to 8,068,933 shares of Common Stock, and an aggregate of”

JFB Construction Holdings issued 4,389,500 shares of its Series C Convertible Preferred Stock of preferred stock to American Ventures LLC, Series XIV JFB for $5.44 per share.

“value $10.00 per share (the “ Series C Preferred Stock ”) , convertible into 8,068,933 shares of common stock, par value $0.0001 (the “ Common Stock ”), at a conversion price of $5.44 per share of Series C Preferred Stock, an aggregate of 8,068,933 warrants (the “ Common Warrants A ”) to acquire up to 8,068,933 shares of Common Stock, and an aggregate of”

SL Investment Fund II LLC issued approximately 1,470,297 shares of common stock to accredited investors for aggregate offering price of $29.7 million.

“On September 22, 2025, the Company delivered a capital drawdown notice to its unitholders relating to the sale of approximately 1,470,297 shares of the Company’s common units, par value $0.001 per share (the “Common Units”) for an aggregate offering price of $29.7 million.”

LOCORR FUTURES PORTFOLIO FUND L.P. issued limited partnership interests ("Units") of securities to new and/or existing limited partners for $33,000.00 in cash.

“that were not registered under the Securities Act of 1933, as amended (the "Securities Act"). The aggregate consideration for Class A Units sold on October 1, 2025 was $33,000.00 in cash. The Units were issued by the Fund in reliance upon an exemption from registration under the Securities Act set forth in Section 4(2) of the Securities Act, as”

SMITH MICRO SOFTWARE, INC. issued warrant to accredited investors.

“The disclosures in Item 1.01 of this Current Report on Form 8-K regarding the Warrants and Warrant Shares are incorporated by reference into this Item 3.02. The Warrants were, and the Warrant Shares will be, issued without registration under the Securities Act, in reliance on the exemptions provided by Section 4(a)(2) of the Securities Act as transactions not involving a public offering and Rule 506 promulgated under the Securities Act as sales to accredited investors.”

Silo Pharma, Inc. issued shares of common stock underlying such unregistered warrants of common stock to unknown for upon exercise of warrants.

“The unregistered warrants described above are being offered in a private placement under Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”), and/or Regulation D promulgated thereunder and, along with the shares of common stock underlying such unregistered warrants, have not been registered under the Securities Act, or applicable state securities laws.”

Silo Pharma, Inc. issued warrants to purchase up to 2,857,143 shares of common stock of warrant to unknown for exercise price of $0.75 per share.

“In a concurrent private placement, the Company will issue unregistered warrants to purchase up to 2,857,143 shares of common stock at an exercise price of $0.75 per share that will be immediately exercisable upon issuance and will expire five years from the effective date of a registration statement registering for resale the shares of common stock underlying the warrants.”

Silo Pharma, Inc. issued 2,857,143 shares of common stock of common stock to unknown for purchase price of $0.875 per share.

“and psychedelic treatments, today announced that it has entered into definitive agreements for the purchase and sale of 2,857,143 shares of common stock at a purchase price of $0.875 per share in a registered direct offering priced at-the-market under Nasdaq rules. In a concurrent private placement, the Company will issue unregistered warrants to purchase up”

Jaguar Health, Inc. issued 479,442 pre-funded warrants of warrant to Brown Stone Capital Limited for $1.56 minus $0.0001 per warrant.

“PIPE Financing On September 28, 2025, Jaguar Health, Inc. (the “ Company ”) entered into a securities purchase agreement (the “ Purchase Agreement ”) with Brown Stone Capital Limited (the “ Investor ”), pursuant to which the Company agreed to issue and sell to the Investors in a private placement (the “Private Placement ”) (i) 161,583 shares (“ Shares ”) of the Company’s voting common stock, par value 0.0001 (the “ Common Stock ”) and (ii) 479,442 pre-funded warrants (the “ Pre-Funded Warrants ”) to purchase shares of Common Stock (the “ Pre-Funded Warrant Shares ” and together with the Shares and the Pre-Funded Warrants, the “ Securities ”).”

Jaguar Health, Inc. issued 161,583 shares of common stock to Brown Stone Capital Limited for $1.56 per share.

“shares of Common Stock (the “ Pre-Funded Warrant Shares ” and together with the Shares and the Pre-Funded Warrants, the “ Securities ”). The purchase price of the Shares is $1.56 per share and the purchase price for the Pre-Funded Warrants is $1.56 minus $0.0001. The Company intends to use the proceeds from the Private Placement for working capital and”

NexPoint Real Estate Finance, Inc. issued an additional 1,200,000 shares (the "Additional Shares") of the Company's Series B Preferred Stock of preferred stock.

“On October 1, 2025, the Company filed with the State Department of Assessments and Taxation of the State of Maryland (the "SDAT") the Articles Supplementary (the "Articles Supplementary") to the Articles of Amendment and Restatement of the Company classifying and designating an additional 1,200,000 shares (the "Additional Shares") of the Company's Series B Preferred Stock”

Scilex Holding Co issued 179,236 shares of Common Stock of common stock to Existing Warrant Holders for exercise of Existing December 2024 Warrants with aggregate gross proceeds of approximately $2.7 million, net of Deferral Fee.

“Pursuant to the Warrant Exercise Agreements, the Existing Warrant Holders will exercise in full the Existing December 2024 Warrants for an aggregate of 179,236 shares of Common Stock”

QT IMAGING HOLDINGS, INC. issued 12,120,798 shares underlying Subscription Warrants, 5,424,083 shares underlying Pre-Funded Warrants of warrant to accredited investors and qualified institutional buyers led by Sio Capital Management, LLC for Subscription Warrants exercisable at $1.50 per share, Pre-Funded Warrants issued for $1.4999 each and exercisable at $0.0001 per share.

“Placement ”) of securities. At the closing of the Private Placement, the Company will issue (i) 6,696,715 shares (the “ Shares ”) of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”); (ii) Subscription Warrants (the “ Subscription Warrants ”) with a term of five years from the initial exercise date to purchase up to an”

QT IMAGING HOLDINGS, INC. issued 6,696,715 shares of common stock to accredited investors and qualified institutional buyers led by Sio Capital Management, LLC for $1.50 per share.

“Warrants together with the Shares, the “ Securities ”) (all of such shares issuable upon exercise of the Warrants, the “ Warrant Shares ”). The purchase price of each Share is $1.50 (the “ Per Share Purchase Price ”) and the purchase price for each Pre‐Funded Warrant is $1.4999 (the “ Per Pre-Funded Warrant Purchase Price ”). Both of these amounts are to be”

Lafayette Square USA, Inc. issued approximately 1.7 million shares of common stock to accredited investors for aggregate offering price of approximately $25.5 million.

“On September 29, 2025, pursuant to a drawdown notice previously delivered to investors, Lafayette Square USA, Inc. (the “Company”) sold approximately 1.7 million shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), for an aggregate offering price of approximately $25.5 million.”