Equity Issuances

New Mountain Private Credit Fund issued 253,363 of its common shares of beneficial interest of common stock for aggregate consideration of approximately $6.2 million at a price per Share equal to $24.53.

“as of September 1, 2025 , the Company sold an aggregate of 253,363 of its common shares of beneficial interest for the month of September (the “Shares”), for aggregate consideration of approximately $ 6.2 million at a price per Share equal to $ 24.53 (with the final number of shares being determined on September 24, 2025 )”

Mitesco, Inc. issued 725,000 shares of restricted common stock of common stock to accredited investors for as consideration for their services.

“The Company has issued a total of 725,000 shares of restricted common stock to four (4) consultants who are involved with the development of its Robo Agent software application as consideration for their services, including 200,000 previously disclosed to its new Chief Technology Officer (CTO).”

Mitesco, Inc. issued 2,025,910 shares of common stock to Pinz Capital, GS Capital, Jefferson Street, AJB, Cavalry/Mercer/CM for in redemption of $257,700 of Series A Preferred Stock.

“The Company issued a total of 2,025,910 shares in redemption of $257,700 of its Series A Preferred Stock during Q3. The issuances were as follows: Pinz Capital – 150,849 shares, GS Capital – 330,000 shares (reduced from allowable to stay under 5% in total holdings), Jefferson Street – 95,062 shares, AJB – 725,000 shares (reduced from allowable to stay under 5% in total holdings), Cavalry/Mercer/CM – 725,000 shares in aggregate (reduced from allowable to stay under 5% total holdings).”

Mitesco, Inc. issued 99,338 shares of restricted common stock of common stock to Leath, Balencic, Mitchell, Clifton, Anglo Irish.

“The Company has issued a total of 99,338 shares of restricted common stock for the payment of its dividends on its Series X Preferred shares for Q3 FY2025. The issuances were as follows: Leath – 8,787 shares, Balencic – 8,787 shares, Mitchell – 8,787, Clifton – 2,941shares, Anglo Irish – 70,035 shares.”

Modular Medical, Inc. issued approximately 2,747,314 shares of the Company’s common stock of warrant to holders of the Outstanding Warrants for holders agreed to exercise these ... warrants at the New Exercise Price; gross proceeds of approximately $3.7 million.

“agreed to exercise these 2025 Warrants at the New Exercise Price. As a result of entering into the Warrant Letters, the Company will receive gross proceeds of approximately $3.7 million, before deducting expenses related to the Company entering into the Warrant Letters. In consideration for the holders of the Outstanding Warrants agreeing to enter into the”

GT Biopharma, Inc. issued preferred stock to certain of the holders of GT Biopharma, Inc.'s Series L 10% Convertible Preferred Stock.

“each of September 17, 2025, September 18, 2025 and September 23, 2025, certain of the holders of GT Biopharma, Inc.’s Series L 10% Convertible Preferred Stock (the “Series L Preferred Stock”) provided a waiver (the “Waiver”) to the Certificate of Designation of Preferences, Rights and Limitations of Series L 10% Convertible Preferred Stock (the “Certificate of Designations”)”

Vivakor, Inc. issued 720,072 shares of our common stock of common stock to J.J. Astor & Co. for $200,000.

“which totaled approximately $7,660,000 as of the date of the notice of default. . On September 17, 2025, the Lender also submitted a Notice of Conversion electing to convert $200,000 due under the Initial Note in exchange for 720,072 shares of our common stock. , the information contained in Item 1.01 is incorporated herein by reference. Item 3.02”

Vuzix Corp issued 230,242 shares of the Company’s Series B Preferred Stock of preferred stock to Quanta Computer Inc. for purchase price of $21.716 per share.

“On September 19, 2025, Vuzix Corporation (the “Company”) completed the closing of the third and final tranche under the Company’s previously disclosed securities purchase agreement, dated September 3, 2024, with Quanta Computer Inc. (“Quanta”). Pursuant to this closing, the Company sold to Quanta 230,242 shares of the Company’s Series B Preferred Stock (each convertible into 10 shares of common stock) at a purchase price of $21.716 per share.”

BOLLINGER INNOVATIONS, INC. issued convertible note to an investor for aggregate principal amount of approximately $4.1 million.

“the investor agreed to purchase upon execution an aggregate principal amount of approximately $4.1 million (of which approximately $368 thousand was effectively purchased on August 27, 2025 and approximately $1.6 million was effectively purchased on September 4, 2025) of 5% Original Issue Discount Secured Notes (each, a " Note " and collectively, the " Notes ") convertible into shares of common stock”

AMERICAN REBEL HOLDINGS INC issued 12,000 shares of Series D Convertible Preferred Stock of preferred stock to Carter, Terry & Company Inc. for valued at $90,000, to Carter, Terry & Company Inc. for partial payment of commissions.

“On September 16, 2025, the Company issued 12,000 shares of Series D Convertible Preferred Stock, valued at $90,000, to Carter, Terry & Company Inc. (“Carter Terry”) for partial payment of commissions owed on a recent financing completed by the Company.”

Interactive Strength, Inc. issued 285,714 shares of Common Stock of warrant to an accredited investor.

“and, as a result, was issued Class A Incremental Common Warrants to purchase an aggregate 285,714 shares of Common Stock”

Interactive Strength, Inc. issued convertible note to an accredited investor for aggregate principal amount of $2,000,000.

“On September 18, 2025, the Investor elected to exercise Class A Incremental Warrants (the “Warrant Exercise”) to purchase Class A Incremental Notes for an aggregate principal amount of $2,000,000”

ZeroStack Corp. issued 8,546,955 pre-funded warrants, each exercisable for one common share of warrant to Token Investors for US$25.1899 per warrant, paid in Tokens valued at US$3 each, aggregate net proceeds approximately US$215,297,806.

“On September 19, 2025, the Company entered into a securities purchase agreement (the " Token Securities Purchase Agreement ") with certain investors (the " Token Investors ") in connection with the issuance and sale by the Company to the Token Investors via a private placement (the “ Token Private Placement ”) of an aggregate of 8,546,955 pre-funded warrants of the Company at a purchase price of US$25.1899 per warrant (the “ Token Pre-funded Warrants ””

ZeroStack Corp. issued Each common share and pre-funded warrant bundled with 0.2 of a common share purchase warrant; aggregate not stated; each full warrant exercisable for one common of warrant to Cash Investors for Part of bundled unit with common shares and pre-funded warrants.

“Each Common Share and Pre-funded Warrant issued in the Cash Private Placement was bundled with 0.2 of a Common Share purchase warrant (each full warrant, a “ Cash Common Warrant ”). Each Cash Common Warrant shall be exercisable for one Common Share upon Shareholder Approval for 1,825 calendar days at an exercise price of US$25.19”

ZeroStack Corp. issued 425,929 pre-funded warrants, each exercisable for one common share of warrant to Cash Investors for US$25.1899 per warrant.

“and 425,929 pre-funded warrants of the Company at a purchase price of US$25.1899 per warrant (the “ Cash Pre-funded Warrants ”) each to purchase one Common Share of the Company”

ZeroStack Corp. issued 116,340 common shares of common stock to Cash Investors for US$25.19 per share, aggregate net proceeds approximately US$13,660,000.

“On September 19, 2025, Flora Growth Corp., a corporation organized under the laws of the Province of Ontario (" Flora " or the " Company "), entered into a securities purchase agreement (the " Cash Securities Purchase Agreement ") with certain investors (the " Cash Investors ") in connection with the issuance and sale by the Company to the Cash Investors via a private placement (the “ Cash Private Placement ”) of an aggregate of 116,340 common shares of the Company, no par value per share (each, a “ Common Share ”), at a purchase price of US$25.19 per share”

Envoy Medical, Inc. issued 5,725,206 shares of Common Stock of warrant to the Purchasers for Issued in connection with the registered direct offering of common stock.

“the Company agreed to issue to the Purchasers warrants (the “Private Warrants”) to purchase up to an aggregate of 5,725,206 shares of Common Stock (the “Warrant Shares”).”

First Eagle Private Credit Fund issued 283 of common stock to a feeder vehicle primarily created to hold the Fund’s common shares for $6,830.

“details the shares sold: Date of Unregistered Sale Amount of Class I Common Shares Consideration As of September 1, 2025 (number of shares finalized on September 23, 2025) 283 $ 6,830”

KKR FS Income Trust issued 4,219,629.518 Class I shares of common stock to accredited investors for $125.618 million aggregate.

“On September 2, 2025, KKR FS Income Trust (the “Company”) issued and sold 4,219,629.518 Class I shares (the “Class I Shares”) of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of Class I Shares issued being determined on September 23, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $125.618 million.”

KKR FS Income Trust Select issued 1,976,604.843 Class S shares of common stock to accredited investors for $50.601 million.

“On September 2, 2025, KKR FS Income Trust Select (the “Company”) issued and sold 1,976,604.843 Class S shares (the “Class S Shares”) of the Company’s common shares of beneficial interest (the “Shares”) (with the final number of Class S Shares issued being determined on September 23, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of $50.601 million .”

Trans American Aquaculture, Inc issued 19 shares of Series D Preferred Stock (with three shares issued to cover legal fees) and was issued an additional six shares of Series D Preferred Stock as comm of preferred stock to GHS Investments LLC for $1,000 for each share of Series D Preferred Stock and deducting $3,000 in legal fees.

“GHS Investments LLC (“ GHS ”) pursuant to which the Company may sell to GHS up to an aggregate of 63 shares of Series D Preferred Stock for an aggregate of up to $60,000 ($1,000 for each share of Series D Preferred Stock and deducting $3,000 in legal fees which may be issued in shares of Series D Preferred Stock). At the initial closing on September 18,”

EQT Private Equity Co LLC issued 2,813,503 of common stock to third-party investors for $73,829,087 aggregate consideration.

“As of September 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 $73,829,087, at a price per Investor Share equal to transactional net asset value (“Transactional Net Asset Value”) per share for the applicable class, which corresponds to the price at which the Company sells and repurchases its shares.”

QUANTUM CORP /DE/ issued convertible note to Dialectic Technology SPV LLC for on a dollar-for-dollar basis.

“the Company will issue to Dialectic, on a dollar-for-dollar basis, one or more senior secured convertible notes (the “Convertible Notes”) in exchange (the “Debt Exchange”) for the amounts then outstanding and owing by the Company to Dialectic under certain term loans held by Dialectic”

ODYSSEY MARINE EXPLORATION INC issued 1,279,637 shares of common stock to institutional investors for $1,520,254 of indebtedness.

“On August 26 and September 3 and 18, 2025, investors converted an aggregate of $1,520,254 of indebtedness under the December 2023 Notes into 1,279,637 shares of the Company’s common stock.”

ODYSSEY MARINE EXPLORATION INC issued 698,714 shares of common stock to institutional investors for $830,846 of indebtedness.

“On September 3 and 11, 2025, investors converted an aggregate of $830,846 of indebtedness under the March 2023 Notes into 698,714 shares of the Company’s common stock.”

CYTOKINETICS INC issued 2,168,806 shares of the common stock of common stock.

“The 2,168,806 shares of the common stock being issued in connection with the Note Exchange Transactions are being issued in reliance on the exemption from the registration requirements provided by Section 4(a)(2) of the Securities Act.”

CYTOKINETICS INC issued up to 15,072,300 shares of the Company's common stock of common stock.

“Initially, a maximum of 15,072,300 shares of the Company's common stock may be issued upon conversion of the Notes”

CYTOKINETICS INC issued convertible note to initial purchasers for $750.0 million aggregate principal amount.

“On September 19, 2025, Cytokinetics, Incorporated (the “Company”) issued $750.0 million aggregate principal amount of its 1.75% Convertible Senior Notes due 2031 (the “Notes”), which includes the full exercise of the initial purchasers’ option to purchase up to an additional $100.0 million aggregate principal amount of Notes.”

Future FinTech Group Inc. issued 60,000 shares of common stock to an investor.

“On September 16, 2025, the Company issued 60,000 shares of the Company’s Common Stock to an investor pursuant to a Pre-Paid Securities Purchase Agreement dated July 28, 2025”

Future FinTech Group Inc. issued 15,000,000 shares of common stock to certain purchasers.

“On September 16, 2025, the Company issued an aggregate of 15,000,000 shares of the Company’s common stock, par value $0.001 per share (“Common Stock”), to certain purchasers pursuant to a securities purchase agreement”

FORUM MARKETS Inc issued convertible note.

“the Company and the Investor agreed to partially waive and modify certain terms of the Existing Convertible Notes and the Securities Purchase Agreement”

FORUM MARKETS Inc issued 114,754,098 shares of common stock of convertible note to investment funds managed by an institutional investor for cash equal to 97.25% of the New Principal Amount.

“The New Convertible Notes were sold to the Investors on September 22, 2025, in the aggregate principal amount of $350 million (the “ New Principal Amount ”) in exchange for cash equal to 97.25% of the New Principal Amount (the “ New Debt Financing ”). The Company closed the New Debt Financing simultaneously with the signing of the Amendment Agreement (the “ Effective Date ”). The New Convertible Notes were issued in a private placement in reliance upon an exemption from registration provided by Section 4(a)(2) of the Securities Act.”

Cottonwood Communities, Inc. issued 61,122 shares of Series 2025 Preferred Stock of preferred stock for in exchange for our Series 2019 Preferred Stock or Series 2023 Preferred Stock.

“during the same period, we issued and sold 61,122 shares of Series 2025 Preferred Stock in exchange for our Series 2019 Preferred Stock or Series 2023 Preferred Stock, as applicable, in the Exchange Offering”

Cottonwood Communities, Inc. issued 54,912 shares of Series 2025 Preferred Stock of preferred stock to accredited investors for aggregate proceeds of $537,000.

“During the period from September 10, 2025 through September 21, 2025, we issued and sold 54,912 shares of Series 2025 Preferred Stock in the Series 2025 Private Offering and received aggregate proceeds of $537,000.”

Monroe Capital Income Plus Corp issued 22,257,960 shares of common stock to each investor in the registrant for $10.19 per share, aggregate offering price of $226,808,607.

“On September 2, 2025, Monroe Capital Income Plus Corporation (the "Company") issued an aggregate of 22,257,960 shares of its common stock, par value $0.01 per share (the “Common Stock”), at a price per Share of $10.19 (with the final number of shares being determined on September 22, 2025), for an aggregate offering price of $226,808,607.”

FOXO TECHNOLOGIES INC. issued Not provided in excerpt of warrant to Sellers named in Stock Purchase Agreement for Not provided in excerpt.

“The shares of Series E Preferred Stock and the Warrants were issued in reliance on the exemption from registration contained in Section 4(a)(2) of the Securities Act of 1933, as amended, and by Rule 506(b) of Regulation D promulgated thereunder as a transaction by an issuer not involving any public offering and based, in part, on the representations of the investor.”

FOXO TECHNOLOGIES INC. issued Not provided in excerpt of preferred stock to Sellers named in Stock Purchase Agreement for Not provided in excerpt.

“The shares of Series E Preferred Stock and the Warrants were issued in reliance on the exemption from registration contained in Section 4(a)(2) of the Securities Act of 1933, as amended, and by Rule 506(b) of Regulation D promulgated thereunder as a transaction by an issuer not involving any public offering and based, in part, on the representations of the investor.”

AVAX ONE TECHNOLOGY LTD. issued an aggregate amount of $292.4 million of common stock to institutional and accredited investors for $2.36 per Share.

“the “ Common Shares ”, and the aggregate number thereof referenced in this sentence, the “ Shares ”), in an aggregate amount of $292.4 million. The per Share purchase price is $2.36 (the “ Share Price ”). Of the aggregate $292.4 million purchase price for the Shares, an aggregate of (i) $146.4 million is expected to be paid in cash, the cryptocurrency”

SunPower Inc. issued aggregate principal amount of $22,000,000 of convertible note to multiple purchasers for $22,000,000 aggregate principal.

“Purchase Agreements ”) with multiple purchasers relating to the private offering of the Company’s 7.00% Convertible Senior Notes due 2029 in the aggregate principal amount of $22,000,000 (the “ 7.00% Notes ”), and the Company has commitments to purchase an additional $225,000 principal amount of the 7.00% Notes. The 7.00% Notes are expected to be issued on or”

SunPower Inc. issued 6,666,666 shares of Common Stock (Deferred Consideration Shares) of common stock to Member (Chicken Parm Pizza LLC) for deferred stock issuable on anniversaries of Closing.

“When issued pursuant to the Membership Interest Purchase Agreement, the Initial Consideration Shares, the Deferred Consideration Shares and the Seller Note will not be registered under the Securities Act or any state securities laws, and such securities will be issued to the Member in a transaction exempt from registration under the Securities Act in reliance upon the exemption from registration provided by Section 4(a)(2) under the Securities Act.”

SunPower Inc. issued 3,333,334 shares of common stock of common stock to Member (Chicken Parm Pizza LLC) for $20,000,000 in cash, a $20,000,000 promissory note, and deferred stock.

“the Membership Interest Purchase Agreement (the “ Closing ”), Buyer will acquire all of the outstanding membership interests of Sunder from the Member for: (i) $20,000,000 in cash paid at Closing, subject to certain working capital and other adjustments; (ii) a promissory note issued at the Closing by the Company to the Member in the principal”

Barings Private Credit Corp issued 6,150,090.317 shares of common stock to participating investors for aggregate consideration of approximately $126.9 million.

“As of September 2, 2025, Barings Private Credit Corporation (the “Company”) sold 6,150,090.317 unregistered shares (the “Sold Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), (with the number of Sold Shares issued being determined on September 22, 2025) pursuant to subscription agreements entered into with the participating investors for aggregate consideration of approximately $126.9 million.”

Allarity Therapeutics, Inc. issued warrant to a certain accredited investor for $0.0001 exercise price per Pre-Funded Warrant; purchase price $1.5999 per Pre-Funded Warrant.

“the Company has agreed to issue and sell 1,562,500 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) for $1.60 per Share, and/or pre-funded warrants in (the “Pre-Funded Warrants) to purchase one share of Common Stock per Pre-Funded Warrant, at an offering price of $1.5999 per Pre-Funded Warrant (the “Purchase Price”), for gross proceeds to the Company of approximately $2.5 million, before deducting fees and expenses.”

Allarity Therapeutics, Inc. issued 1,562,500 shares of common stock to a certain accredited investor for $1.60 per Share, for gross proceeds of approximately $2.5 million.

“the Initial Closing, the Company has agreed to issue and sell 1,562,500 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) for $1.60 per Share, and/or pre-funded warrants in (the “Pre-Funded Warrants) to purchase one share of Common Stock per Pre-Funded Warrant, at an offering price of $1.5999 per Pre-Funded”

Direct Digital Holdings, Inc. issued 700,000 shares of common stock to New Circle Principal Investments LLC for an aggregate of $275,993 in cash consideration after a total discount of $8,997.

“Since August 6, 2025, the end of the period covered by the most recent Report filed on any of Forms 8-K, 10-K or 10-Q under this Item 3.02 by Direct Digital Holdings, Inc. (“ Company ”), through September 16, 2025 , the Company sold 700,000 shares of its Class A Common Stock, par value $0.001 per share (the “ Class A Common Stock ”) for an aggregate of $275,993 in cash consideration after a total discount of $8,997. This Current Report on Form 8-K is being filed because the aggregate number of shares of Class A Common Stock sold in unregistered transactions during the foregoing period exceeded five percent (5%) of the total number of such shares issued and outstanding as of August 6, 2025. The sales of Class A Common Stock referred to herein were made to New Circle Principal Investments LLC (“ New Circle ”) pursuant to the previously disclosed Equity Reserve Facility under the Share Purchase Agreement (the “ Purchase Agreement ”) with New Circle.”

ARES STRATEGIC INCOME FUND issued 15,828,304 of common stock for $ 435.3.

“Sales (dollar amount in millions) Amount of Class I Common Shares Total Consideration During September 2025 (number of shares finalized on September 22, 2025) 15,828,304 $ 435.3”

Blue Owl Real Estate Net Lease Trust issued 5,646,372 shares of common stock to feeder vehicles primarily created to hold the Company's Class I common shares for gross proceeds of approximately $58.6 million.

“As of September 2, 2025, Blue Owl Real Estate Net Lease Trust (the “ Company ”, “ we ”, or “ us ”) sold 5,646,372 shares of its Class I common shares (with the final number of shares being determined on September 16, 2025) to feeder vehicles primarily created to hold the Company’s Class I common shares for gross proceeds of approximately $58.6 million”

AB Private Lending Fund issued 276,712.466 of common stock to feeder vehicles primarily created to hold the Fund’s Class I shares for $ 6,981,261.80.

“details the shares sold: Date of Unregistered Sale Amount of Class I shares Consideration As of September 2, 2025 (number of shares finalized on September 19, 2025) 276,712.466 $ 6,981,261.80”

Fortress Private Lending Fund issued 31,969 of common stock to accredited investors for $0.8 million.

“During September 2025, Fortress Private Lending Fund (the “Company,”) sold its Class I common shares of beneficial interest, par value $0.01 per share (the “Shares”) for aggregate consideration of $0.8 million. The number of Shares to be issued was finalized on September 22, 2025. The purchase price per Share equaled the Company’s net asset value (“NAV”) per Share as of August 31, 2025. The offer and sale of the Shares was made pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”), Regulation D promulgated thereunder and other available exemptions from the registration requirements of the Securities Act to investors who are “accredited investors” within the meaning of Regulation D under the Securities Act.”

Stone Point Credit Income Fund issued 1,508,167.259 of the Fund's common shares of common stock to accredited investors for $37,763,000.00 aggregate.

“On September 1, 2025 (with the final number of shares being determined on September 19, 2025), Stone Point Credit Income Fund (the “Fund”) issued and sold 1,508,167.259 of the Fund’s common shares, par value $0.001 per share (the “Common Shares”), at a net asset value of $25.0390 per share, pursuant to the subscription agreements entered into by the Fund and its investors, for an aggregate offering price of $37,763,000.00.”