Equity Issuances

Ares Core Infrastructure Fund issued 6,650,568 of common stock for $165.1 million.

“On September 2, 2025, Ares Core Infrastructure Fund (the “Fund”) sold Class I common shares of beneficial interest (the “Class I Common Shares”) for an aggregate purchase price of $165.1 million”

Oruka Therapeutics, Inc. issued 1,066,666 shares of Common Stock of warrant to certain institutional and accredited investors for purchase price of $14.999 per Pre-Funded Warrant.

“pre-funded warrants (the “Pre-Funded Warrants”) to purchase an aggregate of 1,066,666 shares of Common Stock (the “Pre-Funded Warrant Shares”) at a purchase price of $14.999 per Pre-Funded Warrant”

Oruka Therapeutics, Inc. issued 10,933,405 shares of common stock to certain institutional and accredited investors for price per share of $15.00.

“an aggregate of 10,933,405 shares (the “Common Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), at a price per share of $15.00”

ADTRAN Holdings, Inc. issued a maximum of 22,714,447 shares of the Company’s common stock may be issued upon conversion of the Notes of common stock.

“Initially, a maximum of 22,714,447 shares of the Company’s common stock may be issued upon conversion of the Notes, based on the initial maximum conversion rate of 86.8206 shares of the Company’s common stock per $1,000 principal amount of Notes, which is subject to customary anti-dilution adjustment provisions.”

ADTRAN Holdings, Inc. issued convertible note to Initial Purchasers (Evercore Group L.L.C., as representative) for $201,250,000 aggregate principal amount of its 3.75% convertible senior notes due 2030.

“accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ Item 1.01 Entry into a Material Definitive Agreement. Indenture and Notes On September 19, 2025, ADTRAN Holdings, Inc. (the “Company”) issued $201,250,000 aggregate principal amount of its 3.75% convertible senior notes due 2030 (the “Notes”). The Notes were issued pursuant”

Nordicus Partners Corp issued 1,057,500 restricted shares of common stock to 54 private investors for $1.90 per share.

“in July through September 2025, we issued to 54 private investors a total of 1,057,500 restricted shares of our common stock at a purchase price of $1.90 per share.”

CEMTREX INC issued preferred stock to holders of record of Series 1 Preferred Stock for 10% annual dividend on $10.00 per share Preference Amount.

“October 7, 2025, to the holders of record on close of business on September 30, 2025. The holders of the Series 1 Preferred Stock are entitled to receive dividends at the rate of 10% annually, based on the $10.00 per share Preference Amount, payable semiannually. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant”

Texas Mineral Resources Corp. issued 500,000 shares of Common Stock of common stock to accredited investors.

“The issuance of the 500,000 shares of Common Stock upon partial exercise of a Warrant issued in February 2025, as disclosed in Item 8.01 below (which disclosure in Item 8.01 is incorporated herein by reference), was issued in accordance therewith.”

Transportation & Logistics Systems, Inc. issued 503 shares of preferred stock for $50,273.970 in Outstanding Liabilities.

“the Creditor agreed to settle an aggregate of $50,273.970 in Outstanding Liabilities, which includes accrued and unpaid interest, in exchange for the issuance of 503 shares of the Company’s Series J Senior Convertible Preferred Stock”

Edgemode, Inc. issued 8,500,000 shares of common stock to an accredited investor.

“the Company also issued 8,500,000 shares of the Company’s common stock to the Investor (the “Commitment Shares”).”

Edgemode, Inc. issued convertible note to an accredited investor for net proceeds of $250,000.

“the Company sold the Investor an unsecured original issue discount promissory note in the principal amount of $287,500 (the “Promissory Note”) for which the Company received net proceeds of $250,000.”

SCWorx Corp. issued New Warrants to purchase an aggregate of 4,128,000 shares of Common Stock of warrant to the Holders.

“the Company agreed to issue new unregistered Warrants (the “New Warrants”) to purchase an aggregate of 4,128,000 shares of Common Stock”

SCWorx Corp. issued 2,064,000 shares of Common Stock of common stock to the Holders for $0.3496 per share, aggregate gross proceeds of approximately $721,574.

“to the Inducement Agreements, the Holders agreed to exercise for cash Existing Warrants to purchase up to an aggregate 2,064,000 shares of Common Stock at an exercise price of $0.3496 per share during the period from the date of the Inducement Agreement until 4:00 p.m., Eastern Time, on September 18 2025. Pursuant to the exercise of the Existing Warrants in”

Cottonwood Communities, Inc. issued 348,827 shares of Series A Convertible Preferred Stock of preferred stock to accredited investors for aggregate proceeds of $3,475,500.

“During the period from September 10, 2025 through September 18, 2025, we issued and sold 348,827 shares of Series A Convertible Preferred Stock in the Series A Convertible Private Offering and received aggregate proceeds of $3,475,500.”

Carlyle Credit Solutions, Inc. issued 203,395 shares of the Company’s common stock of common stock to investors for aggregate consideration of $3.9 million.

“As of September 1, 2025, Carlyle Credit Solutions, Inc. (the “Company”) issued and sold 203,395 shares of the Company’s common stock, par value $0.01 per share (the “Common Stock”), with the final number of shares being determined on September 18, 2025 for aggregate consideration of $3.9 million.”

American Picture House Corp issued up to $100 million of newly issued shares of its common stock of common stock to RH2 Equity Partners, L.P..

“The shares of Common Stock issuable under the ELOC, if and when issued, will be offered and sold in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act of 1933, as amended, and/or Rule 506 of Regulation D promulgated thereunder.”

T3 Defense Inc. issued up to the lesser of (i) $250,000,000 of Common Shares and (ii) the Exchange Cap of common stock to Esousa Group Holdings, LLC for purchase price equal to 97.5% of the lower of daily VWAP or closing sale price.

“forth in the ELOC Purchase Agreement. The Common Shares purchased pursuant ELOC Purchase Agreement will be purchased from time to time at a price equal to a discounted price of 97.5% of the lower of: (i) the lowest daily VWAP of any trading day during the three trading days preceding the date on which the Company submits a draw down notice and (ii) the”

Blackstone Private Credit Fund issued 25,972,741 of common stock to accredited investors for $ 651,656,069.

“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 18, 2025) 25,972,741 $ 651,656,069”

Reliance Global Group, Inc. issued 450,000 shares of common stock to White Lion for aggregate gross proceeds of $360,000.

“September 15, 2025 — White Lion ELOC Purchase Notice: 450,000 shares issued to White Lion pursuant to a purchase notice under the ELOC at a weighted average price of $0.80 per share for aggregate gross proceeds of $360,000.”

Reliance Global Group, Inc. issued 110,668 shares of common stock to Tomchei Shabbos for marketing services to the Company, with an aggregate value of $100,000.

“September 3, 2025 — Tomchei Shabbos: 110,668 shares issued to Tomchei Shabbos, for marketing services to the Company, with an aggregate value of $100,000.”

Reliance Global Group, Inc. issued 53,186 shares of common stock to White Lion for No cash proceeds were received by the Company for these commitment shares.

“August 27, 2025 — White Lion commitment shares: 53,186 shares issued to White Lion as commitment shares in connection with the Company’s equity line of credit (ELOC) facility. No cash proceeds were received by the Company for these commitment shares.”

NEXTNRG, INC. issued 1,000,000 restricted shares of its common stock of common stock to Michael D. Farkas for cancellation and discharge of $1,670,000 of outstanding indebtedness.

“Pursuant to the SPA, the Company issued 1,000,000 restricted shares if its common stock to the Lender at a price of $1.67 per share. The purchase price was paid by the Lender through the cancellation and discharge of $1,670,000 of outstanding indebtedness owed by the Company to the Lender under promissory notes dated May 5, 2025, May 9, 2025, May 19, 2025, May 20, 2025, and June 10, 2025.”

CITIUS ONCOLOGY, INC. issued up to 360,000 shares of common stock of warrant to a financial advisor.

“On September 19, 2025, Citius Oncology, Inc. (the “Company) issued to a financial advisor warrants to purchase up to 360,000 shares of our common stock with an exercise price of $2.1875 per shares, that are exercisable on March 10, 2026, and that expire on March 10, 2031.”

La Rosa Holdings Corp. issued common stock to an institutional investor.

“The Common Shares that may be issued under the Amended EPFA are being offered and sold by the Company in a transaction that is exempt from the registration requirements of the Securities Act, in reliance on Section 4(a)(2) of the Securities Act and the rules promulgated thereunder.”

Stellus Private Credit BDC issued 981,034 common shares of beneficial interest of common stock to investors for $15,000,000.

“On September 15, 2025, Stellus Private Credit BDC (the “Company”) delivered a capital drawdown notice to its investors relating to the sale of 981,034 common shares of beneficial interest (the “Shares”) of the Company for an aggregate offering price of $15,000,000.”

Adapti, Inc. issued $181,818 principal amount of convertible note to Jeff Campbell for $150,000 in cash.

“On September 15, 2025, Adapti, Inc. (“Company”) issued a 17.5% Original Issue Discount Senior Convertible Promissory Note (the “Note”) in the principal amount of $181,818 (“Principal Amount”) in exchange for $150,000 in cash. The Note was issued to Jeff Campbell, the Company’s executive chairman, and an accredited investor.”

Oscar Health, Inc. issued a maximum of 21,889,982 shares of the Company's class A common stock may be issued upon conversion of the Notes of convertible note to initial purchasers for $410,000,000 aggregate principal amount of 2.25% Convertible Senior Subordinated Notes due 2030, net proceeds approximately $395.8 million.

“accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ Item 1.01. Entry Into a Material Definitive Agreement. Indenture and Notes On September 18, 2025, Oscar Health, Inc. (the “ Company ”) issued $410,000,000 aggregate principal amount of its 2.25% Convertible Senior Subordinated Notes due 2030 (the “ Notes ”). The Notes were”

Solana Co issued stapled warrants to purchase 10,994,199 shares of Common Stock of warrant to accredited investors for $10.134 per underlying Share.

“(ii) stapled warrants (the “Cryptocurrency Stapled Warrants” and together with the Cryptocurrency Pre-Funded Warrants, the “Cryptocurrency Warrants”) to purchase 10,994,199 shares of Common Stock at an exercise price of $10.134 per underlying Share of Common”

Solana Co issued pre-funded warrants to purchase 10,994,199 shares of Common Stock of warrant to accredited investors for $6.880.

“(i) pre-funded warrants (the “Cryptocurrency Pre-Funded Warrants”) to purchase 10,994,199 shares of Common Stock at an offering price of $6.880”

Solana Co issued stapled warrants to purchase 62,946,990 shares of Common Stock of warrant to accredited investors for $10.134 per underlying share.

“(iii) stapled warrants (the “Cash Stapled Warrants”) to purchase 62,946,990 shares of Common Stock at an exercise price of $10.134 per underlying share of Common Stock”

Solana Co issued pre-funded warrants to purchase 25,121,713 shares of Common Stock of warrant to accredited investors for $6.880 per underlying share.

“(ii) pre-funded warrants (the “Cash Pre-Funded Warrants”) to purchase 25,121,713 shares of Common Stock at an offering price of $6.880 per underlying share of Common Stock”

Solana Co issued 37,825,277 shares of common stock to accredited investors for $6.881 per share.

“the Company, in a private placement (the “Cash Offering”), agreed to issue and sell to the Cash Purchasers an aggregate of (i) 37,825,277 shares of Class A common stock of the Company, par value $0.001 per share (the “Common Stock”) at an offering price of $6.881 per share”

Decoy Therapeutics Inc. issued preferred stock.

“On September 17, 2025, the Company entered into a Fifth Amendment to Agreement and Plan of Merger (the “Fifth Amendment”) to modify the conversion terms of the Company’s form of Certificate of Designations of Series A Non-Voting Convertible Preferred Stock (“Series A Preferred Stock”) and Series B Non-Voting Convertible Preferred Stock (“Series B Preferred Stock”, and together with the Series A Preferred Stock, the “Preferred Stock”)”

Super League Enterprise, Inc. issued Up to an aggregate of 16,426 shares of Series B Preferred of preferred stock to certain holders of the Company’s preferred stock.

“On September 12, 2025, Super League Enterprise, Inc. (the “ Company ”) entered into an Amended & Restated Exchange Agreement, Consent and Waiver (the “ Exchange Agreements ”) with certain holders (the “ Preferred Stockholders ”) of the Company’s preferred stock, par value $0.001 per share (“ Preferred Stock ”), pursuant to which the Company and the Preferred Stockholders agreed that in exchange for the shares of Preferred Stock held by the Preferred Stockholder, the Preferred Stockholder would be granted shares of the Company’s newly issued Series B Convertible Preferred Stock, par value $0.001 per share (“ Series B Preferred ”, and the exchange of Preferred Stock for Series B Preferred, the “ Exchange ”). Up to an aggregate of 16,426 shares of Series B Preferred will be issued pursuant to the Exchange Agreements.”

ALPHATIME ACQUISITION CORP issued warrants to purchase up to 2,300,000 ordinary shares of warrant to certain accredited investors for exercise price of $10.00 per share.

“The SPA provides for the sale of an aggregate of 1,150,000 ordinary shares at a purchase price of $10.00 per share and warrants to purchase up to 2,300,000 ordinary shares at an exercise price of $10.00 per share, subject to adjustment as set forth in the PIPE Warrants.”

ALPHATIME ACQUISITION CORP issued 1,150,000 ordinary shares of common stock to certain accredited investors for $10.00 per share.

““Business Combination”) with HCYC Group Company Limited and related parties. The SPA provides for the sale of an aggregate of 1,150,000 ordinary shares at a purchase price of $10.00 per share and warrants to purchase up to 2,300,000 ordinary shares at an exercise price of $10.00 per share, subject to adjustment as set forth in the PIPE Warrants. The PIPE”

New Mountain Guardian IV BDC, L.L.C. issued 6,039,480 of the Company's units of unit to the Company's investors for $60,394,800, at a price per Unit equal to $10.00.

“On September 16, 2025, New Mountain Guardian IV BDC, L.L.C. (the “ Company ”) delivered a capital drawdown notice to its investors relating to the sale of 6,039,480 of the Company’s units (the “ Units ”) for an aggregate offering price of $60,394,800, at a price per Unit equal to $10.00.”

New Mountain Guardian IV Income Fund, L.L.C. issued 4,099,240 units of unit to accredited investors for $10.00 per Unit.

“On September 16, 2025, New Mountain Guardian IV Income Fund, L.L.C. (the “ Company ”) delivered a capital drawdown notice to its investors relating to the sale of 4,099,240 of the Company’s units (the “ Units ”) for an aggregate offering price of $40,992,400, at a price per Unit equal to $10.00.”

Chenghe Acquisition III Co. issued 408,000 Units of unit to the Co-Sponsors and the Underwriter for $10.00 per Private Placement Unit.

“the Company completed the private sale of an aggregate of 408,000 Units (the “Private Placement Units”) to the Co-Sponsors and the Underwriter at a purchase price of $10.00 per Private Placement Unit, generating gross proceeds to the Company of $4,080,000.”

INTEL CORP issued 214,776,632 shares of common stock to NVIDIA Corporation for $23.28 per share, representing an aggregate purchase price in cash of $5.0 billion.

“On September 15, 2025, Intel Corporation (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with NVIDIA Corporation (“NVIDIA”) pursuant to which NVIDIA agreed to purchase 214,776,632 shares of the Company’s common stock, par value $0.001 per share (the “Shares”), at $23.28 per share, representing an aggregate purchase price in cash of $5.0 billion.”

NextTrip, Inc. issued 47,803 restricted shares of Series Q Preferred Stock of preferred stock to Carmen Diges and Stephen Kircher for aggregate of $152,970 in existing unsecured promissory notes, $3.20 per share.

“into an aggregate of 47,803 restricted shares of Series Q Preferred Stock of the Company at a purchase price of $3.20 per share. The Conversion was retroactive to September 3, 2025.”

Enveric Biosciences, Inc. issued up to 2,424,998 shares of Common Stock of warrant to certain institutional investors (the "Holders") for aggregate gross proceeds of approximately $2.2 million from the exercise of the Existing Warrants by the Holders, before deducing placement agent fees.

“(the “New Series D Warrant Shares” and, together with the New Series C Warrant Shares, the “New Warrant Shares.”) The Company received aggregate gross proceeds of approximately $2.2 million from the exercise of the Existing Warrants by the Holders, before deducing placement agent fees and other offering expenses payable by the Company. The Company engaged H.C.”

Aspira Women's Health Inc. issued up to 4,912,500 shares of warrant to accredited and institutional investors for $0.45 per share of Common Stock and accompanying warrants.

“stock, par value $0.001 (the “Common Stock”) and (ii) warrants (the “Common Warrants”) to purchase up to 4,912,500 shares of the Company’s Common Stock, at a purchase price of $0.45 per share of Common Stock and accompanying warrants. The Common Warrants are exercisable immediately upon issuance at an exercise price of $0.75 per share and have a term of”

Aspira Women's Health Inc. issued 6,550,000 shares of common stock to accredited and institutional investors for $0.45 per share.

“stock, par value $0.001 (the “Common Stock”) and (ii) warrants (the “Common Warrants”) to purchase up to 4,912,500 shares of the Company’s Common Stock, at a purchase price of $0.45 per share of Common Stock and accompanying warrants. The Common Warrants are exercisable immediately upon issuance at an exercise price of $0.75 per share and have a term of”

KUSTOM ENTERTAINMENT, INC. issued common stock to ELOC Investor.

“the ELOC Investor has committed to purchase, at the Company's direction in its sole discretion, up to an aggregate of $25,000,000 (the "Total Commitment") of the shares of the Company's Common Stock”

KUSTOM ENTERTAINMENT, INC. issued exercisable for an aggregate 476,569 shares of warrant to the Purchaser for exercise price of $2.124 per share.

“The Warrants are exercisable for an aggregate 476,569 shares at an exercise price of $2.124 per share of the Company's common stock”

KUSTOM ENTERTAINMENT, INC. issued convertible note to the Purchaser for aggregate original principal amount of $806,451.61.

“At the First Closing, the Company issued and sold to the Purchaser Senior Secured Convertible Notes in the aggregate original principal amount of $806,451.61 (the "Notes")”

PRECIGEN, INC. issued 54,937,411 shares of common stock of common stock.

“On September 15, 2025, the holders of Precigen, Inc.’s (the “Company’s” and “our”) 8.00% Series A Convertible Perpetual Preferred Stock (“Preferred Stock”) converted 79,000 shares of Preferred Stock (with an aggregate stated value of $79,000,000) into 54,937,411 shares of common stock of the Company, which were delivered to such holders on September 17, 2025”

Wheeler Real Estate Investment Trust, Inc. issued 253,000 shares of common stock to two unaffiliated holders of the Company’s securities (together, the “Investors”).

“On September 16, 2025, Wheeler Real Estate Investment Trust, Inc. (the “Company”) agreed to issue 253,000 shares of its common stock, $0.01 par value per share (the “Common Stock”) in the aggregate to two unaffiliated holders of the Company’s securities (together, the “Investors”) in separate exchanges for 11,000 shares of the Company’s Series D Cumulative Convertible Preferred Stock (the “Series D Preferred Stock”) and 22,000 shares of the Company's Series B Convertible Preferred Stock (the “Series B Preferred Stock” and, together with the Series D Preferred Stock, the “Preferred Stock”) in the aggregate.”

NewtekOne, Inc. issued 2,307,692 shares of common stock to Patriot Financial Partners IV, L.P. and Patriot Financial Partners Parallel IV, L.P. (together, "Patriot") for 20,000 outstanding shares of the Company’s Series A Convertible Preferred Stock ... and $10 million in cash.

“On September 16, 2025, NewtekOne, Inc., Maryland corporation (the “Company”), entered into a Securities Purchase and Exchange Agreement (the “Purchase and Exchange Agreement”) with Patriot Financial Partners IV, L.P. and Patriot Financial Partners Parallel IV, L.P. (together, “Patriot”). Pursuant to the Purchase and Exchange Agreement, Patriot and the Company agreed that in exchange (the “Exchange”) for (i) all of the 20,000 outstanding shares of the Company’s Series A Convertible Preferred Stock, par value $0.02 per share (the “Series A Preferred Stock”) originally issued to Patriot for an aggregate purchase price of $20 million (the “Original Transaction”) and (ii) $10 million in cash, the Company will issue to Patriot 2,307,692 shares (the “Shares”) of the Company’s common stock, par value $0.02 per share (“Common Stock”).”