Equity Issuances

Legence Corp. issued 28,844,369 shares of Class A Common Stock of common stock to Legence Parent II LLC.

“the Company issued (i) 178,571 shares of Class A Common Stock and 46,680,762 shares of its Class B common stock, par value $0.01 per share (the “Class B Common Stock”), to Legence Parent LLC (“Legence Parent”), and (ii) 28,844,369 shares of Class A Common Stock to Legence Parent II LLC.”

Legence Corp. issued 178,571 shares of Class A Common Stock and 46,680,762 shares of its Class B common stock of common stock to Legence Parent LLC.

“the Company issued (i) 178,571 shares of Class A Common Stock and 46,680,762 shares of its Class B common stock, par value $0.01 per share (the “Class B Common Stock”), to Legence Parent LLC (“Legence Parent”), and (ii) 28,844,369 shares of Class A Common Stock to Legence Parent II LLC.”

Gemini Space Station, Inc. issued 1,904,761 shares of Class A common stock of common stock to Nasdaq, Inc. for $26.25 per share.

“the Company closed the sale of an aggregate of 1,904,761 shares of Class A common stock to Nasdaq, Inc., at $26.25 per share, pursuant to a private placement (the “Concurrent Private Placement”) exempt from registration under Section 4(a)(2) of the Securities Act of 1933, as amended.”

TEAM INC issued 75,000 shares of Series B Preferred Stock, plus initial warrants for 982,371 and 470,889 shares of common stock of preferred stock to InspectionTech Holdings LP (Stellex) for $75.0 million total consideration.

“B Warrants,” and such Tranche B Warrants, the “Initial Tranche B Warrants” and, together with the Initial Tranche A Warrants, the “Initial Warrants”), for total consideration of $75.0 million. The closing of the payment and the issuance of the Initial Preferred Shares and the Initial Warrants (the “Initial Equity Issuance”) occurred simultaneously with the signing of”

NextTrip, Inc. issued 81,250 restricted shares of preferred stock to certain accredited investors for $3.20 per share.

“the Company issued and sold an aggregate of 81,250 restricted shares of newly designated Series Q Nonvoting Convertible Preferred Stock of the Company (the “Series Q Preferred”), (the “Series Q Offering”) at a purchase price of $3.20 per share.”

LIGHTPATH TECHNOLOGIES INC issued 1,600,000 shares of Class A Common Stock of common stock to Unusual Machines, Inc. and Ondas Holdings Inc. (collectively, the Buyers) for $5.00 per share.

“On September 15, 2025, LightPath Technologies, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Securities Purchase Agreement”) with Unusual Machines, Inc., a Nevada corporation (“Unusual Machines”), and Ondas Holdings Inc., a Nevada corporation (“Ondas,” together with Unusual Machines, the “Buyers”), pursuant to which the Buyers have agreed to purchase from the Company an aggregate of 1,600,000 shares of Class A Common Stock, par value $0.01 per share (the “Securities”) at a purchase price of $5.00 per share (the “Private Placement”).”

Applied Digital Corp. issued preferred stock to the investors signatory to the PEPA for increase the aggregate commitment amount ... from $300 million to $450 million.

“other things, increase the aggregate commitment amount of the shares of Series G Convertible Preferred Stock, par value $0.001 per share (the “Series G Preferred Stock”) from $300 million to $450 million. The foregoing description of the Amendment is qualified in its entirety by reference to the full text of the Amendment, a form of which is attached hereto as”

PREAXIA HEALTH CARE PAYMENT SYSTEMS INC. issued 800,000 shares of common stock for $0.25 or $200,000.

“On August 20, 2025, the Company sold 800,000 shares of PreAxia common stock at $0.25 or $200,000 in a private sale.”

PREAXIA HEALTH CARE PAYMENT SYSTEMS INC. issued 15,255,770 shares of common stock to president for $1,525,577 in convertible debt.

“On June 30, 2025, the Company president converted $1,525,577 in convertible to debt to 15,255,770 shares of common stock at $0.10 per share.”

INVO Fertility, Inc. issued 200 shares of C-2 Preferred of preferred stock to an institutional investor and existing holder (the “Holder”) for $200,000 in cash.

“to acquire 200 shares of C-2 Preferred, with an aggregate stated value of $200,000, for $200,000 in cash.”

Glucotrack, Inc. issued $3,600,000 principal amount of convertible note to the Investor for $3,000,000 purchase price.

“On September 12, 2025 (the “ Issue Date ”), Glucotrack, Inc. (the “ Company ”) entered into a Note Purchase Agreement (the “ Note Purchase Agreement ”), with an investor (the “ Investor ”), pursuant to which the Company issued a Convertible Promissory Note (the “ Note ”) to the Investor in the principal amount of $3,600,000 for a purchase price of $3,000,000.”

Wheeler Real Estate Investment Trust, Inc. issued 1,008,000 shares of common stock to two unaffiliated holders (September 11 Investors) for exchange for 42,000 shares of Series D Preferred Stock and 84,000 shares of Series B Preferred Stock; no cash proceeds.

“On September 11, 2025, the Company agreed to issue an aggregate amount of 1,008,000 shares of Common Stock to two unaffiliated holders of the Company’s securities (together, the “September 11 Investors”) in separate exchanges for an aggregate amount of 42,000 shares of the Series D Preferred Stock and 84,000 shares of the Series B Preferred Stock.”

Wheeler Real Estate Investment Trust, Inc. issued 365,000 shares of common stock to two unaffiliated holders (September 9 Investors) for exchange for 14,600 shares of Series D Preferred Stock and 29,200 shares of Series B Preferred Stock; no cash proceeds.

“On September 9, 2025, Wheeler Real Estate Investment Trust, Inc. (the “Company”) agreed to issue an aggregate amount of 365,000 shares of its common stock, $0.01 par value per share (the “Common Stock”), to two unaffiliated holders of the Company’s securities (together, the “September 9 Investors”) in separate exchanges for an aggregate amount of 14,600 shares of the Company’s Series D Cumulative Convertible Preferred Stock (the “Series D Preferred Stock”) and 29,200 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”).”

Mediaco Holding Inc. issued 28,205,938 shares of common stock to SLF LBI Aggregator, LLC for $0.00001 per share.

“On September 8, 2025, MediaCo Holding Inc. (the “Company”) issued 28,205,938 shares of Class A Common Stock of the Company (“MediaCo Class A Common Stock”), par value $0.01 per share, at an exercise price of $0.00001, pursuant to that certain Warrant, dated as of April 17, 2024, by and between the Company and SLF LBI Aggregator, LLC.”

Planet Labs PBC issued convertible note to Barclays Capital Inc. and Goldman Sachs & Co. LLC, as representatives of the several initial purchasers for $400 million in aggregate principal amount.

“Capital Inc. and Goldman Sachs & Co. LLC, as representatives of the several initial purchasers named therein (collectively, the “Initial Purchasers”), to issue and sell $400 million in aggregate principal amount of the Notes. In addition, the Company granted the Initial Purchasers an option to purchase up to an additional $60 million in aggregate principal”

EON Resources Inc. issued common stock.

“The Company issued such shares of Class A Common Stock in reliance upon the exemption from registration provided by Section 4(a)(2) of the Securities Act of 1933, as amended (the "Securities Act"), Rule 506(b) of Regulation D promulgated thereunder, and/or Section 3(a)(9) of the Securities Act.”

C2 Blockchain, Inc. issued 3,000,000 shares of common stock to an accredited investor for $0.025 per share, for gross proceeds of $75,000.

“On or about August 27, 2025, the Company entered into a subscription agreement with an accredited investor pursuant to which it issued 3,000,000 shares of its restricted common stock at a purchase price of $0.025 per share, for gross proceeds of $75,000.”

C2 Blockchain, Inc. issued 10,000,000 shares of common stock to an accredited investor for $0.01 per share, for gross proceeds of $100,000.

“On or about August 25, 2025, the Company entered into a subscription agreement with an accredited investor pursuant to which it issued 10,000,000 shares of its restricted common stock at a purchase price of $0.01 per share, for gross proceeds of $100,000.”

C2 Blockchain, Inc. issued 3,333,333 shares of common stock to an accredited investor for $0.03 per share, for gross proceeds of $100,000.

“On or about August 18, 2025, the Company entered into a subscription agreement with an accredited investor pursuant to which it issued 3,333,333 shares of its restricted common stock at a purchase price of $0.03 per share, for gross proceeds of $100,000.”

DIH HOLDING US, INC. issued common stock.

“On September 10, 2025, the Board of Directors of DIH Holding US, Inc. (the “Company”), approved an amendment to Section 1.5 Company’s By-Laws to change the quorum from a majority of the shares outstanding to one-third of the shares outstanding.”

Golub Capital Direct Lending Unlevered Corp issued 936,111.933 shares of common stock to accredited investors (stockholders) for $14.04 million.

“On September 9, 2025, Golub Capital Direct Lending Unlevered Corporation (the “Company”) delivered a capital drawdown notice to its stockholders relating to the sale of 936,111.933 shares of the Company's common stock, par value $0.001 per share (the “Common Stock”), for an aggregate offering price of $14.04 million.”

Golub Capital BDC 4, Inc. issued 4,511,253.866 shares of common stock for aggregate offering price of $67.67 million.

“On September 9, 2025, Golub Capital BDC 4, Inc. (the “Company”) delivered a capital drawdown notice to its stockholders relating to the sale of 4,511,253.866 shares of the Company's common stock, par value $0.001 per share (the “Common Stock”), for an aggregate offering price of $67.67 million.”

Falcon's Beyond Global, Inc. issued 5,747,742 shares of Series B Preferred Stock of preferred stock to certain accredited investors, including Infinite Acquisitions Partners LLC and Gino P. Lucadamo for aggregate of approximately $8.2 million in cash and the exchange and forgiveness of an aggregate of $20.5 million of outstanding indebtedness.

“the exchange of outstanding indebtedness. Upon the closing of the transactions contemplated by the Subscription Agreements, the Company received an aggregate of approximately $8.2 million in cash and the exchange and forgiveness of an aggregate of $20.5 million of outstanding indebtedness (as described in more detail below). The foregoing description of the”

VisionWave Holdings, Inc. issued convertible note to YA II PN, Ltd. for purchase price for the New Note will be $1,880,000.

“condition precedent set forth in the SEPA relating to the effectiveness of a registration statement for the Second Pre-Paid Advance. The purchase price for the Second Note is $1,880,000 (94% of the principal amount, reflecting a 6% discount). In addition, pursuant to the Letter Agreement, the Investor agreed to fund an additional $2,000,000 in principal amount”

Talon Capital Corp. issued 779,000 Private Placement Units (530,000 to Sponsor and 249,000 to Representative) of unit to Sponsor and Representative for $10.00 per Private Placement Unit, gross proceeds of $7,790,000.

“On September 10, 2025, simultaneously with the consummation of the Offering, the Company consummated the private placement of 530,000 units to the Sponsor and 249,000 units to the Representative (collectively, the “Private Placement Units”) at a price of $10.00 per Private Placement Unit, generating gross proceeds of $7,790,000 (the “Private Placement”).”

CarParts.com, Inc. issued convertible note to Axislink Holding B.V. and Lovely Peach Limited for an aggregate principal amount of $25,000,000.

“at the Closing, the Company issued Convertible Notes to Axislink and Lovely Peach in an aggregate principal amount of $25,000,000.”

CarParts.com, Inc. issued an aggregate of 10,319,727 shares of common stock of common stock to International Auto Parts (Cayman) Limited, Axislink Holding B.V., and Lovely Peach Limited for $1.04 per share, which represents an aggregate purchase price of $10,732,516.08.

“of an aggregate of 10,319,727 shares of common stock, par value $0.001 per share, of the Company (the “Company Common Stock” and the shares to be purchased, the “Shares”) for $1.04 per share, which represents an aggregate purchase price of $10,732,516.08; and (ii) to certain of the Purchasers, of convertible notes in an aggregate principal amount of”

SELLAS Life Sciences Group, Inc. issued up to 19,685,040 shares of Common Stock of warrant to a holder for in consideration of the Holder’s agreement to exercise the Existing Warrants.

“Pursuant to the Inducement Agreement, the Holder and the Company agreed that, subject to any applicable beneficial ownership limitations, the Holder would cash exercise 19,685,040 shares of Common Stock at an exercise price of $1.20 per share”

Glucotrack, Inc. issued common stock to Sixth Borough Capital Fund, LP for up to $20.0 million of the Company’s common stock.

“On September 11, 2025, Glucotrack, Inc. (the “ Company ”) entered into a purchase agreement (the “ Purchase Agreement ”) and a registration rights agreement (the “ Registration Rights Agreement ”), with Sixth Borough Capital Fund, LP (the “ Investor ”), pursuant to which the Investor has committed to purchase up to $20.0 million of the Company’s common stock, par value $0.001 per share (the “ Common Stock ”)”

Norwegian Cruise Line Holdings Ltd. issued $1,407.0 million aggregate principal amount of 0.750% exchangeable senior notes due 2030 of convertible note to initial purchasers for gross proceeds of $1,407.0 million.

“On September 11, 2025, NCL Corporation Ltd. (“NCLC”), a subsidiary of Norwegian Cruise Line Holdings Ltd. (“NCLH”), closed its previously announced private offering (the “Exchangeable Notes Offering”) of $1,407.0 million aggregate principal amount of 0.750% exchangeable senior notes due 2030 (the “Exchangeable Notes”)”

Energous Corp issued an aggregate of 47,764 shares of Common Stock of warrant to the Investor for aggregate gross proceeds to the Company of approximately $364,000.

“and the 34,014 warrants issued in February 2024 were exercised at a reduced exercise price of $7.92 per share for aggregate gross proceeds to the Company of approximately $364,000. As consideration for the exercise of the Original Warrants for cash, the Company issued new unregistered warrants (the “New Warrants”) to purchase up to an aggregate of 47,764”

Energous Corp issued up to an aggregate of 40,974 shares of Common Stock of warrant to the Placement Agents or their respective designees.

“the Company, in connection with the closing of the Offering, agreed to issue to the Placement Agents or their respective designees warrants (the “Registered Direct Offering Placement Agent Warrants”) to purchase up to an aggregate of 40,974 shares of Common Stock”

Energous Corp issued warrants to purchase up to an aggregate of 585,347 shares of Common Stock of warrant to an institutional investor for combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant.

“shares of Common Stock (the “Warrants”). Each share of Common Stock and Pre-Funded Warrant is being offered and sold together with an accompanying Warrant at a combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant, as applicable. Each Pre-Funded Warrant and Warrant is exercisable at any time on or after the date of”

Energous Corp issued pre-funded warrants to purchase up to 465,347 shares of Common Stock of warrant to an institutional investor for combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant.

“shares of Common Stock (the “Warrants”). Each share of Common Stock and Pre-Funded Warrant is being offered and sold together with an accompanying Warrant at a combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant, as applicable. Each Pre-Funded Warrant and Warrant is exercisable at any time on or after the date of”

Energous Corp issued 120,000 shares of common stock to an institutional investor for combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant.

“shares of Common Stock (the “Warrants”). Each share of Common Stock and Pre-Funded Warrant is being offered and sold together with an accompanying Warrant at a combined price of $7.92 per share of Common Stock or Pre-Funded Warrant and accompanying Warrant, as applicable. Each Pre-Funded Warrant and Warrant is exercisable at any time on or after the date of”

Jaguar Health, Inc. issued an aggregate of approximately 951 shares (the "Preferred Shares") of Series N Perpetual Preferred Stock of preferred stock to certain investors named therein (collectively, the "Purchasers") for aggregate purchase price of approximately $2.38 million.

“Shares”) of Series N Perpetual Preferred Stock, par value $0.0001 per share, of the Company (“Series N Preferred Stock”), for an aggregate purchase price of approximately $2.38 million (the “Private Placement”). The Private Placement closed on September 10, 2025, subject to customary closing conditions as set forth in the PIPE Purchase Agreements. The Company”

ExchangeRight Income Fund issued 9,269 of its Class ER-A Common Shares of common stock to accredited investors for $268,000 gross proceeds.

“thereunder. The following table details the shares sold: Number of Gross Share Class Shares Sold Proceeds Class D Common Shares 3,681 $ 100,000 Class ER-A Common Shares 9,269 $ 268,000 * *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”

ExchangeRight Income Fund issued 3,681 of its Class D Common Shares of common stock to accredited investors for $100,000 gross proceeds.

“Rule 506(c) of Regulation D promulgated thereunder. The following table details the shares sold: Number of Gross Share Class Shares Sold Proceeds Class D Common Shares 3,681 $ 100,000 Class ER-A Common Shares 9,269 $ 268,000 * *Includes selling commissions as described above. Forward-Looking Statements Certain statements contained in this Current Report on Form”

Momentus Inc. issued up to 2,000,000 shares of Common Stock of warrant to Space Infrastructures Ventures, LLC.

“the Company issued to SIV warrants to purchase up to 2,000,000 shares of Common Stock at an exercise price of $1.11.”

Opendoor Technologies Inc. issued 150,375 shares of Common Stock of common stock to certain other purchasers for aggregate investment of $1 million.

“On September 10, 2025, Opendoor Technologies Inc. (the “ Company ”) entered into Stock Purchase Agreements with Khosla Ventures Opportunity III, LP (the “ Khosla Ventures Purchase Agreement ”), Eric Wu (the “ Eric Wu Purchase Agreement ”) and certain other purchasers (the “ Other Purchase Agreements ” and together with the Khosla Ventures Purchase Agreement and the Eric Wu Purchase Agreement, the “ Purchase Agreements ”). Pursuant to the terms of the Purchase Agreements, Khosla Ventures Opportunity III, LP agreed to purchase 5,263,158 shares of common stock of the Company, par value of $0.0001 per share (the “ Common Stock ”) for an aggregate investment of $35 million in a private offering, Eric Wu agreed to purchase 751,879 shares of Common Stock for an aggregate investment of $5 million in a private offering, and certain other purchasers agreed to purchase 150,375 shares of Common Stock for an aggregate investment of $1 million in a private offering (collectively, the “ PIPE Transact”

Opendoor Technologies Inc. issued 751,879 shares of Common Stock of common stock to Eric Wu for aggregate investment of $5 million.

“On September 10, 2025, Opendoor Technologies Inc. (the “ Company ”) entered into Stock Purchase Agreements with Khosla Ventures Opportunity III, LP (the “ Khosla Ventures Purchase Agreement ”), Eric Wu (the “ Eric Wu Purchase Agreement ”) and certain other purchasers (the “ Other Purchase Agreements ” and together with the Khosla Ventures Purchase Agreement and the Eric Wu Purchase Agreement, the “ Purchase Agreements ”). Pursuant to the terms of the Purchase Agreements, Khosla Ventures Opportunity III, LP agreed to purchase 5,263,158 shares of common stock of the Company, par value of $0.0001 per share (the “ Common Stock ”) for an aggregate investment of $35 million in a private offering, Eric Wu agreed to purchase 751,879 shares of Common Stock for an aggregate investment of $5 million in a private offering, and certain other purchasers agreed to purchase 150,375 shares of Common Stock for an aggregate investment of $1 million in a private offering (collectively, the “ PIPE Transact”

Opendoor Technologies Inc. issued 5,263,158 shares of Common Stock of common stock to Khosla Ventures Opportunity III, LP for aggregate investment of $35 million.

“On September 10, 2025, Opendoor Technologies Inc. (the “ Company ”) entered into Stock Purchase Agreements with Khosla Ventures Opportunity III, LP (the “ Khosla Ventures Purchase Agreement ”), Eric Wu (the “ Eric Wu Purchase Agreement ”) and certain other purchasers (the “ Other Purchase Agreements ” and together with the Khosla Ventures Purchase Agreement and the Eric Wu Purchase Agreement, the “ Purchase Agreements ”). Pursuant to the terms of the Purchase Agreements, Khosla Ventures Opportunity III, LP agreed to purchase 5,263,158 shares of common stock of the Company, par value of $0.0001 per share (the “ Common Stock ”) for an aggregate investment of $35 million in a private offering, Eric Wu agreed to purchase 751,879 shares of Common Stock for an aggregate investment of $5 million in a private offering, and certain other purchasers agreed to purchase 150,375 shares of Common Stock for an aggregate investment of $1 million in a private offering (collectively, the “ PIPE Transact”

FiscalNote Holdings, Inc. issued convertible note to YA II PN, Ltd. for $12.3 million.

“the Company agreed to issue the Investor, in two tranches, convertible debentures in an aggregate principal amount of approximately $33 million (collectively, the “ Debentures ”). The second tranche of the Debentures was issued, in the amount of $12.3 million (the “ Second Debenture ”), on September 11, 2025.”

Maze Therapeutics, Inc. issued up to an aggregate of 5,231,090 shares of Common Stock of warrant to certain institutional and accredited investors for $16.249 per Pre-Funded Warrant.

“Placement ”) an aggregate of (i) 4,000,002 shares (the “ Shares ”) of the Company’s common stock, par value $0.001 per share (the “ Common Stock ”), at a purchase price of $16.25 per share and (ii) in lieu of shares of Common Stock for certain Investors, pre-funded warrants (the “ Pre-Funded Warrants ”) to purchase up to an aggregate of 5,231,090 shares of”

Maze Therapeutics, Inc. issued 4,000,002 shares of common stock to certain institutional and accredited investors for $16.25 per share.

“Placement ”) an aggregate of (i) 4,000,002 shares (the “ Shares ”) of the Company’s common stock, par value $0.001 per share (the “ Common Stock ”), at a purchase price of $16.25 per share and (ii) in lieu of shares of Common Stock for certain Investors, pre-funded warrants (the “ Pre-Funded Warrants ”) to purchase up to an aggregate of 5,231,090 shares of”

Trailblazer Acquisition Corp. issued 4,533,333 warrants of warrant to the Sponsor and the Representative for $1.50 per Private Placement Warrant, or $6,800,000 in the aggregate.

“Simultaneously with the closing of the IPO, pursuant to the Sponsor Private Placement Warrants Purchase Agreement and the Representative’s Private Placement Warrants Purchase Agreement, the Company completed the private sale of an aggregate of 4,533,333 warrants (the “ Private Placement Warrants ”) to the Sponsor and the Representative, with each Private Placement Warrant exercisable to purchase one Class A ordinary share at $11.50 per share, at a price of $1.50 per Private Placement Warrant, or $6,800,000 in the aggregate.”

HUNTINGTON BANCSHARES INC /MD/ issued 750,000 depositary shares of preferred stock.

“On September 10, 2025, Huntington Bancshares Incorporated, a Maryland corporation (the “Corporation”), filed articles supplementary to its charter (the “Articles Supplementary”) with the State Department of Assessments and Taxation of Maryland (the “Maryland Department”), establishing the rights, preferences, privileges, qualifications, restrictions and limitations of a new series of its serial preferred stock designated as the “6.250% Series K Non-Cumulative Perpetual Preferred Stock” with par value of $0.01 per share and liquidation preference of $100,000 per share (the “Series K Preferred Stock”). The Articles Supplementary were accepted for record on September 10, 2025, and became effective on September 10, 2025.”

Totaligent, Inc. issued five million (5,000,000) shares of restricted common stock of common stock to 247MarketNews/247MarketNews.com for investor relations and public relations services.

“the Company agreed to issue to the Consultant five million (5,000,000) shares of restricted common stock of the Company”

Bank of New York Mellon Corp issued preferred stock for $100,000 per share.

“Upon issuance of the Series L Noncumulative Perpetual Preferred Stock, liquidation preference $100,000 per share, par value $0.01 per share (the “Series L Preferred Stock”) by The Bank of New York Mellon Corporation (the “Registrant”) on September 10, 2025, the ability of the Registrant to declare or pay dividends on, or purchase, redeem or otherwise acquire, shares of its common stock or any shares of the Registrant that rank junior to the Series L Preferred Stock will be subject to certain restrictions”

TALPHERA, INC. issued 5,845,455 shares of common stock of warrant to CorMedix Inc. and several institutional investors for $0.549 per share.

“Pre-funded warrants to purchase up to an aggregate of 5,845,455 shares of common stock at a purchase price of $0.549 per share and an exercise price of $0.001 per share.”