Governance Changes

ARK RESTAURANTS CORP: Amended and restated Bylaws to update procedural requirements for director nominations and shareholder proposals, incorporating Universal Proxy Rules compliance, updated information requirements, proxy card color restriction, and revised notice period from 50 to 60 days (effective 2024-01-23).

“On January 23, 2024, the Board of Directors of Ark Restaurants Corp. (the "Company") approved the Company's Amended and Restated Bylaws (the "A&R Bylaws"), effective as of such date.”

WELLS FARGO & COMPANY/MN: On January 23, 2024, the Board of Directors approved and adopted amended By-Laws effective February 1, 2024, to clarify and reduce the scope of certain defined terms and other provisions relating to stockholder notices of director nominations, and to designate exclusive forum provisions for certain (effective 2024-02-01).

“On January 23, 2024, the Board of Directors (the “ Board ”) of Wells Fargo & Company (the “ Company ”) approved and adopted the Company’s By-Laws (as amended and restated, the “ By-Laws ”), effective February 1, 2024, to clarify and reduce the scope of certain defined terms and other provisions relating to stockholder notices of director nominations and to designate (i) the Court of Chancery of the State of Delaware, or if such court does not have jurisdiction, another state court or a federal court located within the State of Delaware, as the sole and exclusive forum for bringing certain legal actions against the Company, and (ii) the federal district courts of the United States as the sole and exclusive forum for any complaint asserting a cause of action arising under the Securities Act of 1933 or any rule or regulation promulgated thereunder, in each case unless the Corporation consents in writing to the selection of an alternative forum.”

REALTY INCOME CORP: Classified and designated 6,900,000 shares of authorized capital stock as Realty Income Series A Preferred Stock, with dividend, liquidation, redemption, and conversion terms (effective 2024-01-19).

“On January 19, 2024, the Company filed with the State Department of Assessments and Taxation of Maryland Articles Supplementary, also referred to as the Articles Supplementary, to its charter, classifying and designating 6,900,000 of its authorized capital stock as shares Realty Income Series A Preferred Stock.”

JVSPAC Acquisition Corp.: Amended and restated memorandum and articles of association filed in connection with IPO (effective 2024-01-18).

“On January 18, 2024, in connection with the IPO, the Company filed its Amended and Restated Memorandum and Articles of Association, as described in the Registration Statement, with the Registry of Corporate Affairs of British Virgin Islands.”

Newcourt Acquisition Corp: Amendment to Amended and Restated Memorandum and Articles of Association to extend the date to consummate an initial business combination by one month, from January 22, 2024 to February 22, 2024 (effective 2024-01-22).

“At the Extension Meeting, the shareholders of the Company also approved an amendment (the “Extension Amendment”) to the Company’s Amended and Restated Memorandum and Articles of Association, as amended, to extend the date by which the Company must consummate an initial business combination for one (1) month, from January 22, 2024 to February 22, 2024.”

Simply Good Foods Co: Adopted Fourth Amended and Restated Certificate of Incorporation (effective 2024-01-23).

“On January 23, 2024, the Company filed a Fourth Amended and Restated Certificate of Incorporation (the “Restated Certificate”) with the Secretary of State of the State of Delaware to effect the amendments approved by the Company’s stockholders at the Annual Meeting.”

NeueHealth, Inc.: Amended and restated Bylaws to reflect new corporate name NeueHealth, Inc (effective 2024-01-18).

“On January 18, 2024, we filed with the Secretary of State of the State of Delaware a Certificate of Amendment to our Ninth Amended and Restated Certificate of Incorporation to change our corporate name from Bright Health Group, Inc. to NeueHealth, Inc. A copy of the Certificate of Amendment to the Ninth Amended and Restated Certificate of Incorporation is attached as Exhibit 3.1 hereto and incorporated by reference. In connection with our name change, our board of directors amended and restated our Bylaws to reflect the corporate name NeueHealth, Inc. No other changes were made to our Bylaws.”

NeueHealth, Inc.: Changed corporate name from Bright Health Group, Inc. to NeueHealth, Inc. via Certificate of Amendment (effective 2024-01-18).

“On January 18, 2024, we filed with the Secretary of State of the State of Delaware a Certificate of Amendment to our Ninth Amended and Restated Certificate of Incorporation to change our corporate name from Bright Health Group, Inc. to NeueHealth, Inc. A copy of the Certificate of Amendment to the Ninth Amended and Restated Certificate of Incorporation is attached as Exhibit 3.1 hereto and incorporated by reference. In connection with our name change, our board of directors amended and restated our Bylaws to reflect the corporate name NeueHealth, Inc. No other changes were made to our Bylaws.”

Prospect Floating Rate & Alternative Income Fund, Inc.: Reclassified 12,500,000 authorized but unissued shares of Class T Common Stock as Class S, Class D, and Class I Common Stock (effective 2024-01-23).

“On and effective January 23, 2024, Prospect Floating Rate and Alternative Income Fund, Inc. (the “Company”) filed articles supplementary (the “Articles Supplementary”) with the State Department of Assessments and Taxation of Maryland, reclassifying (i) 12,500,000 authorized but unissued shares of the Company’s Common Stock, par value $0.001 per share (the “Common Stock”), designated as Class T Common Stock as shares of Class S Common Stock (the “Class S Common Stock”); (ii) 12,500,000 authorized but unissued shares of Common Stock designated as Class T Common Stock as shares of Class D Common Stock (the “Class D Common Stock”); and (iii) 12,500,000 authorized but unissued shares of Common Stock designated as Class T Common Stock as shares of Class I Common Stock (the “Class I Common Stock”).”

VISA INC.: Stockholders approved amendments to the Certificate of Incorporation to authorize exchange offers releasing transfer restrictions on Class B common stock, filed and effective on January 24, 2024 (effective 2024-01-24).

“the Company filed a Certificate of Amendment to the Certificate (the “Certificate of Amendment”) incorporating such amendments with the Secretary of State of the State of Delaware on January 24, 2024. The Certificate of Amendment became effective upon filing.”

BELLICUM PHARMACEUTICALS, INC: Amended Article III, Section 8 of bylaws to change quorum requirement to a majority of voting power rather than a majority of outstanding shares (effective 2024-01-24).

“On January 24, 2024, the Board approved the amendment of Article III, Section 8 of the Company’s bylaws to enable the holders of a majority of the voting power of, rather than the majority of, the outstanding shares of stock of the Company entitled to vote at a meeting of stockholders to constitute a quorum for the transaction of business.”

BELLICUM PHARMACEUTICALS, INC: Filed Certificate of Designation for Series A Junior Preferred Stock (Super-Voting Share) (effective 2024-01-24).

“On January 24, 2024, the Company filed a Certificate of Designation of Series A Junior Preferred Stock (the “Certificate of Designation”) with the Secretary of State of the State of Delaware with respect to the Super-Voting Share.”

Creatd, Inc.: Filed certificate of amendment to articles of incorporation to effect a 1-for-500 reverse stock split (effective 2024-01-24).

“On January 22, 2024, Creatd, Inc. (the "Company") filed an amendment (the "Amendment to Articles") to its Amended and Restated Articles of Incorporation which reduced the number of the issued and outstanding shares of common stock, par value $0.001 per share (the "Common Stock") by effecting a reverse stock split at the ratio of 1-for-500 (the "Reverse Stock Split").”

IIOT-OXYS, Inc.: Filed a Certificate of Designation authorizing up to 5,000 shares of Series C Convertible Preferred Stock, establishing rights, preferences and limitations (effective 2024-01-18).

“On January 18, 2024, IIOT-OXYS, Inc., a Nevada corporation (the “ Company ”), filed an amendment to the Company’s Articles of Incorporation (the “ Articles of Incorporation ”), in the form of a Certificate of Designation (the “ Designation ”) that authorized for issuance of up to 5,000 shares of a new series of Preferred Stock, par value $0.001 per share, of the Company designated “Series C Convertible Preferred Stock” and established the rights, preferences and limitations thereof.”

DMK PHARMACEUTICALS Corp: Amended and restated bylaws to change stockholder meeting quorum requirement to presence of holders of at least one-third of voting power and one-third of common stock shares (effective 2024-01-22).

“Effective January 22, 2024, DMK Pharmaceuticals Corporation (the “Company”) amended and restated its Amended and Restated Bylaws (the “Amended and Restated Bylaws”), to provide that, at all meetings of stockholders, the presence, in person, by remote communication, if applicable, or by proxy, of both (i) the holders of at least one-third of the voting power of the capital stock issued and outstanding and entitled to vote on one or more matters to be voted on at the meeting, and (ii) the holders of at least one-third of all issued and outstanding shares of Common Stock entitled to vote, shall constitute a quorum at all meetings of the stockholders for the transaction of business.”

FIRST HORIZON CORP: Amended Section 3.2 to increase Board size from 14 to 15 members until 2024 annual meeting, then reduce to 13 members (effective 2024-01-22).

“the Board of Directors unanimously approved amendments to Section 3.2 of the Bylaws of First Horizon Corporation, effective immediately. As amended, that Section provides that the Board of Directors consists of fifteen members (increased from fourteen) until directors are elected at the 2024 annual meeting of shareholders; after that election, the Board of Directors will consist of thirteen members.”

COMTECH TELECOMMUNICATIONS CORP /DE/: Filed Certificate of Designations to establish terms of Series B Convertible Preferred Stock (effective 2024-01-22).

“On January 22, 2024, the Company filed the Certificate of Designations with the Secretary of State of the State of Delaware to establish the terms, rights, obligations and preferences of the Series B Convertible Preferred Stock.”

Core Scientific, Inc./tx: Filing of Third Amended and Restated Certificate of Incorporation on the Effective Date.

“On the Effective Date, in accordance with the Plan, the Company will file the Third Amended and Restated Certificate of Incorporation (the “ COI ”) with the Secretary of State of the State of Delaware and adopt the Second Amended and Restated Bylaws (the “ Bylaws ”).”

Core Scientific, Inc./tx: Adoption of Second Amended and Restated Bylaws on the Effective Date.

“On the Effective Date, in accordance with the Plan, the Company will file the Third Amended and Restated Certificate of Incorporation (the “ COI ”) with the Secretary of State of the State of Delaware and adopt the Second Amended and Restated Bylaws (the “ Bylaws ”).”

Indaptus Therapeutics, Inc.: Amended and restated bylaws to address universal proxy rules, streamline stockholder nomination procedures, add exclusive forum provision, and make technical changes (effective 2024-01-22).

“On January 22, 2024, the Board of Directors (the “ Board ”) of Indaptus Therapeutics, Inc., a Delaware corporation (the “ Company ”) approved and adopted amendments to the Company’s amended and restated bylaws (as amended, the “ Amended and Restated Bylaws ”), which became effective the same day.”

Clover Leaf Capital Corp.: Extension Amendment extended the deadline to consummate an initial business combination from January 22, 2024 to July 22, 2024 (effective 2024-01-22).

“On January 22, 2024, the Company filed the Extension Amendment with the Secretary of State of the State of Delaware. The Extension Amendment extends the date by which the Company must consummate its Initial Business Combination from January 22, 2024 to July 22, 2024, or such earlier date as determined by the Company’s board of directors.”

HCM Acquisition Corp: Amended articles of association to extend deadline for initial business combination from January 25, 2024 to February 25, 2024, with option for up to two additional monthly extensions to April 25, 2024 (effective 2024-01-23).

“The Extension Amendment changed the date by which HCM must consummate an initial business combination from January 25, 2024 to February 25, 2024, with the option to elect to extend the date to consummate a business combination on a monthly basis for up to two times by an additional month each time after February 25, 2024, without another shareholder vote, upon two days’ advance notice prior to the applicable deadline, for a total of up to three months to April 25, 2024, unless the closing of a business combination shall have occurred.”

DIGIASIA CORP.: Approved NTA amendment to remove net tangible asset requirement from Articles of Association (effective 2024-01-17).

“Shareholders approved the proposal (the “ NTA Amendment Proposal ”) to amend the Articles of Association to remove the net tangible asset requirement in order to expand the methods that the Company may employ so as to not become subject to the “penny stock” rules”

DIGIASIA CORP.: Approved extension amendment to Amended and Restated Memorandum and Articles of Association to allow up to six monthly extensions of the business combination deadline to July 20, 2024 (effective 2024-01-17).

“the Company’s shareholders approved the proposal (the “ Extension Amendment Proposal ”) to amend the Company’s Amended and Restated Memorandum and Articles of Association, as amended on July 19, 2023 (the “ Articles of Association ”) to give the Company the right to extend the date by which it has to consummate a business combination from January 20, 2024 up to 6 times for an additional one (1) month each time up to July 20, 2024”

REVELATION BIOSCIENCES, INC.: Filed Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation to effect a 1-for-30 reverse stock split, effective January 25, 2024 (effective 2024-01-25).

“On January 22, 2024, the Company filed a Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation (the “Certificate of Amendment”) effecting a reverse stock split as of 12:01 a.m. Eastern Standard Time on January 25, 2024 with a ratio of 1-for-30 (the “Reverse Split”).”

Simply Good Foods Co: Filed Fourth Amended and Restated Certificate of Incorporation following stockholder approval at the 2024 annual meeting (effective 2023-01-23).

“On January 23, 2023, the Company filed a Fourth Amended and Restated Certificate of Incorporation (the “Restated Certificate”) with the Secretary of State of the State of Delaware to effect the amendments approved by the Company’s stockholders at the Annual Meeting.”

Mirati Therapeutics, Inc.: Bylaws were amended and restated in their entirety as of the Effective Time to conform to the bylaws of Merger Sub.

“In addition, pursuant to the terms of the Merger Agreement, as of the Effective Time, the Company’s bylaws, as in effect immediately prior to the Effective Time, were amended and restated in their entirety (the “Amended and Restated Bylaws”) to conform to the bylaws of Merger Sub as in effect immediately prior to the Effective Time.”

Mirati Therapeutics, Inc.: Certificate of incorporation was amended and restated in its entirety as of the Effective Time pursuant to the Merger Agreement.

“Pursuant to the terms of the Merger Agreement, as of the Effective Time, the Company’s certificate of incorporation, as in effect immediately prior to the Effective Time, was amended and restated in its entirety (the “Amended and Restated Certificate of Incorporation”).”

EVOME MEDICAL TECHNOLOGIES INC.: Articles amended to reflect corporate name change to Evome Medical Technologies Inc (effective 2024-01-22).

“the Board of Directors amended the Company's Articles to reflect the corporate name Evome Medical Technologies Inc.”

Federal Home Loan Bank of Cincinnati: Board approved amendments to the Bylaws adding exclusive forum provisions for certain actions and clarifying choice of Ohio corporate law does not create additional stockholder rights or subject FHLB to state court jurisdiction (effective 2024-01-18).

“On January 18, 2024, the Board of Directors (the Board) of the Federal Home Loan Bank of Cincinnati (FHLB) approved amendments to the FHLB’s bylaws (Bylaws).”

Applied Digital Corp.: Amended bylaws to add advance notice provision and forum selection provision (effective 2024-01-22).

“On January 22, 2024, the Board of Directors of Applied Digital Corporation (the “Company”) approved and adopted amendments to the Company’s Bylaws (the “Second Amended and Restated Bylaws”). The amendments contained in the Second Amended and Restated Bylaws include, among other things the addition of an advance notice provision and a forum selection provision.”

INSEEGO CORP.: Filed Certificate of Amendment to effect a one-for-ten reverse stock split of common stock (effective 2024-01-23).

“On January 23, 2024, Inseego Corp. (the “Company”) filed a Certificate of Amendment of the Company’s Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware (the “Certificate of Amendment”), which effected, as of 5:00 p.m. Eastern Time on that date (the “Effective Time”), a one-for-ten reverse stock split (the “Reverse Stock Split”) of the Company’s issued and outstanding shares of common stock, $0.001 par value per share (the “Common Stock”).”

PARK NATIONAL CORP /OH/: Amended Code of Business Conduct and Ethics to improve readability, remove duplication, and incorporate current governance best practices, including hiring practices (effective 2024-01-22).

“On January 22, 2024, the Board of Directors (the “Park Board”) of Park approved certain amendments to Park’s Code of Business Conduct and Ethics (the “Code”).”

PPG INDUSTRIES INC: Amended bylaws to include special meeting shareholder right (conditional on shareholder vote), virtual meeting adjournment notice, shareholder list provision, vice president signing authority, federal forum for Securities Act claims, and conforming changes (effective 2024-01-18).

“On January 18, 2024, the Board of Directors of PPG Industries, Inc. (the “Company”) approved the amendments to the Company’s Amended and Restated Bylaws (the “Amended and Restated Bylaws”) described below, effective immediately.”

AMERICAN WOODMARK CORP: Increased the number of directors from eight to nine by amending Article II, Section 2 of the Bylaws (effective 2024-01-16).

“On January 16, 2024, the Board approved an amendment to Article II, Section 2 of the Company's Bylaws. The amendment will increase the number of directors of the Company from eight to nine.”

Fold Holdings, Inc.: Stockholders approved an amendment to the articles of incorporation (Charter Amendment) at a meeting (effective 2024-01-22).

“At the Meeting, the Company's stockholders approved the Charter Amendment, the Trust Amendment and a proposal to approve the adjournment of the Meeting from time to time if determined by the chairperson of the Meeting to be necessary or appropriate (the "Adjournment Proposal").”

Nuvve Holding Corp.: Reverse stock split 1-for-40 via Certificate of Amendment to Amended and Restated Certificate of Incorporation (effective 2024-01-19).

“On January 19, 2024, Nuvve Holding Corp. (the “Company”) filed a Certificate of Amendment (the “Certificate of Amendment”) to the Amended and Restated Certificate of Incorporation of the Company with the Secretary of State of the State of Delaware to effect a reverse stock split of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), at a ratio of 1-for-40 (the “Reverse Stock Split”).”

EFCAR, LLC: Amendment to Trust Agreement to change minimum denomination of Certificates and facilitate exchange of book-entry Certificates for definitive Certificates (effective 2024-01-16).

“On January 16, 2024, EFCAR, LLC and Wilmington Trust Company entered into Amendment No. 1, dated as of January 16, 2024, to that certain Amended and Restated Trust Agreement of Exeter Auto Receivables Trust 2023-2, dated as of April 23, 2023 (the “Trust Agreement”), for the purpose of changing the minimum denomination of the Certificates (as defined in the Trust Agreement), facilitating the exchange of book-entry Certificates for definitive Certificates in certain circumstances, and making certain other related amendments thereto.”

PARKS AMERICA, INC: Adopted Certificate of Designation of Series A Junior Participating Preferred Stock (effective 2024-01-19).

“In connection with the adoption of the Rights Agreement, the Company has adopted a Certificate of Designation of Series A Junior Participating Preferred Stock (the “ Certificate of Designation ”).”

NuStar Energy L.P.: Amendment No. 1 to the Eighth Amended and Restated Agreement of Limited Partnership designated NuStar as the sole and exclusive agent of common unitholders to seek remedies under the Merger Agreement (effective 2024-01-22).

“On January 22, 2024, immediately following entry into the Merger Agreement, Riverwalk adopted, in its capacity as NuStar’s general partner, Amendment No. 1 to the Eighth Amended and Restated Agreement of Limited Partnership of NuStar Energy L.P. (the “ Amendment to the Partnership Agreement ”) for the purposes of designating NuStar as the sole and exclusive agent of its common unitholders prior to the closing of the Merger with the right to seek remedies, damages or other amounts on behalf of the common unitholders under the Merger Agreement.”

LIVEPERSON INC: Filed Certificate of Designations for Series A Junior Participating Preferred Stock in connection with Tax Benefits Preservation Plan (effective 2024-01-22).

“In connection with the adoption of the Tax Benefits Preservation Plan described in Item 3.03 of this Current Report, the Board approved a Certificate of Designations of Series A Junior Participating Preferred Stock, which designates the rights, preferences and privileges of 200,000 shares of a series of the Company's preferred stock, par value $0.001 per share, designated as Series A Junior Participating Preferred Stock.”

Coyni, Inc.: Changed company name to 'Coyni, Inc.' via amendment to Articles of Incorporation (effective 2023-06-23).

“On June 23, 2023, following the written consent of the Board of Directors and written consent in lieu of meeting by the majority and controlling shareholder of the Company, the State of Nevada accepted the amendment of the Company’s Articles of Incorporation changing the name of the Company to “Coyni, Inc."”

New Horizon Aircraft Ltd.: Pono ceased being a shell company as a result of the Business Combination.

“As a result of the Business Combination, Pono ceased being a shell company.”

New Horizon Aircraft Ltd.: Board approved changing fiscal year end from December 31st to May 31st (effective 2024-01-18).

“On January 18, 2024, the Board approved a change in fiscal year end of New Horizon from December 31st to May 31st.”

New Horizon Aircraft Ltd.: Pono adopted the Articles of post-combination New Horizon effective as of the Closing Date.

“the shareholders of Pono approved the Articles of post-combination New Horizon (as defined below) at the Special Meeting. In connection with the Closing, Pono adopted the Articles effective as of the Closing Date.”

5E Advanced Materials, Inc.: Increased authorized shares of Common Stock from 180,000,000 to 360,000,000 via Amended and Restated Certificate of Incorporation (effective 2024-01-12).

“On January 12, 2024, the Company, following receipt of approval of the Charter Amendment Proposal, filed the Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware.”

Unique Logistics International, Inc.: Amended Certificates of Designations for Series A, C, and D Convertible Preferred Stock to extend the Anti-dilution Termination Date to December 31, 2024 or a Qualified Financing (effective 2024-01-16).

“On January 16, 2024, Unique Logistics International, Inc. (the “Company”) filed with the Secretary of State of the State of Nevada a certificate of amendment to the Certificates of Designations, Preferences and Rights of its Series D Convertible Preferred Stock, and on January 17, 2024, certificates of amendments to the Certificates of Designations, Preferences and Rights of its Series A and Series C Convertible Preferred Stock (collectively, the “Certificates of Designations”), amending (i) Section IV(b)(iii) of the Certificate of Designations, Preferences and Rights of its Series A Convertible Preferred Stock, (ii) Section 7(a)(ii) of the Certificate of Designations, Preferences and Rights of its Series C Convertible Preferred Stock, and (iii) Section 7(a)(ii) of the Certificate of Designations, Preferences and Rights of its Series D Convertible Preferred Stock (collectively, the “Amendments”), in order to extend the Anti-dilution Termination Date (as defined in the Amendments) to th”

Panbela Therapeutics, Inc.: Filed Certificate of Amendment to Restated Certificate of Incorporation to effect a 1-for-20 reverse stock split (effective 2024-01-16).

“On January 16, 2024, the Company filed a Certificate of Amendment to the Restated Certificate of Incorporation (the "Amendment") to effect the Reverse Split.”

BIOCRYST PHARMACEUTICALS INC: Amended and Restated By-Laws effective January 16, 2024, including updates to align with Delaware law, revisions to stockholder meeting and nomination procedures, universal proxy rules, and technical changes (effective 2024-01-16).

“On January 16, 2024, the Board of Directors (the “Board”) of BioCryst Pharmaceuticals, Inc. (the “Company” or “BioCryst”) approved and adopted Amended and Restated By-Laws of the Company (as so amended and restated, the “By-Laws”), that became effective immediately.”

SEKISUI HOUSE U.S., INC.: Added an exclusive forum by-law designating Delaware courts as sole and exclusive forum for certain actions and federal courts for Securities Act claims (effective 2024-01-17).

“On January 17, 2024, the Company Board approved and adopted an amendment to its By-Laws, effective immediately, to add an exclusive forum by-law.”