Governance Changes

Chicken Soup for the Soul Entertainment, Inc.: Increased the number of shares designated as Series A Preferred Stock from 6,000,000 to 7,000,000 shares (effective 2023-10-12).

“The Amendment increased the number of shares of preferred stock designated as Series A Preferred Stock from 6,000,000 to 7,000,000 shares.”

AQUABOUNTY TECHNOLOGIES INC: Filed a Certificate of Amendment to effect a 1-for-20 reverse stock split and reduce authorized shares from 150,000,000 to 75,000,000 (effective 2023-10-16).

“On October 12, 2023, AquaBounty Technologies, Inc. (the “Company”) filed a Certificate of Amendment (the “Certificate of Amendment”) to its Third Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware to effect a 1-for-20 reverse stock split (the “Reverse Split”) of the Company’s shares of common stock, par value $0.001 per share (the “Common Stock”), as of 12:01 a.m. Eastern Time on October 16, 2023 (the “Effective Time”), and an associated reduction in the number of shares of Common Stock the Company is authorized to issue from 150,000,000 to 75,000,000 (the “Authorized Capital Change”).”

Paycom Software, Inc.: Amended and restated bylaws to adopt a majority vote standard in uncontested director elections with a resignation policy for incumbent directors who fail to receive sufficient votes (effective 2023-10-12).

“On October 12, 2023, in response to the advisory approval of the Stockholder Proposal, the Board of Directors of the Company (the “ Board ”) amended and restated the Company’s existing amended and restated bylaws (as so amended and restated, the “ Amended and Restated Bylaws ”) to implement a majority vote standard in uncontested director elections, with a resignation policy for incumbent directors who fail to receive sufficient votes under the majority vote standard.”

Biopower Operations Corp: Company filed a certificate of amendment to its Amended and Restated Articles to change its name back to BioPower Operations Corporation (effective 2023-10-13).

“On October 13, 2023, Biopower Operations Corporation (the “Company”) filed a certificate of amendment (the “Certificate of Amendment”) to its Amended and Restated Articles to change its name back to BioPower Operations Corporation.”

THERAPEUTIC SOLUTIONS INTERNATIONAL, INC.: Increased authorized common shares from 4,500,000,000 to 5,500,000,000 (effective 2023-10-12).

“On October 12, 2023, we caused to be filed with the Nevada Secretary of State a Certificate of Amendment to Articles of Incorporation to effect an amendment (the “Amendment”) increasing the number of common shares which the corporation shall have authority to issue from 4,500,000,000 to 5,500,000,000 shares of common stock having a $.001 par value per share”

Prairie Operating Co.: Reverse stock split, name change, and symbol change; filed Certificate of Amendment and Second Amended and Restated Certificate of Incorporation with multiple governance changes including eliminating written consent, corporate opportunity waiver, director election modifications, and exclusive forum (effective 2023-10-16).

“On October 12, 2023, Prairie Operating Co. (the “Company”) filed a Certificate of Amendment to its Certificate of Incorporation (the “Certificate of Amendment”) with the Delaware Secretary of State to effect a reverse stock split of outstanding shares of the Company’s common stock, par value $0.01 per share (“Common Stock”), at an exchange ratio of 1:28.5714286 (the “Reverse Stock Split”). The Company will also change its name from Creek Road Miners, Inc. to Prairie Operating Co. (the “Corporate Name Change”) and change its symbol from “CRKR” to “PROP” (the “Symbol Change”). The Reverse Stock Split and the Corporate Name Change would become effective on the OTCQB marketplace of OTC Markets on October 16, 2023 (the “Effective Date”). In connection with the Reverse Stock Split, Corporate Name Change and Symbol Change, the CUSIP number for the Company’s Common Stock will change to 739650109. The Company’s Common Stock will continue to trade on the OTCQB marketplace under the symbol “CRKRD”

Hyperscale Data, Inc.: Eliminated Certificate of Designations for Series C Convertible Preferred Stock from the Certificate of Incorporation via a Certificate of Elimination (effective 2023-10-06).

“On October 6, 2023, Ault Alliance, Inc., a Delaware corporation (the “ Company ”), filed a certificate of elimination of the certificate of designations of preferred stock of Ault Alliance, Inc. (the “ Certificate of Elimination ”) with the Secretary of State of the State of Delaware with respect to the Company’s Series C convertible preferred stock, par value $0.001 per share (“ Series C Convertible Preferred Stock ”) which, effective upon filing, eliminated from the Company’s Certificate of Incorporation, as amended, all matters set forth in the Certificate of Designations of Preferences, Rights and Limitations of Series C Convertible Preferred Stock.”

Quetta Acquisition Corp: Filed Amended and Restated Certificate of Incorporation with the Delaware Secretary of State in connection with IPO (effective 2023-10-05).

“On October 5, 2023, in connection with the IPO, the Company filed its Amended and Restated Certificate of Incorporation with the Delaware Secretary of State.”

Falcon's Beyond Global, Inc.: FAST II ceased being a shell company upon completion of the SPAC Merger.

“As a result of the Transactions, FAST II ceased being a shell company when it merged into Pubco upon the completion of the SPAC Merger.”

Falcon's Beyond Global, Inc.: Board adopted a new Code of Business Conduct and Ethics effective upon the Acquisition Merger Effective Time.

“Effective upon the Acquisition Merger Effective Time, in connection with the consummation of the Business Combination, the Board adopted a new Code of Business Conduct and Ethics”

Falcon's Beyond Global, Inc.: Adopted Amended and Restated Bylaws, effective October 5, 2023 (effective 2023-10-05).

“Pubco adopted Amended and Restated Bylaws ("Bylaws"), effective as of October 5, 2023”

Falcon's Beyond Global, Inc.: Filed Amended and Restated Certificate of Incorporation, effective October 5, 2023 (effective 2023-10-05).

“On October 5, 2023, Pubco filed an Amended and Restated Certificate of Incorporation ("Charter")”

ASPAC I Acquisition Corp.: Removed the net tangible asset requirement from the Charter to expand methods to avoid penny stock rules (effective 2023-10-09).

“removed the net tangible asset requirement in order to expand the methods that the Company may employ so as not to become subject to the "penny stock" rules of the Securities and Exchange Commission”

ASPAC I Acquisition Corp.: Amended and restated the Charter to allow up to six one-month extensions of the business combination deadline from October 17, 2023 to April 17, 2024 (effective 2023-10-09).

“On October 9, 2023, following shareholder approval, the Company filed the Amended and Restated Memorandum and Articles of Association with the British Virgin Islands Registrar of Corporate Affairs on the same day. The New Charter allows the Company the right to extend the date by which it has to complete a business combination up to six (6) times for an additional one month each time, from October 17, 2023 to April 17, 2024”

Oklo Inc.: Extended deadline to consummate initial business combination from October 12, 2023 to July 12, 2024 (effective 2023-10-11).

“the Stockholders approved an amendment to AltC’s amended and restated certificate of incorporation (the “ Charter Amendment ”) to extend the date by which AltC has to consummate an initial business combination from October 12, 2023 to July 12, 2024 (or such earlier date as determined by AltC’s board of directors). AltC filed the Charter Amendment with the Secretary of State of the State of Delaware on October 11, 2023.”

ShiftPixy, Inc.: Filing of articles of correction to reschedule a planned 1:24 reverse stock split (effective 2023-10-14).

“On October 11, 2023, ShiftPixy, Inc. (“the Company”) filed articles of correction of the articles of amendment to the Company’s articles of incorporation (the “Amendment”) to note the rescheduling of a planned one-for-twenty-four (1:24) reverse split of the Company’s issued and outstanding shares of Common Stock. The Amendment will become effective at 11:59:59 PM in Wyoming on October 14, 2023.”

Party City Holdco Inc.: Company amended its Bylaws to modify provisions regarding director election, removal, special meetings, and advance notice requirements (effective 2023-10-12).

“Anti-Takeover Provisions Some provisions of Delaware law, the COI and the Bylaws summarized below could make certain change of control transactions more difficult, including acquisitions of the Company by means of a tender offer, proxy contest or otherwise, as well as removal of the incumbent directors.”

Party City Holdco Inc.: Company adopted the Third Amended and Restated Certificate of Incorporation after the Effective Date, which changed the authorized capital structure and added anti-takeover provisions (effective 2023-10-12).

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

Barnes & Noble Education, Inc.: Amended By-Laws to address universal proxy rules under Rule 14a-19, including nomination notice requirements, compliance with universal proxy rules, and proxy card color restriction (effective 2023-10-05).

“On October 5, 2023, as part of its periodic review of the governing documents of Barnes & Noble Education, Inc. (the “Company”), the Company’s Board of Directors (the “Board”) approved amendments to the Company’s Amended and Restated By-Laws (the “By-Laws”) to address matters relating to the universal proxy rules (the “Universal Proxy Rules”) set forth in Rule 14a-19 under the Securities Exchange Act of 1934, as amended, including requiring: (a) the stockholder’s nomination notice to include a representation that it intends to solicit proxies from stockholders representing at least 67% of the voting power of shares entitled to vote on the election of directors (Article III, Section 3(a)); (b) the stockholder to comply with the Universal Proxy Rules (Article III, Section 3(c)) and, upon request by the Company, provide reasonable evidence thereof prior to the stockholder meeting (Article III, Section 3(d)); and (c) the stockholder to use a proxy card color other than white, which is rese”

T2 Biosystems, Inc.: Filed a certificate of amendment to the Certificate of Incorporation to effect a 1-for-100 reverse stock split, approved by the Board on October 10, 2023 (effective 2023-10-12).

“On October 12, 2023, the Company filed a certificate of amendment to the Certificate of Incorporation (the “Amendment”) with the Office of the Secretary of State of the State of Delaware to effect the Reverse Stock Split”

DOMINOS PIZZA INC: Updated proxy card color rule requiring any stockholder soliciting proxies to use a non-white proxy card, reserving white for the Company (effective 2023-10-10).

“Further, Section 2.11 of the Amended By-Laws has been updated to provide that any stockholder directly or indirectly soliciting proxies from other stockholders must use a proxy card color other than white, with the white proxy card reserved for exclusive use by the Company.”

DOMINOS PIZZA INC: Added an emergency by-law provision to ensure continued Board operation during emergencies as contemplated by Delaware law (effective 2023-10-10).

“Section 3.16 of the Amended By-Laws now includes an emergency by-law provision to ensure the continued ability of the Board to operate in the event that there is an emergency as contemplated by Section 110 of the Delaware General Corporation Law (the “DGCL”).”

DOMINOS PIZZA INC: Adopted proxy access provision allowing stockholders owning 3% or more of outstanding common stock continuously for at least three years to nominate director candidates for inclusion in proxy materials (effective 2023-10-10).

“On October 10, 2023, the Board of Directors (the “Board”) of Domino’s Pizza, Inc. (the “Company”) approved the Company’s Fourth Amended and Restated By-Laws (as so amended and restated, the “Amended By-Laws”), effective as of such date.”

Fabric.AI, Inc.: Adopted Third Amendment to Bylaws to change stockholder vote standard from majority of voting power present to majority of votes cast (excluding abstentions and broker non-votes) for matters other than director elections, with corresponding change for class votes (effective 2023-10-10).

“On October 8, 2023, the board of directors of AYRO, Inc. (the “Company”) approved the third amendment (the “Third Amendment”) to the amended and restated bylaws of the Company, as amended (the “Bylaws”), effective as of October 10, 2023.”

Semnur Pharmaceuticals, Inc.: Amended the amended and restated memorandum and articles of association to extend the date to consummate an initial business combination from October 11, 2023 to July 11, 2024, with monthly extension options (effective 2023-10-11).

“Effective upon the approval of the Article Amendment Proposals, on October 11, 2023, the amended and restated memorandum and articles of association of the Company were amended pursuant to the resolutions set forth as Annex A, Annex B and Annex C to the definitive proxy statement relating to the Shareholder Meeting filed by the Company with the Securities and Exchange Commission on September 25, 2023, as amended on September 28, 2023.”

Zynerba Pharmaceuticals, Inc.: Certificate of incorporation amended and restated.

“the Company’s certificate of incorporation and bylaws were amended and restated in their entirety, as set forth in Exhibits 3.1 and 3.2”

Universal Gaming Corp: Amended bylaws to reflect new corporate name from Deseo Swimwear Inc. to Universal Gaming Corporation, effective simultaneously with the name change (effective 2023-10-11).

“In connection with the Name Change, by action of the Board, the Company amended its bylaws to reflect its new corporate name, such amendment being effective simultaneously with the effectiveness of the Name Change.”

White River Energy Corp.: Filing of Certificate of Designation for Series D Convertible Preferred Stock (effective 2024-10-04).

“On October 4, 2023, the Board of Directors of the Company approved, and the Company filed with the Nevada Secretary of State, the Certificate of Designation authorizing the issuance of up to 250 shares of Series D Convertible Preferred Stock”

Oportun Financial Corp: Amended bylaws to adopt majority voting standard in uncontested director elections and to eliminate supermajority vote requirement for stockholders to amend bylaws, replacing it with a majority vote threshold (effective 2023-10-10).

“On October 10, 2023, the Board of Directors (the “Board”) of Oportun Financial Corporation (the “Company”), acting upon the recommendation of the Board’s Nominating, Governance and Social Responsibility Committee, approved the Company’s Amended and Restated Bylaws (the “Amended and Restated Bylaws”), effective as of such date. Among other things, the Amended and Restated Bylaws provide that directors be elected by a majority of the votes cast, other than in contested elections, where directors will be elected by a plurality vote, and replace the provision requiring a supermajority vote in order for the Company’s stockholders to amend the Company’s bylaws with a majority vote threshold, subject to the provisions of the Company’s certificate of incorporation.”

Scienture Holdings, Inc.: Filed Certificate of Designation establishing Series C Preferred Stock with 1,000 authorized shares, $1,000 stated value per share, including dividend, voting, liquidation, conversion, and redemption terms (effective 2023-10-04).

“On October 4, 2023 (the “ Filing Date ”), the Company filed the Certificate of Designation with the Secretary of State of the State of Delaware designating 1,000 shares out of the authorized but unissued shares of its preferred stock as Series C Preferred Stock with a stated value of $1,000 per share.”

NCR Atleos Corp: Adoption of new Bylaws in connection with the conversion.

“In connection with the Conversion, the Company also adopted the Bylaws of NCR Atleos Corporation (the “Bylaws”).”

NCR Atleos Corp: Adoption of new Charter upon conversion from Delaware LLC to Maryland corporation.

“(iii) Articles of Incorporation of the Company (the “Charter”) with the SDAT, which became effective as of the Effective Time.”

Terns Pharmaceuticals, Inc.: Amended and restated bylaws to revise director nomination procedures, including universal proxy rule compliance requirement (effective 2023-10-04).

“On October 4, 2023, the Board of Directors (the “Board”) of Terns Pharmaceuticals, Inc. (the “Company”) approved, effective as of such date, the amendment and restatement of the Company’s bylaws (the “Amended and Restated Bylaws”). Among other changes, the Amended and Restated Bylaws revise the procedures and disclosure requirements for the nomination of directors, including by adding a requirement that a stockholder seeking to nominate director(s) at an annual meeting deliver, at the Company’s request, reasonable evidence that it has complied with the requirements of Rule 14a-19 of the Exchange Act of 1934, as amended (also known as the universal proxy rules) no later than five business days prior to the meeting.”

CISO Global, Inc.: Eliminated fractional voting in Amended and Restated By-Laws (effective 2023-10-09).

“On October 9, 2023, our Board of Directors amended our Amended and Restated By-Laws to eliminate fractional voting.”

Spero Therapeutics, Inc.: Certificate of Amendment filed to add officer exculpation provisions and a federal forum selection clause (effective 2023-10-06).

“On October 6, 2023, the Company filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation, as amended, with the Secretary of State of the State of Delaware to reflect new Delaware law provisions regarding officer exculpation and to add a federal forum selection clause”

National Western Life Group, Inc.: Added Delaware exclusive forum provision (Section 6.04) for internal corporate claims (effective 2023-10-08).

“the only substantive change included in the Second Amended and Restated Bylaws was the addition of a Delaware exclusive forum provision in new Section 6.04.”

GLADSTONE LAND Corp: Amended Article IV, Section 28 to revise the potential composition of the Executive Committee to not less than two Board members, one of whom will be the Chairman of the Board (effective 2023-10-10).

“The Bylaw Amendment amended Article IV, Section 28 to revise the potential composition of the Executive Committee of the Board to not less than two members of the Board, one of whom will be the Chairman of the Board.”

Mistras Group, Inc.: Board granted Manuel Stamatakis a waiver of the code of ethics and code of conduct related to a conflict of interest with his position at CME (effective 2023-10-09).

“In connection with Mr. Stamatakis’ appointment as interim President and Chief Executive Officer, the Board granted Mr. Stamatakis a waiver of the Company’s code of ethics and code of conduct to the extent that his position with CME, as described in Item 5.02 above, is a conflict of interest under the Company’s code of ethics or its code of conduct.”

Fortress Biotech, Inc.: The Company filed a Certificate of Amendment to effect a 1-for-15 reverse stock split of common stock, approved by stockholders and board, effective October 10, 2023 (effective 2023-10-10).

“On October 9, 2023, Fortress Biotech, Inc. (the “ Company ”) filed a Certificate of Amendment (the “ Amendment ”) to its Amended and Restated Certificate of Incorporation, as amended, with the Secretary of State of Delaware to effect a 1-for-15 reverse stock split (the “ Reverse Stock Split ”) of the Company’s shares of common stock, $0.001 par value (the “ Common Stock ”).”

NATE'S FOOD CO.: Amended Articles of Incorporation to prohibit reverse stock split before January 1, 2025 unless uplisting to NASDAQ or NYSE (effective 2023-10-08).

“On October 8, 2023, the Company amended its Articles of Incorporation, effective immediately, to reflect a change in policy: the Company will not engage in a reverse stock split of its Common Stock before January 1, 2025 unless the Company is uplisting to NASDAQ or the NYSE.”

Metalert, Inc.: Established Series D Preferred Stock via Certificate of Designation (effective 2023-09-28).

“On September 28, 2023, the Board of Directors of the Company established a new series of preferred stock that was designated "Series D Preferred Stock." The will file with the State of Nevada a Certificate of Designation with respect to the Series D Preferred Stock.”

GLADSTONE COMMERCIAL CORP: Amended Article IV, Section 28 to require the Executive Committee to have at least two Board members, including the Chairman (effective 2023-10-10).

“On October 10, 2023, the board of directors (the “Board”) of Gladstone Commercial Corporation (the “Company”) approved and adopted the Third Amendment to the Bylaws of the Company, effective as of October 10, 2023 (the “Bylaw Amendment”). The Bylaw Amendment amended Article IV, Section 28 to revise the potential composition of the Executive Committee of the Board to not less than two members of the Board, one of whom will be the Chairman of the Board.”

GLADSTONE CAPITAL CORP: Amended Article IV, Section 26 to revise the potential composition of the Executive Committee to not less than two Board members, including the Chairman (effective 2023-10-10).

“On October 10, 2023, the board of directors (the “Board”) of Gladstone Capital Corporation (the “Company”) approved and adopted the Fifth Amendment to the Company’s Bylaws, effective as of October 10, 2023 (the “Bylaw Amendment”). The Bylaw Amendment amended Article IV, Section 26 to revise the potential composition of the Executive Committee of the Board to not less than two members of the Board, one of whom will be the Chairman of the Board.”

Enphys Acquisition Corp.: Amended memorandum and articles of association to allow Class B shareholders to convert shares on a one-for-one basis before a business combination closing (effective 2023-10-06).

“At the Extraordinary General Meeting, the Company’s shareholders also approved an amendment to the Company’s amended and restated memorandum and articles of association (the “Founder Share Amendment”) to provide for the right of a holder of the Company’s Class B ordinary shares, par value $0.0001 per share, to convert into Class A ordinary shares, par value $0.0001 per share, of the Company on a one-for-one basis prior to the closing of an initial business combination at the election of the holder (the “Founder Share Amendment Proposal”).”

Enphys Acquisition Corp.: Amended memorandum and articles of association to extend business combination deadline from October 8, 2023 to February 8, 2024 (effective 2023-10-06).

“At the Extraordinary General Meeting, the Company’s shareholders approved an amendment to the Company’s amended and restated memorandum and articles of association (the “Extension Amendment”) to extend the date by which the Company must consummate a business combination from October 8, 2023 to February 8, 2024 (the “Extended Date”) (the “Extension Amendment Proposal”).”

Focus Impact BH3 Acquisition Co: Granted Class B common stock holders one-to-one conversion rights at any time (effective 2023-10-06).

“(ii) provided for the right of a holder of shares of Class B common stock, par value $0.0001 per share (“ Class B common stock ”) to convert its shares of Class B common stock into shares of Class A common stock on a one-to-one basis at any time and from time to time at the election of the holder (the “ Founder Share Amendment ”)”

Focus Impact BH3 Acquisition Co: Extended the deadline to complete a business combination to July 31, 2024 (effective 2023-10-06).

“(i) further extended the period of time by which the Company has to consummate an initial business combination to July 31, 2024 (the “ Charter Amendment ”)”

SPRUCE POWER HOLDING CORP: Amendment to Second Amended and Restated Certificate of Incorporation to effect a 1-for-8 reverse stock split (effective 2023-10-06).

“On October 6, 2023, Spruce Power Holding Corporation (the “Company”), following stockholder approval at the Special Meeting of Stockholders (the “Special Meeting”) held on October 2, 2023, filed an Amendment to the Company’s Second Amended and Restated Certificate of Incorporation to effect a 1-for-8 reverse stock split”

Canoo Inc.: Amendment to increase authorized common stock from 1,000,000,000 to 2,000,000,000 shares (effective 2023-10-06).

“On October 6, 2023, the Company filed a Certificate of Amendment to the Company’s Second Amended and Restated Certificate of Incorporation with the Delaware Secretary of State implementing the Authorized Shares Amendment.”

Destra Multi-Alternative Fund: Amended and Restated Agreement and Declaration of Trust to revise Article IX, Section 2 to implement an expiring term for the Fund instead of perpetual and include parameters for extension of such term (effective 2023-10-03).

“On October 3, 2023, the board of trustees of Destra Multi-Alternative Fund (the “Fund”) approved an Amended and Restated Agreement and Declaration of Trust to revise Article IX, Section 2 to implement an expiring term for the Fund and include parameters for any extension to such expiring term.”