Material Agreements

Datavault AI Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at 8.0% of the gross proceeds raised in the Offerings and $50,000 expense reimbursement (effective 2024-05-15).

“In connection with the Offerings, on May 15, 2024, the Company entered into a placement agency agreement (the “Placement Agency Agreement”) with Maxim Group LLC (the “Placement Agent”), pursuant to which the Placement Agent agreed to act as placement agent on a “reasonable best efforts” basis in connection with the Offerings.”

Datavault AI Inc. entered into Securities Purchase Agreement with certain purchasers valued at aggregate gross proceeds of approximately $2,437,000 (effective 2024-05-15).

“On May 15, 2024, WiSA Technologies, Inc., a Delaware corporation (the “Company”), entered into a securities purchase agreement (the “Purchase Agreement”) with certain purchasers, pursuant to which the Company agreed to issue and sell to such purchasers (a) in a registered direct offering, 675,000 shares (the “Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company, at an offering price of $3.61 per share, and (b) in a concurrent private placement, common stock purchase warrants (the “Warrants”) exercisable for an aggregate of up to 675,000 shares of Common Stock, at an exercise price of $3.48 per share (the “Warrant Shares”), for aggregate gross proceeds of approximately $2,437,000 (such offerings, the “Offerings”).”

Verrica Pharmaceuticals Inc. amended Collaboration and License Agreement with Torii Pharmaceutical Co., Ltd. valued at Equally split costs of global Phase 3 clinical trial of YCANTH (VP-102) for common warts; Torii pays (effective 2024-05-14).

“On May 14, 2024 (the “Amendment Effective Date”), Verrica Pharmaceuticals Inc. (the “Company”) entered into an amendment (the Amendment”) to the Collaboration and License Agreement (the “Collaboration and License Agreement”) dated March 17, 2021, by and between the Company and Torii Pharmaceutical Co., Ltd. (“Torii” and together with the Company, the “Parties”).”

Atlassian Corp entered into Indenture with U.S. Bank Trust Company, National Association valued at $500 million aggregate principal amount of 5.250% senior notes due 2029 and $500 million aggregate p (effective 2024-05-15).

“On May 15, 2024, Atlassian Corporation (the " Company ") issued $500 million aggregate principal amount of 5.250% senior notes due 2029 (the " 2029 Notes ") and $500 million aggregate principal amount of 5.500% senior notes due 2034 (the " 2034 Notes ," and together with the 2029 Notes, the " Notes ").”

Spyre Therapeutics, Inc. entered into Second Amended and Restated Antibody Discovery and Option Agreement (Second AR ADOA) with Paragon Therapeutics, Inc. and Parapyre Holding LLC valued at amends and restates previous agreement; includes terms related to IL-23 research program: antibody s (effective 2024-05-14).

“Also on May 14, 2024, the Company, Paragon and Parapyre Holding LLC entered into a second amended and restated antibody discovery and option agreement (the “Second AR ADOA”) that amends and restates that certain amended and restated antibody discovery and option agreement, dated September 29, 2023, by and between Paragon, Parapyre and Spyre Therapeutics, LLC, in order to, among other things, (i) replace the Company’s subsidiary with the Company as a party to the agreement and (ii) amend certain terms related to the IL-23 research program”

Spyre Therapeutics, Inc. entered into SPY001 License Agreement with Paragon Therapeutics, Inc. valued at up to $22.0 million based on specific development, regulatory and clinical milestones for each licen (effective 2024-05-14).

“On May 14, 2024, Spyre Therapeutics, Inc., a Delaware corporation (the “Company”), and Paragon Therapeutics, Inc., a Delaware corporation (“Paragon”), entered into (i) a license agreement (the “SPY001 License Agreement”), pursuant to which Paragon granted the Company a royalty-bearing, world-wide, exclusive license to develop, manufacture, commercialize or otherwise exploit certain antibodies and products targeting α4ß7 integrin”

Aqua Metals, Inc. entered into Underwriting Agreement with The Benchmark Company, LLC (effective 2024-05-14).

“On May 14, 2024, Aqua Metals, Inc. (the “Company”) entered into an Underwriting Agreement (the “Agreement”) with The Benchmark Company, LLC, as representative of the several underwriters (the “Underwriter”), relating to an underwritten offering of 17,500,000 shares (“Company Shares”) of its $0.001 par value common stock (“Common Stock”) and non-redeemable warrants (“Warrants”) to purchase up to 17,500,000 shares of Common Stock (“Warrant Shares”).”

Adaptimmune Therapeutics PLC entered into Loan and Security Agreement with Hercules Capital, Inc. valued at up to $125,000,000 term loan facility (effective 2024-05-14).

“On May 14, 2024 (the “Closing Date”), Adaptimmune Therapeutics plc (the “Company” and collectively with any Company affiliates that are made party to the Loan Agreement, “Borrower”) entered into a Loan and Security Agreement (the “Loan Agreement”), with several banks and other financial institutions or entities from time to time party hereto as lenders (each, a “Lender”, and collectively “Lenders”) and Hercules Capital, Inc., a Maryland corporation in its capacity as administrative agent and collateral agent for itself and the Lenders (in such capacity, including any successors or assigns, the “Agent”), for a term loan facility of up to $125.0 million (the “Term Loan”), consisting of a term loan advance in the aggregate principal amount equal to $25.0 million on the Closing Date (the “Tranche 1 Advance”), a term loan advance available to the Company subject to certain terms and conditions in the aggregate principal amount of $25.0 million (the “Tranche 2 Advance’), a term loan advance”

EXPRO GROUP HOLDINGS N.V. entered into Registration Rights Agreement with the sellers party to the Stock Purchase Agreement valued at Registration Rights Agreement providing for lock-up and resale registration rights (effective 2024-05-15).

“In connection with the closing of the Acquisition (the “Closing”), on May 15, 2024, the Company and the sellers party to the Stock Purchase Agreement (as defined below), entered into a Registration Rights Agreement (the “Registration Rights Agreement”), which provides for, among other things, (i) a lock-up on any transfer of the Shares (as defined below) post-Closing, subject to certain exceptions, which lock-up will expire with respect to (A) 50% of the Shares on the business day following 90 days after the Closing, (B) 25% of the Shares on the business day following 120 days after the Closing and (C) 25% of the Shares on the business day following 150 days after the Closing and (ii) the Company agreed to register the Shares for resale pursuant to Rule 415 under the Securities Act of 1933, as amended (the “Securities Act”).”

EXPRO GROUP HOLDINGS N.V. entered into Incremental Facility under Senior Secured Revolving Facility Agreement with DNB Bank ASA as Agent, together with a consortium of banks valued at $340 million total revolving credit facility (increased from $250 million by $90 million) (effective 2024-05-15).

“On May 15, 2024, Expro Group Holdings N.V. (the “Company”) established an incremental facility under its senior secured revolving facility agreement dated October 1, 2021, as amended and/or supplemented from time to time (the “Revolving Facility Agreement”), in order to increase its existing $250 million revolving credit facility by a further $90 million in commitments, to a total of $340 million.”

SARATOGA INVESTMENT CORP. entered into Amendment No. 4 with Lucid Capital Markets, LLC (effective 2024-05-15).

“On May 15, 2024, the Company added one additional distribution agent to the ATM Program, Lucid Capital Markets, LLC (“Lucid” and, together with Ladenburg, Compass Point, and Raymond James, the “Agents”). In connection with the addition of Lucid as a distribution agent, the Company and the Adviser entered into the amendment no. 4, dated May 15, 2024 (“Amendment No. 4”), to the equity distribution agreement”

WEX Inc. amended Fifth Amendment to Amended and Restated Credit Agreement with Bank of America, N.A., as administrative agent (effective 2024-05-10).

“On May 10, 2024, WEX Inc. (the “Company”) and certain of its subsidiaries entered into the Fifth Amendment to Amended and Restated Credit Agreement (the “Fifth Amendment”), which amends that certain Amended and Restated Credit Agreement, dated as of April 1, 2021, by and among the Company and certain of its subsidiaries identified therein, the lenders party thereto from time to time, and Bank of America, N.A., as administrative agent on behalf of the lenders”

ABVC BIOPHARMA, INC. entered into Oncox Agreement with OncoX BioPharma, Inc. valued at Total of $6,250,000 (or 1,250,000 Oncox shares valued at $5 per share) and an additional milestone p (effective 2024-05-14).

“On May 14, 2024, the Company entered into a definitive agreement with OncoX BioPharma, Inc., a private company registered in the British Virgin Islands (“ Oncox ”), pursuant to which the Company will grant Oncox an exclusive right to develop and commercialize ABVC’s BLEX 404 single-herb botanical drug extract from the dry fruit body of Maitake Mushroom (Grifola Frondosa) for treatment of Tripple Negative Breast Cancer (the “ Licensed Products ”), within a certain territory, specified as 50% of the Worldwide Markets for 20 years (the “ Oncox Agreement ”).”

HARLEY-DAVIDSON CUSTOMER FUNDING CORP. entered into Underwriting Agreement with Wells Fargo Securities, LLC, on behalf of itself and as representative of the several underwriters valued at $550,000,000 (effective 2024-05-14).

“On May 14, 2024, Harley-Davidson Customer Funding Corp. (the “Depositor) and Harley-Davidson Credit Corp. (the “Sponsor”) entered into an Underwriting Agreement with Wells Fargo Securities, LLC, on behalf of itself and as representative of the several underwriters (collectively, the “Underwriters”), for the issuance and sale of certain asset backed notes of Harley-Davidson Motorcycle Trust 2024-A (the “Trust”) in the following classes: Class A-1, Class A-2, Class A-3, and Class A-4 (collectively, the “Offered Notes”).”

RESOURCES CONNECTION, INC. entered into Purchase and Sale Agreement with City of Irvine valued at thirteen million, five hundred thousand dollars ($13,500,000.00) (effective 2024-05-15).

“RGP Property LLC (“Seller”), a wholly owned subsidiary of Resources Connection, Inc., entered into a Purchase and Sale Agreement with the City of Irvine, a California municipal corporation, (“Buyer”) for the sale of its property”

GlassBridge Enterprises, Inc. entered into Loan and Security Agreement with East West Bank valued at $35,000,000 (effective 2024-05-09).

“On May 9, 2024, GB HEI, LLC (the “Borrower” or “GB HEI”), a wholly-owned indirect subsidiary of GlassBridge Enterprises, Inc. (the “Company”), and GB HRP, LLC (“GB HRP”), a wholly-owned subsidiary of the Company, entered into a Loan and Security Agreement (the “EWB Loan Agreement”), and East West Bank, a California corporation (“East West Bank”), as a lender and as agent for the other lenders from time to time party thereto”

OPEN TEXT CORP amended Term Loan Amendment with Barclays Bank PLC and the lenders party thereto (effective 2024-05-15).

“On May 15, 2024, Open Text Corporation (“OpenText” or the “Company”) and certain of its subsidiaries entered into an amendment (the “Term Loan Amendment”) to the Company's Credit Agreement, dated as of August 25, 2022 (the “Existing Term Loan Credit Agreement”, and as amended, supplemented or otherwise modified as of the effective date of the Term Loan Amendment, including by the Term Loan Amendment, the “Term Loan Credit Agreement”), among the Company, the lenders party thereto, the subsidiary guarantors party thereto and Barclays Bank PLC, as administrative agent and collateral agent.”

SMITH MICRO SOFTWARE, INC. entered into Purchase Agreement with certain institutional and accredited investors (effective 2024-05-10).

“On May 10, 2024, Smith Micro Software, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with certain institutional and accredited investors (the “Purchasers”) relating to the registered direct offering and sale of an aggregate of 1,065,000 shares of the Company’s common stock”

Genasys Inc. entered into Right of First Refusal Agreement with Cantor Fitzgerald Securities valued at Right of first refusal on equity or debt financings during first year (effective 2024-05-13).

“the Company also entered into a Right of First Refusal Agreement (the “ROFR Agreement”), pursuant to which the Company granted to the Lenders a right of first refusal with respect to equity or debt financings completed by the Company during the first year following the closing of the Loan Transaction”

Genasys Inc. entered into Warrant Agreement with Cantor Fitzgerald Securities valued at Warrants to purchase up to 3,068,182 shares of common stock, exercise price $2.53 per share (effective 2024-05-13).

“(b) a Warrant Agreement (the “Warrant Agreement”) pursuant to which the Company agreed to issue to the Lenders warrants (the “Warrants”) to purchase up to 3,068,182 shares of the Company’s common stock at an initial exercise price of $2.53 per share”

Genasys Inc. entered into Term Loan and Security Agreement with Cantor Fitzgerald Securities valued at $15,000,000 borrowed, warrants to purchase up to 3,068,182 shares at $2.53 per share, interest SOFR+ (effective 2024-05-13).

“On May 13, 2024, Genasys Inc. (the “Company”) entered into (a) a Term Loan and Security Agreement (the “Loan Agreement”) among the Company, Evertel Technologies, LLC (“Evertel”), Zonehaven LLC (“Zonehaven”), Genasys Puerto Rico, LLC (“Genasys PR”), the lenders from time to time party thereto (the “Lenders”) and Cantor Fitzgerald Securities, as administrative agent and collateral agent, pursuant to which the Company borrowed Fifteen Million Dollars ($15,000,000) (the “Loan Transaction”)”

Cardiff Lexington Corp entered into Security and Pledge Agreement with Leonite Capital LLC valued at Security interest in all assets and those of subsidiaries (effective 2024-05-13).

“In connection with securities exchange agreement, the Company also entered into a security and pledge agreement (the “ Security Agreement ”) with Leonite, pursuant to which the Company granted grant a security interest in all of its assets and those of its subsidiaries.”

Cardiff Lexington Corp entered into Securities Exchange Agreement with Leonite Capital LLC valued at Exchange of $3,755,632 note for 938,908 shares of Series Y Senior Convertible Preferred Stock (effective 2024-05-13).

“On May 13, 2024, the Company entered into a securities exchange agreement (the “ Exchange Agreement ”) with Leonite, pursuant to which Leonite exchanged the Note, with a balance of $3,755,632 as of such date, for 938,908 shares of the Company’s newly designated series Y senior convertible preferred stock (the “ Shares ”).”

HASBRO, INC. entered into Seventh Supplemental Indenture with The Bank of New York Mellon Trust Company, N.A. and U.S. Bank Trust Company, National Association (effective 2024-05-14).

“as supplemented by a seventh supplemental indenture (the "Seventh Supplemental Indenture" and, together with the Base Indenture, the "Indenture"), dated as of May 14, 2024, among the Company, the Original Trustee and U.S. Bank Trust Company, National Association, as series trustee”

HASBRO, INC. entered into Underwriting Agreement with BofA Securities, Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC and Scotia Capital (USA) Inc. valued at $500,000,000 (effective 2024-05-08).

“On May 8, 2024, Hasbro, Inc. (the "Company") entered into an underwriting agreement (the "Underwriting Agreement") with BofA Securities, Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC and Scotia Capital (USA) Inc., as representatives of the several underwriters named therein (the "Underwriters"), with respect to a registered public offering (the "Notes Offering") of $500,000,000 aggregate principal amount of 6.050% notes due 2034”

Sharplink, Inc. amended Amended Agreement with Regulatory Parent (effective 2024-05-08).

“On May 8, 2024, SharpLink Gaming, Inc. (“SharpLink” or the “Company”), as successor in interest to SHGN Parent (as defined below), entered into an amended and fully restated post-closing assignment agreement (“Amended Agreement"), amending the terms and conditions of the original Purchase Agreement (“Purchase Agreement"), dated January 18, 2024”

Liberty Resources Acquisition Corp. terminated Mutual Termination Agreement with Markmore Energy (Labuan) Limited valued at Mutual Termination Agreement terminated the Business Combination Agreement (effective 2024-05-14).

“On May 14, 2024, Liberty and Markmore entered into a Mutual Termination Agreement (the “ Mutual Termination Agreement ”) pursuant to which they terminated the Business Combination Agreement by mutual agreement in accordance with Section 12.01(a) thereof, and each party, on behalf of itself and its agents, released, waived and forever discharged the other parties and their agents of and from any and all obligation or liability arising under the Business Combination Agreement.”

MOBIX LABS, INC entered into Business Combination Agreement with RaGe Systems, Inc valued at aggregate consideration of $12,000,000 (effective 2024-05-08).

“on May 8, 2024, Mobix Labs, Inc., a Delaware corporation (the “Company” or “Mobix Labs”), entered into a Business Combination Agreement (the “Business Combination Agreement”) with RaGe Systems, Inc, a Delaware corporation (“RaGE Systems”), and Mobix Merger Sub III, LLC, a Delaware limited liability company (“Merger Sub”) to acquire RaGE Systems, a leader in radio frequency joint design and manufacturing services for aggregate consideration of $12,000,000.”

SunPower Inc. amended Forward Purchase Agreement Second Amendment with Polar Multi-Strategy Master Fund valued at Reset price lowered to $1.00 per share; VWAP Trigger Event amended (effective 2024-05-08).

“On May 7 and 8, 2024, respectively, the Company entered into separate amendments to the Forward Purchase Agreements (the collectively the “Second Amendments”) with Sandia (the “Sandia Second Amendment”) and Polar (the “Polar Second Amendment”).”

SunPower Inc. amended Forward Purchase Agreement Second Amendment with Sandia Investment Management LP valued at Reset price lowered to $1.00 per share; VWAP Trigger Event amended (effective 2024-05-07).

“On May 7 and 8, 2024, respectively, the Company entered into separate amendments to the Forward Purchase Agreements (the collectively the “Second Amendments”) with Sandia (the “Sandia Second Amendment”) and Polar (the “Polar Second Amendment”).”

Petco Health & Wellness Company, Inc. entered into Stock Purchase Agreement with GSSB Corporation, an Ontario corporation of which Glenn Murphy is the sole stockholder, and Scooby Aggregator, LP valued at $2,500,001.30 (effective 2024-05-13).

“On May 13, 2024, Petco Health and Wellness Company, Inc. (the “Company”), GSSB Corporation, an Ontario corporation of which Glenn Murphy is the sole stockholder, and Scooby Aggregator, LP, a Delaware limited partnership, entered into a stock purchase agreement (the “Stock Purchase Agreement”) pursuant to which GSSB Corporation purchased 1,470,589 shares (the “Purchased Shares”) of Class A Common Stock, par value $0.001 per share (“Common Stock”), of the Company in a private placement at a price per share equal to $1.70 for a total of $2,500,001.30.”

NEXTNRG, INC. entered into Note with NextNRG Holding Corp. (formerly Next Charging, LLC) valued at $165,000 (effective 2024-05-08).

“On May 8, 2024, EzFill Holdings, Inc. (the “Company”) and NextNRG Holding Corp. (formerly Next Charging, LLC) (“Next”) entered into a promissory note (the “Note”) for the sum of $165,000 (the “Loan”)”

Acreage Holdings, Inc. amended Eighth Amendment to the Floating Share Arrangement Agreement with Canopy Growth Corporation; Canopy USA, LLC (effective 2024-05-08).

“On May 8, 2024, Acreage, Canopy and Canopy USA entered into an eighth amendment to the Floating Share Arrangement Agreement (the “Amendment”).”

Scholar Rock Holding Corp amended First Amendment with BMR-Rogers Street LLC valued at approximately $6.2 million per year (effective 2024-05-13).

“On May 13, 2024, Scholar Rock, Inc. (“Scholar Rock”) and BMR-Rogers Street LLC (the “Landlord”) entered into the First Amendment (the “Lease Amendment”) to the Lease Agreement (the “Lease”), dated November 5, 2019”

SCWorx Corp. amended Note with holder of the Note (effective 2024-05-10).

“On May 10, 2024, the Registrant and the holder of the Note amended and restated the Note to extend the maturity date until May 17, 2024.”

1847 Holdings LLC entered into Registration Rights Agreement with the Investor (effective 2024-05-08).

“In connection with the Private Placement, the Company also entered into a registration rights agreement with the Investor (the “ Registration Rights Agreement ”), pursuant to which the Company agreed to file a registration statement to register all common shares underlying the Note and the Warrant under the Securities Act of 1933, as amended, by May 31, 2024 and use its best efforts to cause such registration statement to be declared effective within ninety (90) days after the filing thereof.”

1847 Holdings LLC entered into Purchase Agreement with an accredited investor valued at $500,000 (effective 2024-05-08).

“On May 8, 2024, 1847 Holdings LLC (the “ Company ”) entered into a securities purchase agreement (the “ Purchase Agreement ”) with an accredited investor (the “ Investor ”), pursuant to which the Company issued and sold to the Investor a 20% OID subordinated promissory note in the principal amount of $625,000 (the “ Note ”) and a warrant for the purchase of 92,937 common shares (the “ Warrant ”) for a total purchase price of $500,000 in a private placement transaction (the “ Private Placement ”).”

CV Sciences, Inc. entered into Membership Interest Purchase Agreement with Elevated Softgels, LLC, Clayton J. Montgomery, Chris Fagan, Andrew Kester, Timothy McGreer valued at Cash payment of $100,000; issuance of 15,854,185 restricted shares valued at $637,000; issuance of 1 (effective 2024-05-08).

“On May 8, 2024, CV Sciences, Inc. (the “Company”), entered into a Membership Interest Purchase Agreement (the “Purchase Agreement”) by and among the Company, Elevated Softgels, LLC, a Delaware limited liability company (“Elevated Softgels”), Clayton J. Montgomery (a “Member”), Chris Fagan, Andrew Kester, and Timothy McGreer, pursuant to which the Company purchased all of the outstanding equity interests in Elevated Softgels, resulting in Elevated Softgels becoming a wholly owned subsidiary of the Company (the “Acquisition”).”

Apellis Pharmaceuticals, Inc. entered into Financing Agreement with Sixth Street Lending Partners valued at up to $475 million (effective 2024-05-13).

“On May 13, 2024 (the “Closing Date”), Apellis Pharmaceuticals, Inc. (the “Company”) entered into a financing agreement (the “Financing Agreement”) with the guarantors party thereto, the lenders party thereto (the “Lenders”), and Sixth Street Lending Partners, as the administrative agent and collateral agent for the Lenders. The Financing Agreement provides for a senior secured term loan facility of up to $475 million (the “Credit Facility”), consisting of an initial draw of $375 million at closing and a potential additional $100 million draw at the Company’s option upon satisfaction of a $50 million minimum cash requirement and a requirement that the Company’s trailing three-month sales of SYFOVRE were at least $180 million prior to the $100 million draw.”

LiveOne, Inc. entered into Sales Agreement with Roth Capital Partners, LLC valued at up to $25,000,000 (effective 2024-05-14).

“On May 14, 2024, LiveOne, Inc. (the “Company”) entered into a Sales Agreement (the “Sales Agreement”) with Roth Capital Partners, LLC (“Roth Capital”) as sales agent, pursuant to which the Company may sell, from time to time, at its sole discretion an aggregate of up to $25,000,000 of its shares of common stock”

AMERICAN COASTAL INSURANCE Corp entered into Claims Agreement with SageSure Capital Holdings, Inc. (effective 2024-05-09).

“IIC entered into a Claims Services Agreement (the "Claims Agreement") with SageSure Capital Holdings, Inc., dated as of May 9, 2024”

AMERICAN COASTAL INSURANCE Corp entered into Administrator Agreement with SageSure Insurance Managers, LLC (effective 2024-05-09).

“In addition, in connection with the Sale Agreement, IIC and SageSure Insurance Managers, LLC entered into a Program Administrator Agreement (the "Administrator Agreement"), dated as of May 9, 2024”

AMERICAN COASTAL INSURANCE Corp entered into Sale Agreement with Forza Insurance Holdings, LLC (effective 2024-05-09).

“On May 9, 2024, American Coastal Insurance Corporation (“ACIC” or the “Company”) entered into a Stock Purchase Agreement (the "Sale Agreement") with Forza Insurance Holdings, LLC ("Forza") in which ACIC will sell and Forza will acquire 100% of the issued and outstanding stock of ACIC's subsidiary, Interboro Insurance Company ("IIC").”

Pacira BioSciences, Inc. entered into Indenture with Computershare Trust Company, National Association, as trustee valued at 2.125% Convertible Senior Notes due 2029 (effective 2024-05-14).

“On May 14, 2024, the Company entered into an Indenture relating to the issuance of the Notes (the “Indenture”), by and between the Company and Computershare Trust Company, National Association, as trustee (the “Trustee”).”

Pacira BioSciences, Inc. entered into Purchase Agreement with Jefferies LLC and J.P. Morgan Securities LLC, as representatives of the several initial purchasers named therein valued at $250.0 million principal amount of its 2.125% Convertible Senior Notes due 2029 (effective 2024-05-09).

“On May 9, 2024, Pacira BioSciences, Inc. (the “Company”) entered into a purchase agreement (the “Purchase Agreement”) with Jefferies LLC and J.P. Morgan Securities LLC, as representatives of the several initial purchasers named therein (collectively, the “Initial Purchasers”), to issue and sell $250.0 million principal amount of its 2.125% Convertible Senior Notes due 2029”

GLADSTONE INVESTMENT CORPORATION\DE entered into Sales Agreements with Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc., B. Riley Securities, Inc., Virtu Americas LLC valued at $75 million (effective 2024-05-14).

“Gladstone Investment Corporation (the “Company”) entered into separate sales agreements, each dated May 14, 2024 (collectively, the “Sales Agreements”), with Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc. B. Riley Securities, Inc. and Virtu Americas LLC (each, a “Sales Agent” and, collectively, the “Sales Agents”), providing for the issuance of up to an aggregate of $75 million of its common stock”

BATTALION OIL CORP entered into Series A-4 Purchase Agreement with certain funds managed by Luminus Management, LLC, Oaktree Capital Management, LP, and LSP Investment Advisors, LLC valued at approximately $19,500,000 (effective 2024-05-13).

“On May 13, 2024, Battalion Oil Corporation, a Delaware corporation (the “ Company ” or “ we ”), entered into a Purchase Agreement (the “ Series A-4 Purchase Agreement ”) with each of the purchasers set forth on Schedule A thereto (the “ Series A-4 Purchasers ”), pursuant to which the Company agreed to sell to the Buyers, in a private placement, an aggregate of 20,000 shares of Series A-4 Redeemable Convertible Preferred Stock, par value $0.0001 per share (the “ Series A-4 Preferred Stock ” and the purchase and sale of such shares of Series A-4 Preferred Stock , the “ Series A-4 Preferred Stock Transaction ”).”

CHARTER COMMUNICATIONS, INC. /MO/ entered into Twenty-Fifth Supplemental Indenture with the Trustee and Collateral Agent valued at $1,500,000,000 aggregate principal amount of 6.100% Senior Secured Notes due 2029 and $1,500,000,000 (effective 2024-05-14).

“On the Closing Date, the Issuers, CCO Holdings, LLC (the “Parent Guarantor”) and the Subsidiary Guarantors entered into a supplemental indenture with the Trustee and Collateral Agent in connection with the issuance of the Notes and the terms thereof (the “Twenty-Fifth Supplemental Indenture”).”

INTEST CORP entered into Purchase Agreement with Mauro Arigossi; Elettra S.S. valued at approximately €20 million (effective 2024-03-12).

“On March 12, 2024 inTEST Corporation (the “Company”) entered into a stock purchase agreement (the “Purchase Agreement”) by and among inTEST Italy, Inc., a wholly owned subsidiary of the Company (“Buyer”), Mauro Arigossi (“Arigossi”), and Elettra S.S., a company incorporated under the Laws of Italy (“Elettra”, and together with Arigossi, each a “Seller” and collectively, the “Sellers”).”

LIFECORE BIOMEDICAL, INC. DE amended Seventh Amendment to Credit Agreement with BMO Bank N.A. valued at Established FILO tranche of revolving loans with interest at SOFR plus 4.25%, monthly FILO Cap reduc (effective 2024-05-10).

“On May 10, 2024, Lifecore Biomedical, Inc. (the “ Company ”), Curation Foods, Inc. (“ Curation ”) and Lifecore Biomedical Operating Company, Inc. (together with the Company and Curation, the “ Borrowers ”), and BMO Bank N.A. (f/k/a BMO Harris Bank N.A.) (“ BMO ”) entered into that certain Seventh Amendment to Credit Agreement (the “ FILO Amendment ”), which amended that certain Credit Agreement, dated as of December 31, 2020 (as amended, restated, amended and restated, supplemented or otherwise modified prior to the date of the FILO Amendment, the “ ABL Credit Agreement ” and the ABL Credit Agreement, as amended by the FILO Amendment, the “ Amended ABL Credit Agreement ”), by and among, inter alios, the Borrowers and BMO.”