Material Agreements

Grom Social Enterprises, Inc. amended April 2024 Note Amendment with Generating Alpha Ltd. (effective 2024-04-24).

“In connection with the April 2024 SPA Amendment, the Company entered into an amendment (the “ April 2024 Note Amendment ”) to the convertible promissory note dated April 4, 2024 issued to the Investor in connection with the April 2024 SPA (as amended on April 24, 2024, the “ April 2024 Note ”) with the Investor pursuant to which in no event shall the conversion price be less than $0.17.”

Grom Social Enterprises, Inc. amended April 2024 SPA Amendment with Generating Alpha Ltd. (effective 2024-04-24).

“On April 24, 2024, the Company entered into a first amendment agreement (the “ April 2024 SPA Amendment ”) to the securities purchase agreement dated April 1, 2024 (as amended on April 24, 2024, the “ April 2024 SPA ”) with the Investor pursuant to which the Company shall promptly effect a reverse stock split in the event that the closing price of Common Stock falls below $0.25 per share for a period of five consecutive trading days.”

Grom Social Enterprises, Inc. amended Omnibus Amendment Agreement with Generating Alpha Ltd. (effective 2024-04-24).

“On April 24, 2024, Grom Social Enterprises, Inc., a Florida corporation (the “ Company ”), entered into an omnibus amendment agreement (the “ Omnibus Amendment Agreement ”) with Generating Alpha Ltd., a Saint Kitts and Nevis Corporation (the “ Investor ”).”

HEALTHY EXTRACTS INC. terminated Acquisition Agreement with Hyperion, L.L.C. and Online Publishing & Marketing, LLC valued at Termination of Acquisition Agreement (effective 2024-04-18).

“On January 13, 2023, we entered into an Acquisition Agreement for the acquisition of Hyperion, L.L.C. and Online Publishing & Marketing, LLC, both Virginia limited liabilities companies, by merging them into our newly-formed wholly-owned subsidiaries, Green Valley Natural Solutions, LLC (“Green Valley”) and Online Publishing & Marketing, LLC (“OPM”), both Nevada limited liability companies. We have not completed the acquisitions, and on April 18, 2024, we received a Notice of Termination of the Acquisition Agreement from both Hyperion, L.L.C. and Online Publishing & Marketing, LLC.”

Cidara Therapeutics, Inc. terminated 2021 Collaboration Agreement with Janssen Pharmaceuticals, Inc. valued at Terminated upon effectiveness of the Janssen License Agreement (effective 2024-04-24).

“Upon the effectiveness of the Janssen License Agreement, the 2021 Collaboration Agreement, including the license granted by the Company to Janssen and the Company’s non‐compete covenant thereunder, terminated, and the Company assumed responsibility for further clinical development, manufacture, registration and commercialization of DFCs within the Influenza Program (“Compounds”), including CD388, and products containing Compounds (“Products”), including Products containing CD388 (“CD388 Product”).”

Cidara Therapeutics, Inc. entered into Securities Purchase Agreement with Institutional and other accredited investors valued at 240,000 shares of Series A Convertible Voting Preferred Stock at $1,000 per share for total gross pr (effective 2024-04-23).

“On April 23, 2024 (the “Signing Date”), the Company entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain institutional and other accredited investors (the “Purchasers”), pursuant to which the Company issued and sold, in a private placement (the “Private Placement”), 240,000 shares of Series A Convertible Voting Preferred Stock, par value $0.0001 per share (the “Series A Preferred Stock”), at a purchase price of $1,000 per share.”

Cidara Therapeutics, Inc. entered into License and Technology Transfer Agreement with Janssen Pharmaceuticals, Inc. valued at Upfront payment of $85 million; up to $150 million in development and regulatory milestone payments; (effective 2024-04-24).

“On April 23, 2024 (the “Signing Date”), the Company and Janssen Pharmaceuticals, Inc. (“Janssen”) entered into a license and technology transfer agreement (the “Janssen License Agreement”) related to drug-Fc conjugates (“DFCs”) based on the Company’s Cloudbreak ® platform for the prevention and treatment of influenza (“Influenza Program”), including CD388, the Company’s most advanced DFC program, which has completed a Phase 2a clinical trial.”

Cidara Therapeutics, Inc. terminated Asset Purchase Agreement-related termination with NAPP Pharmaceutical Group Limited valued at Termination of certain material definitive agreements in connection with asset sale; see Item 1.01 (effective 2024-04-24).

“Item 1.02 Termination of a Material Definitive Agreement. See Item 1.01 above, which is incorporated by reference into this Item 1.02.”

Cidara Therapeutics, Inc. amended Melinta License Agreement with Melinta Therapeutics, LLC valued at Modified regulatory milestones payable upon receipt of marketing approval of rezafungin acetate for (effective 2024-04-23).

“In connection with the Purchase Agreement and as a condition to entering into the Purchase Agreement, the Company entered into an amendment, dated April 23, 2024, to the Melinta License Agreement (the "Melinta License Amendment") that, among other changes, modified the regulatory milestones payable upon receipt of marketing approval of the current rezafungin acetate product for an Additional Indication (as defined in the Melinta License Agreement).”

Cidara Therapeutics, Inc. entered into Assignment and Novation Agreement with NAPP Pharmaceutical Group Limited and Mundipharma Medical Company valued at Transfer of Mundipharma Collaboration Agreement and Commercial Supply Agreement from Company to NAPP (effective 2024-04-24).

“The Company, NAPP and Mundipharma also entered into an Assignment and Novation Agreement to transfer the Mundipharma Collaboration Agreement and Commercial Supply Agreement from the Company to NAPP (the "Novation Agreement").”

Cidara Therapeutics, Inc. entered into Asset Purchase Agreement with NAPP Pharmaceutical Group Limited valued at Assumption of liabilities including costs of ReSPECT Phase 3 and ReSTORE Phase 3 clinical trials; fo (effective 2024-04-24).

“On April 24, 2024, the Company and NAPP Pharmaceutical Group Limited, a company organized under the laws of England ("NAPP"), and an affiliate of Mundipharma Medical Company ("Mundipharma"), entered into an Asset Purchase Agreement (the "Purchase Agreement") pursuant to which the Company sold to NAPP, effective as of April 24, 2024, all of the Company's rezafungin acetate assets, including all of the Company's right to receive future milestones and royalties under the License Agreement, dated July 26, 2022 between the Company and Melinta Therapeutics, LLC, as amended, (the "Melinta License Agreement") and the License and Collaboration Agreement dated September 3, 2019 between the Company and Mundipharma, as amended, (the "Mundipharma Collaboration Agreement"), all rezafungin intellectual property rights, including patents and know-how, all product data, regulatory approvals and documentation, rezafungin and comparator inventory, specified prepaid assets and specified contracts, in exch”

STORE CAPITAL LLC entered into Note Purchase Agreement with ATLAS SP Securities, a division of Apollo Global Securities, LLC, Citigroup Global Markets Inc., BofA Securities, Inc., Truist Securities, Inc., Capital One Securities, Inc., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and Scotia Capital (USA) Inc valued at $450,000,000 aggregate principal amount (effective 2024-04-05).

“On April 18, 2024, STORE Capital LLC, a Delaware limited liability company (the “ Company ”), completed the issuance of $450,000,000 aggregate principal amount of STORE Master Funding Net-Lease Mortgage Notes, Series 2024-1 (the “ Notes ”) by STORE Master Funding I, LLC, STORE Master Funding II, LLC, STORE Master Funding III, LLC, STORE Master Funding IV, LLC, STORE Master Funding V, LLC, STORE Master Funding VI, LLC, STORE Master Funding VII, LLC, STORE Master Funding XIV, LLC, STORE Master Funding XIX, LLC, STORE Master Funding XX, LLC, STORE Master Funding XXII, LLC and STORE Master Funding XXIV, LLC (together, the “ Issuers ”).”

VERDE RESOURCES, INC. entered into Services Agreements with Dr. Nam Tran and Dr. Raymond Powell valued at 3,000,000 shares of the Company’s restricted common stock (effective 2024-04-20).

“On April 20, 2024, Verde Resources, Inc. (the “Company”) entered into two Services Agreements (the “Agreements”) with Dr. Nam Tran and Dr. Raymond Powell”

Vita Coco Company, Inc. entered into Co-Manufacturing and Purchasing Agreement with Axelum Resources Corp. (effective 2024-04-18).

“On April 18, 2024, All Market Singapore PTE Ltd., a wholly owned subsidiary of The Vita Coco Company, Inc. (the “Company”), entered into a Co-Manufacturing and Purchasing Agreement (the “Manufacturing Agreement”) with Axelum Resources Corp. (“Axelum”).”

KINETA, INC./DE entered into settlement agreement and mutual release with RLB Holdings Connecticut, LLC valued at $500,000 (effective 2024-04-22).

“On April 22, 2024, Kineta, Inc. (the “Company”) entered into a settlement agreement and mutual release (the “Agreement”) by and between the Company and RLB Holdings Connecticut, LLC (“RLB”) to continue RLB’s investment in the Company and to resolve any and all potential claims or causes of action in connection with RLB’s failure to purchase $2,500,000 shares of the Company’s common stock, par value $0.001 per share (“Common Stock”), pursuant to a financing agreement, dated as of June 5, 2022, as amended on October 24, 2022, December 5, 2022, March 29, 2023, May 1, 2023, July 21, 2023 and October 13, 2023.”

ORION ENERGY SYSTEMS, INC. amended Amendment No. 2 with Bank of America, N.A. valued at $3.525 million (effective 2024-04-22).

“Effective April 22, 2024, Orion Energy Systems, Inc. (the “Company”), with Bank of America, N.A. as lender, executed Amendment No. 2 (“Amendment No. 2”) to its Loan and Security Agreement dated December 29, 2020 and amended previously on November 4, 2022 (the “LSA”).”

Venus Concept Inc. entered into Loan and Security Agreement with Madryn Health Partners, LP valued at $2,237,906.85 (effective 2024-04-23).

“On April 23, 2024, Venus Concept Inc. (the “Company”) entered into a Loan and Security Agreement (the “Loan and Security Agreement”), by and among Venus Concept USA Inc. (the “Borrower”), Venus Concept Canada Corp. (“Venus Canada”), Venus Concept Ltd. (“Venus Israel”, and together with the Company and Venus Canada, the “Guarantors,” and together with the Borrower, the “Loan Parties”), each lender party thereto (collectively, the “Lenders”) and Madryn Health Partners, LP, as administrative agent (“Madryn”).”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Underwriting Agreement with Santander Consumer USA Inc., Santander Drive Auto Receivables LLC, and Barclays Capital Inc. (representative of underwriters) valued at sale of Publicly Registered Notes to Underwriters: Barclays Capital Inc., Santander US Capital Marke (effective 2024-04-16).

“The Publicly Registered Notes were sold to Barclays Capital Inc., Santander US Capital Markets LLC, Wells Fargo Securities, LLC, Academy Securities, Inc. and Samuel A. Ramirez & Company, Inc. (together, the “Underwriters”), pursuant to an Underwriting Agreement, dated as of April 16, 2024, by and among SC, Santander Drive and Barclays Capital Inc., on behalf of itself and as representative of the Underwriters.”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Administration Agreement with Santander Consumer USA Inc. and Wilmington Trust, National Association valued at provision by SC of certain administration services on behalf of the Issuer relating to the Notes (effective 2024-04-24).

“On the Closing Date, the Issuer, SC, as administrator, and the Indenture Trustee entered into an Administration Agreement, dated as of the Closing Date (the “Administration Agreement”), relating to the provision by SC of certain administration services on behalf of the Issuer relating to the Notes.”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Indenture with Santander Drive Auto Receivables Trust 2024-2 and Wilmington Trust, National Association valued at Issuance of Class A-2 5.80%, A-3 5.63%, B 5.78%, C 5.84%, D 6.28% Auto Loan Asset Backed Notes (Publ (effective 2024-04-24).

“On the Closing Date, the Issuer entered into an Indenture, dated as of the Closing Date (the “Indenture”), by and between the Issuer and the Indenture Trustee. Pursuant to the Indenture, the Issuer caused the issuance of the following notes: the Class A-2 5.80% Auto Loan Asset Backed Notes, the Class A-3 5.63% Auto Loan Asset Backed Notes, the Class B 5.78% Auto Loan Asset Backed Notes, the Class C 5.84% Auto Loan Asset Backed Notes and the Class D 6.28% Auto Loan Asset Backed Notes (collectively, the “Publicly Registered Notes”) and the Class A-1 5.598% Auto Loan Asset Backed Notes (the “Retained Notes” and together with the Publicly Registered Notes, the “Notes”).”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Asset Representations Review Agreement with Santander Consumer USA Inc. and Clayton Fixed Income Services LLC valued at review of certain representations relating to Receivables after satisfaction of conditions (effective 2024-04-24).

“On the Closing Date, the Issuer, SC, as sponsor and servicer, and Clayton Fixed Income Services LLC, as asset representations reviewer, entered into an Asset Representations Review Agreement, dated as of the Closing Date (the “Asset Representations Review Agreement”), relating to the review of certain representations relating to the Receivables after satisfaction of certain conditions.”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Sale and Servicing Agreement with Santander Drive, Santander Consumer USA Inc., and Wilmington Trust, National Association valued at Receivables and related property transferred to Issuer; SC to act as servicer (effective 2024-04-24).

“On the Closing Date, the Issuer entered into a Sale and Servicing Agreement, dated as of the Closing Date (the “Sale and Servicing Agreement”), with Santander Drive, as seller, SC, as servicer, and Wilmington Trust, National Association, as indenture trustee (the “Indenture Trustee”), pursuant to which the Receivables and related property were transferred to the Issuer and pursuant to which SC agreed to act as servicer for the Receivables.”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Amended and Restated Trust Agreement with Santander Drive, Citibank, N.A., and Citicorp Trust Delaware, National Association valued at established and amended and restated the trust for Santander Drive Auto Receivables Trust 2024-2 (effective 2024-04-24).

“Santander Drive Auto Receivables Trust 2024-2 (the “Issuer”), a Delaware statutory trust, was established by a Trust Agreement, dated as of December 21, 2023, which was amended and restated by an Amended and Restated Trust Agreement, dated as of the Closing Date (the “Amended and Restated Trust Agreement”) , by and between Santander Drive, Citibank, N.A., as owner trustee, and Citicorp Trust Delaware, National Association, as Delaware trustee.”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Purchase Agreement with Santander Consumer USA Inc. valued at motor vehicle retail installment sales contracts and installment loans relating to certain new and u (effective 2024-04-24).

“Santander Consumer USA Inc. (“SC”) and Santander Drive Auto Receivables LLC (“Santander Drive”) entered into a Purchase Agreement (the “Purchase Agreement”), dated as of April 24, 2024, (the “Closing Date”), pursuant to which SC transferred to Santander Drive certain motor vehicle retail installment sales contracts and installment loans relating to certain new and used automobiles, heavy-duty trucks, light-duty trucks, SUVs and vans (the “Receivables”) and related property.”

Comstock Inc. amended Warrant Agreements with Alvin Fund LLC and GHF Inc. valued at lowered exercise price of First GHF, Third GHF, and Alvin Fund warrants to $0.4555 per share; extend (effective 2024-04-22).

“On April 22, 2024, the Company, Alvin Fund, and GHF amended the Warrant Agreements (referred to herein as the “Alvin Fund Warrant Agreement Amendment, the “First GHF Warrant Agreement Amendment, the “Second GHF Warrant Agreement Amendment” and the “Third GHF Warrant Agreement Amendment”) to (i) lower the exercise price of the First GHF Warrant Agreement, the Third GHF Warrant Agreement and Alvin Fund Warrant Agreement to $0.4555 per share, and (ii) extend the expiration date of the Warrant Agreements to December 31, 2025.”

Comstock Inc. amended GHF Note with GHF Inc. valued at extended maturity from December 15, 2024 to April 15, 2026; increased interest rate from 6% to 12% p (effective 2024-04-22).

“On April 22, 2024, the Company and GHF amended the GHF Note (the “GHF Note Amendment”) to (i) extend the maturity date from December 15, 2024 to April 15, 2026, (ii) to increase the interest rate from 6% to 12% per annum, and (iii) include an additional payment equal to two months of interest if paid in full prior to April 15, 2026.”

Comstock Inc. amended 2023 Alvin Fund Note with Alvin Fund LLC valued at extended maturity from February 12, 2025 to April 15, 2026; increased interest rate from 8% to 12% p (effective 2024-04-22).

“On April 22, 2024, the Company and Alvin Fund also amended the 2023 Alvin Fund Note (the “2023 Alvin Fund Note Amendment”) to (i) extend the maturity date from February 12, 2025 to April 15, 2026, (ii) to increase the interest rate from 8% to 12% per annum, and (iii) include an additional payment equal to two months of interest, if paid in full prior to April 15, 2026.”

Comstock Inc. amended 2022 Alvin Fund Note with Alvin Fund LLC valued at extended maturity from January 31, 2026 to April 15, 2026; additional payment equal to two months of (effective 2024-04-22).

“On April 22, 2024, the Company and Alvin Fund amended the 2022 Alvin Fund Note (the “2022 Alvin Fund Note Amendment”) to (i) extend the maturity date from January 31, 2026 to April 15, 2026, and (ii) include an additional payment equal to two months of interest, if paid in full prior to April 15, 2026.”

Comstock Inc. entered into RenFuel Securities Purchase Agreement with Ren Fuel K2B AB (effective 2024-04-19).

“On April 19, 2024, Comstock Inc. (the “Company”) entered into a securities purchase agreement (the “RenFuel Securities Purchase Agreement”) with Ren Fuel K2B AB (“RenFuel”), whereby RenFuel issued to the Company twelve tranches of 7% Senior Secured Convertible Notes (collectively, the “RenFuel Notes”) in the principal amount of $250,000 each, up to an aggregate principal amount of $3,000,000.”

ALIGN TECHNOLOGY INC entered into Subscription Agreement with Heartland Dental Holding Corporation valued at $75 million (effective 2024-04-22).

“On April 22, 2024, Align Technology, Inc. (“Align”) and Heartland Dental Holding Corporation (“Heartland”) entered into a Subscription Agreement (the “Subscription Agreement”), which provides, among other things, for Align to acquire less than a 5% equity interest in Heartland through the purchase of Class A Common Stock for $75 million”

BELDEN INC. amended Amendment No. 2 to Second Amended and Restated Credit Agreement with JPMorgan Chase Bank, N.A., as administrative agent, and a syndicate of lenders (effective 2024-04-16).

“On April 16, 2024, Belden Inc., a Delaware corporation (the “Company”), as borrower representative on behalf of certain of its U.S. and non-U.S. subsidiaries, the Lenders (as defined below) and Administrative Agent (as defined below), entered into Amendment No. 2 to Second Amended and Restated Credit Agreement (the “Amendment”), which amends the Second Amended and Restated Credit Agreement (the “Second Amended and Restated Credit Agreement”) by and among the Company, as the U.S. borrower, certain non-U.S. subsidiaries of the Company located in Canada, Germany, the United Kingdom and the Netherlands, as foreign borrowers, certain other U.S. and non-U.S. subsidiaries of the Company party thereto as guarantors, JPMorgan Chase Bank, N.A., as administrative agent (the “Administrative Agent”), and a syndicate of lenders (the “Lenders”).”

MUELLER INDUSTRIES INC entered into Equity Purchase Agreement with Raymond Hott, Melissa Spellman, The Melissa W. Spellman Trust DTD 9/28/12, Renee Kozin, Julie Hott, Rebecca Hott, Nehring Electrical Works Company and certain affiliated entities valued at approximately $575 million in cash (effective 2024-04-19).

“On April 19, 2024, Mueller Industries, Inc. (the “Buyer”) entered into an Equity Purchase Agreement (the “Purchase Agreement”) with (i) Raymond Hott, Melissa Spellman, The Melissa W. Spellman Trust DTD 9/28/12, Renee Kozin, Julie Hott and Rebecca Hott (the “Sellers”), (ii) Nehring Electrical Works Company (“Nehring”) and (iii) certain of Nehring’s affiliated entities (collectively with Nehring, the “Companies”) providing for the purchase by the Buyer and the sale by the Sellers of all of the outstanding equity interests (the “Purchased Equity”) of the Companies.”

BIOLIFE SOLUTIONS INC entered into Consent and Second Amendment to Loan and Security Agreement with Silicon Valley Bank, a division of First-Citizens Bank & Trust Company (effective 2024-04-17).

“On April 17, 2024, the Company entered into a Consent and Second Amendment to Loan and Security Agreement, dated April 17, 2024 (the “Amendment”), by and among Silicon Valley Bank, a division of First-Citizens Bank & Trust Company (“Bank”), the Company, SAVSU Technologies, Inc., a Delaware corporation (“SAVSU”), Arctic Solutions, Inc., a Delaware corporation doing business as Custom Biogenic Systems (“Arctic”), SciSafe Holdings, Inc., a Delaware corporation (“SciSafe”), Global Cooling, and Sexton Biotechnologies, Inc., a Delaware corporation (“Sexton,” and together with the Company, SAVSU, Arctic, SciSafe, and Global Cooling, “Borrower”).”

BIOLIFE SOLUTIONS INC entered into Stock Purchase Agreement with GCI Holdings Company, LLC valued at $1.00 (effective 2024-04-17).

“on April 17, 2024, BioLife Solutions, Inc., a Delaware corporation (the “Company”), entered into a Stock Purchase Agreement, dated April 17, 2024 (the “Purchase Agreement”), by and between the Company and GCI Holdings Company, LLC, an Ohio limited liability company that is wholly owned by an employee of Global Cooling (as defined below) (“Buyer”), for the sale of all of the issued and outstanding shares of common stock (the “Shares”) of Global Cooling, Inc., a Delaware corporation and wholly owned subsidiary of the Company (“Global Cooling”), to Buyer for an aggregate purchase price of $1.00 (the “Transaction”).”

TUTOR PERINI CORP entered into Indenture with Wilmington Trust, National Association valued at $400.0 million (effective 2024-04-22).

“On April 22, 2024 (the “Closing Date”), Tutor Perini Corporation (the “Company”) completed the previously announced sale of $400.0 million in aggregate principal amount of 11.875% Senior Notes due 2029 (the “Notes”) at an issue price of 97.710% (the “Notes Offering”).”

SEKISUI HOUSE U.S., INC. amended First Amendment to Sublease Agreement with CVentures, Inc. (effective 2024-04-18).

“Effective April 18, 2024, M.D.C. Holdings, Inc. (the “Company”) entered into a First Amendment to Sublease Agreement with CVentures, Inc., an affiliate of Larry A. Mizel, the Company’s Executive Chairman.”

INTRUSION INC entered into Subscription Agreements with the purchasers named therein valued at approximately $2.6 million (effective 2024-04-22).

“On April 22, 2024, Intrusion Inc., a Delaware corporation (the “Company”), entered into private placement subscription agreements (“Subscription Agreements”) with the purchasers named therein (the “Purchasers”) (the “Offering”) pursuant to which the Company agreed to sell an aggregate of 1,348,569 shares of the Company’s common stock”

Unusual Machines, Inc. entered into Merger Agreement with Unusual Machines, Inc., a Nevada corporation (effective 2024-04-19).

“On April 19, 2024, Unusual Machines, Inc., a Puerto Rico corporation (“UMAC PR” or the “Company”) entered into an Agreement and Plan of Merger (the “Merger Agreement”) with its wholly owned subsidiary, Unusual Machines, Inc., a Nevada corporation (“UMAC Nevada”)”

Alternus Clean Energy, Inc. entered into Securities Purchase Agreement with Institutional Investor valued at $2,160,000 senior convertible note with 8% OID and warrant to purchase up to 2,411,088 shares of com (effective 2024-04-19).

“On April 19, 2024, Alternus Clean Energy, Inc. (the “ Company ”), a company incorporated under the laws State of Delaware, entered into a Securities Purchase Agreement (the “ Purchase Agreement ”), by and between the Company and an institutional investor (the “ Investor ”), pursuant to which the Company agreed to issue to the Investor a senior convertible note in the principal amount of $2,160,000, issued with an eight percent (8.0%) original issue discount (the “ Convertible Note ”), and a warrant (the “ Warrant ”) to purchase up to 2,411,088 shares of the Company’s common stock”

MAIA Biotechnology, Inc. entered into "Purchase Agreement" with certain accredited investors valued at aggregate purchase price of approximately $664,994 (effective 2024-04-22).

“On April 22, 2024, MAIA Biotechnology, Inc. (the “ Company ”) entered into a Securities Purchase Agreement (the “ Purchase Agreement ”) with certain accredited investors (the “ Investors ”) for the issuance and sale in a private placement (the “ Private Placement ”) of: (i) 326,939 shares (the “ Investor Shares ”) of the Company’s common stock, par value $0.0001 per share (“ Common Stock ”), and (ii) warrants (the “ Investor Warrants ”) to purchase up to 326,939 shares of Common Stock, at a price per share of $2.034, for an aggregate purchase price of approximately $664,994.”

EON Resources Inc. amended Second Amendment to Term Loan Agreement with First International Bank & Trust valued at Modified debt service reserve requirement; waived 60-day deposit deadline (effective 2024-03-31).

“On April 18, 2024, the Loan Parties and FIBT entered into a Second Amendment to Term Loan Agreement (the “Amendment”) effective as of March 31, 2024.”

Serve Robotics Inc. /DE/ entered into Underwriting Agreement with Aegis Capital Corp. valued at 10,000,000 shares of the Company’s common stock, par value $0.0001 per share, at a public offering p (effective 2024-04-17).

“On April 17, 2024 (the “Effective Date”), Serve Robotics Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Aegis Capital Corp. (“Aegis”) in connection with the public offering of 10,000,000 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), at a public offering price of $4.00 per share”

ContextLogic Inc. terminated Revolving Credit Facility with JPMorgan Chase Bank, N.A. valued at up to $280 million (effective 2024-04-19).

“On April 19, 2024, at the closing of the Asset Sale, the Company terminated its Revolving Credit Agreement, dated as of November 20, 2020, by and among the Company, as the Borrower, the Lenders party thereto, the Issuing Banks party thereto, and JPMorgan Chase Bank, N.A., as the Administrative Agent (the “ Revolving Credit Facility ”), as well as the related security agreements.”

Tarsus Pharmaceuticals, Inc. entered into Loan Agreement with funds managed by Pharmakon Advisors LP, BioPharma Credit Investments V (Master) LP and BPCR Limited Partnership, as lenders, and BioPharma Credit PLC, as collateral agent valued at initial term loan in the principal amount of $75 million (effective 2024-04-19).

“On April 19, 2024, Tarsus Pharmaceuticals, Inc., a Delaware corporation (the “Company”) entered into an agreement with funds managed by Pharmakon Advisors LP, BioPharma Credit Investments V (Master) LP and BPCR Limited Partnership, as lenders, and BioPharma Credit PLC, as collateral agent for the lenders, and the guarantors party to such agreement (the “Loan Agreement”). The Loan Agreement provides for an initial term loan in the principal amount of $75 million”

Renalytix plc entered into Purchase Agreement with DB Capital Partners Healthcare, L.P. (effective 2024-04-05).

“on April 5, 2024, Renalytix plc (the “ Company ”) entered into a securities purchase agreement (the “ Purchase Agreement ”) with DB Capital Partners Healthcare, L.P. (the “ Purchaser ”)”

Vertex, Inc. amended Fourth Amendment to Credit Agreement with the guarantors party thereto, PNC Bank, National Association, as administrative agent, and the lenders party thereto (effective 2024-04-19).

“On April 19, 2024, Vertex, Inc. (the “Company”), the guarantors party thereto, PNC Bank, National Association, as administrative agent, and the lenders party thereto entered into the Fourth Amendment to Credit Agreement (the “Fourth Amendment”), which amended the Credit Agreement by and among the Company, the guarantors party thereto, PNC Bank, National Association, as administrative agent, and the lenders party thereto, dated as of March 31, 2020 (as previously amended, the “Credit Agreement”), providing for, among other things, amendment of the definition of “Approved Convertible Debt” in Section 1.1 of the Credit Agreement by deleting the phrase “Two Hundred Million Dollars ($200,000,000)” and inserting in lieu thereof the phrase “Three Hundred Million Dollars ($300,000,000).””

NexPoint Real Estate Finance, Inc. entered into NREF Note with NexPoint Diversified Real Estate Trust Operating Partnership, L.P. valued at $6.5 million (effective 2024-04-19).

“borrowed $6.5 million from NexPoint Diversified Real Estate Trust Operating Partnership, L.P. (“NXDT OP”), the operating partnership of NexPoint Diversified Real Estate Trust, an entity that is advised by an affiliate of the manager of NREF. In connection with the loan, OP IV issued a $6.5 million note (the “NREF Note”) to NXDT OP on April 19, 2024.”

Morgan Stanley Direct Lending Fund amended Fourth Amendment with the lenders and issuing banks from time to time parties thereto, Truist Bank, as Administrative Agent, Truist Securities, Inc., as Joint Lead Arranger and Sole Book Runner, and ING Capital LLC, MUFG Bank, Ltd., and Sumitomo Mitsui Banking Corporation, as additional Joint Lead Arrangers valued at $1,300,000,000 (effective 2024-04-19).

“On April 19, 2024, Morgan Stanley Direct Lending Fund (the “Company”), a Delaware corporation, entered into an amendment (the “Fourth Amendment”) to that certain Senior Secured Revolving Credit Agreement”

ATIF Holdings Ltd entered into Purchase Agreements with one U.S. accredited investor and one non-U.S. investor valued at gross proceeds in the amount of $1,000,002.38 (effective 2024-04-18).

“On April 18, 2024, ATIF Holdings Limited (the “Company”) entered into two securities purchase agreements (the “Purchase Agreements”) in a private placement (the “Private Placement”) of the Company’s newly issued ordinary shares”

Datavault AI Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at Placement agent on reasonable best efforts basis; fee of 8.0% of gross proceeds; expense reimburseme (effective 2024-04-19).

“on April 19, 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.”