secwatch / observer

Material Agreements

Entry into or termination of material definitive agreements (Items 1.01/1.02).

8-K items 1.01, 1.02 JSON
SANTANDER DRIVE AUTO RECEIVABLES LLC

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

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

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

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.”
LODE Comstock Inc.

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.”
LODE Comstock Inc.

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.”
LODE Comstock Inc.

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.”
LODE Comstock Inc.

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.”
LODE Comstock Inc.

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.”
ALGN ALIGN TECHNOLOGY INC

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”
BDC BELDEN INC.

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”).”
MLI MUELLER INDUSTRIES INC

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.”
BLFS BIOLIFE SOLUTIONS INC

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”).”
BLFS BIOLIFE SOLUTIONS INC

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”).”
TPC TUTOR PERINI CORP

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.

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.”
INTZ INTRUSION INC

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”
UMAC Unusual Machines, Inc.

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.

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 MAIA Biotechnology, Inc.

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.”
EONR EON Resources Inc.

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.”
SERV Serve Robotics Inc. /DE/

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.

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.”
TARS Tarsus Pharmaceuticals, Inc.

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”
RNLXY Renalytix plc

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 ”)”
VERX Vertex, Inc.

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).””
NREF NexPoint Real Estate Finance, Inc.

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.”
MSDL Morgan Stanley Direct Lending Fund

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”
ZBAI ATIF Holdings Ltd

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”
DVLT Datavault AI Inc.

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.”
DVLT Datavault AI Inc.

Datavault AI Inc. entered into Securities Purchase Agreement with certain purchasers valued at Registered direct offering of 361,904 shares at $5.25 per share and concurrent private placement of (effective 2024-04-19).

“On April 23, 2024, the Company closed (the “Closing”) an offering with certain purchasers signatory to that certain securities purchase agreement dated April 19, 2024 (the “Purchase Agreement”).”
NTRB NutriBand Inc.

NutriBand Inc. entered into Subscription Agreement with European investors valued at $8,400,000 (effective 2024-04-19).

“On April 19, 2024, the Company completed an $8,400,000 equity financing with European investors (the “Offering”) of 2,100,000 units (“Units”), at a price of $4.00 per Unit, each Unit consisting of one share of common stock (“Shares”) and a Warrant to purchase two Shares of common stock (the “Warrants”).”
AREB AMERICAN REBEL HOLDINGS INC

AMERICAN REBEL HOLDINGS INC entered into Revenue Interest Purchase Agreement with an individual accredited investor valued at $500,000 (effective 2024-04-19).

“On April 19, 2024, the Registrant entered into a Revenue Interest Purchase Agreement (the “ Revenue Interest Purchase Agreement ”) with an individual accredited investor, pursuant to which the investor purchased a revenue interest from the Registrant for $500,000.”
BOXL Boxlight Corp

Boxlight Corp amended Sixth Amendment with Whitehawk Capital Partners LP, Whitehawk Finance LLC valued at $2,000,000 additional working capital bridge loan, $3,000,000 additional working capital bridge loan (effective 2024-04-19).

“On April 19, 2024, Boxlight Corporation, a Nevada corporation (the “Company”), entered into a sixth amendment (the “Sixth Amendment”) to the credit agreement (the “Credit Agreement”) with Whitehawk Capital Partners LP, as collateral agent (the “Collateral Agent”), and Whitehawk Finance LLC (the “Lender”).”
NIXX Nixxy, Inc.

Nixxy, Inc. amended Amendment to Technology License and Commercialization Agreement with GoLogiq, Inc. valued at added Section 3.3 for technical assistance; amended Section 5.1 to lower royalty from 8% to 5%, gran (effective 2024-03-28).

“On March 28, 2024 (the "Effective Date"), the Company and GOLQ entered into an Amendment to Technology License and Commercialization Agreement (the "Amendment").”
NIXX Nixxy, Inc.

Nixxy, Inc. entered into Technology License and Commercialization Agreement with GoLogiq, Inc. valued at worldwide, exclusive license; duration 10 years with automatic two-year renewals (effective 2024-02-23).

“On February 23, 2024, the Company entered into a certain Technology License and Commercialization Agreement (the "GOLQ Licensing Agreement") with GoLogiq, Inc. ("GOLQ") whereby GOLQ grants the Company a worldwide, exclusive license (the "GOLQ License") to the Company to develop its fintech technology (the "GOLQ Technology") and sell products derived thereof, including its Createapp, Paylogiq, Gologiq, and Radix AI technology and products (the "Licensed Products"), for a term of 10 years, with automatic two (2) year renewals as further described therein (the "Term").”
Spirit AeroSystems Holdings, Inc.

Spirit AeroSystems Holdings, Inc. entered into Memorandum of Agreement with The Boeing Company valued at $425,000,000 (effective 2024-04-18).

“On April 18, 2024, Spirit AeroSystems, Inc. (“Spirit”), a wholly owned subsidiary of Spirit AeroSystems Holdings, Inc. (“Spirit Holdings”), and The Boeing Company (“Boeing”) entered into a Memorandum of Agreement (the “MOA”).”
NXDT NEXPOINT DIVERSIFIED REAL ESTATE TRUST

NEXPOINT DIVERSIFIED REAL ESTATE TRUST entered into NREF Note with NREF OP IV, L.P. valued at $6.5 million (effective 2024-04-19).

“On April 19, 2024, NexPoint Diversified Real Estate Trust Operating Partnership, L.P. (“NXDT OP”), the operating partnership of NexPoint Diversified Real Estate Trust (“NXDT”), loaned $6.5 million to NREF OP IV, L.P. (“NREF OP IV”), a subsidiary of NexPoint Real Estate Finance, Inc. (“NREF”), an entity that is managed by an affiliate of the adviser of NXDT. In connection with the loan, NREF OP IV issued a promissory note in the principal amount of $6.5 million to NXDT OP (the “NREF Note”).”
FNF Fidelity National Financial, Inc.

Fidelity National Financial, Inc. amended Supplemental Indenture with The Bank of New York Mellon Trust Company, N.A. (effective 2024-04-22).

“On April 22, 2024, Fidelity National Financial, Inc. (the “Company”) and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), entered into a supplemental indenture (the “Supplemental Indenture”) to the indenture, dated as of December 8, 2005 (the “Indenture”), governing the Company’s 4.500% Senior Notes due 2028 (the “2028 Notes”), 3.400% Senior Notes due 2030 (the “2030 Notes”), 2.450% Senior Notes due 2031 (the “2031 Notes”) and 3.200% Senior Notes due 2051 (the “2051 Notes” and, collectively, the “Notes”; and each a “series of Notes”).”
CNS COHEN & STEERS, INC.

COHEN & STEERS, INC. terminated ATM Equity Offering Sales Agreement with BofA Securities, Inc. valued at up to $100,000,000 (effective 2024-04-22).

“On April 22, 2024, the Company delivered written notice to BofA Securities that it was terminating the Sales Agreement, effective April 22, 2024, pursuant to Section 9(a) of the Sales Agreement.”
VANI Vivani Medical, Inc.

Vivani Medical, Inc. entered into Open Market Sale Agreement with Jefferies LLC valued at up to $75.0 million (effective 2024-04-22).

“On April 22, 2024, Vivani Medical, Inc. (the “Company”) entered into an Open Market Sale Agreement SM (the “Agreement”) with Jefferies LLC (“Jefferies”), under which the Company may offer and sell, from time to time at its sole discretion, shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), having an aggregate offering price of up to $75.0 million through Jefferies as its sales agent.”
COR Cencora, Inc.

Cencora, Inc. amended Omnibus Amendment with MUFG Bank, Ltd., as administrator, and the purchaser agents and purchasers party thereto (effective 2024-04-17).

“On April 17, 2024, Cencora, Inc. (the “ Company ”) and certain of its subsidiaries entered into an Omnibus Amendment (the “ Omnibus Amendment ”) with MUFG Bank, Ltd., as administrator, and the purchaser agents and purchasers party thereto”
STX Seagate Technology Holdings plc

Seagate Technology Holdings plc entered into Asset Purchase Agreement with Avago Technologies International Sales Pte. Limited valued at $600,000,000 (effective 2024-04-23).

“On April 23, 2024, Seagate Technology Holdings public limited company (the “ Company ” or “ Seagate ”) and Seagate Technology LLC, a Delaware limited liability company, Seagate Technology HDD (India) Private Limited, a private company incorporated under the laws of India, and Seagate Singapore International Headquarters Pte. Ltd., a private company incorporated under the laws of Singapore, each a subsidiary of the Company (such subsidiaries, the “ Seagate Sellers ”), entered into an Asset Purchase Agreement (the “ APA ”) with Avago Technologies International Sales Pte. Limited, a private company incorporated under the laws of Singapore (“ Purchaser ”) and a subsidiary of Broadcom Inc.”
RXST RxSight, Inc.

RxSight, Inc. amended 100 Columbia Amendment with Accuride International Inc. valued at $64,843 per month (effective 2024-04-18).

“On April 18, 2024, the Company entered into a Fifth Amendment to that certain Commercial Lease Agreement, dated August 31, 2015, as amended November 23, 2015, December 22, 2015, January 18, 2016, and November 12, 2016, with Accuride International Inc., for the property located at 100 Columbia in Aliso Viejo, California (the “100 Columbia Amendment”).”
RXST RxSight, Inc.

RxSight, Inc. amended 5 Columbia Amendment with Clifford D. Downs valued at $30,701 per month (effective 2024-04-18).

“On April 18, 2024, the Company entered into Lease Amendment #2 to that certain Lease Agreement dated January 10, 2018, as amended on April 5, 2022, with Clifford D. Downs, for the property located at 5 Columbia in Aliso Viejo, California (the “5 Columbia Amendment”).”
RXST RxSight, Inc.

RxSight, Inc. entered into 125 Columbia Lease with BML Management, LLC valued at $41,579 per month (effective 2024-04-18).

“On April 18, 2024, the Company entered into a Standard Industrial/Commercial Single-Tenant Lease – Net (the “125 Columbia Lease”) with BML Management, LLC, for an approximately 26,825 square foot industrial and research and development facility in Aliso Viejo, California.”
UAL United Airlines Holdings, Inc.

United Airlines Holdings, Inc. entered into Amendment No. 3 to Tax Benefits Preservation Plan with Computershare Trust Company, N.A. (effective 2024-04-22).

“On April 20, 2024, the board of directors of United Airlines Holdings, Inc. (the “Company”) unanimously approved, and on April 22, 2024, the Company entered into, that certain Amendment No. 3 to Tax Benefits Preservation Plan (“Amendment No. 3”), which amends the Tax Benefits Preservation Plan, dated as of December 4, 2020 and as amended as of January 21, 2021 and December 4, 2023 (the “Plan”), by and between the Company and Computershare Trust Company, N.A., as rights agent (the “Rights Agent”).”
TG TREDEGAR CORP

TREDEGAR CORP amended Fourth Amendment with JPMorgan Chase Bank, N.A., as administrative agent, and the lenders party thereto (effective 2024-04-16).

“On April 16, 2024, Tredegar Corporation (the “ Company ”), as borrower, and certain of the Company’s material domestic subsidiaries, as guarantors (the “ Guarantors ”), entered into Amendment No. 4 (the “ Fourth Amendment ”) to the Second Amended and Restated Credit Agreement dated June 29, 2022 (as previously amended, the “ Amended Credit Agreement ”), among JPMorgan Chase Bank, N.A., as administrative agent (the “ Agent ”), Citizens Bank, N.A. and PNC Bank, National Association, as co-syndication agents, and Bank of America, N.A., U.S. Bank National Association and Wells Fargo Bank, National Association, as co-documentation agents, and the other lenders party thereto (collectively, the “ Lenders ”).”
SNGX SOLIGENIX, INC.

SOLIGENIX, INC. entered into Placement Agency Agreement with A.G.P./Alliance Global Partners valued at cash fee of six and one-half percent (6.5%) of the gross proceeds of the Offering (effective 2024-04-17).

“A.G.P./Alliance Global Partners acted as the sole placement agent (the “Placement Agent”) on a “reasonable best efforts” basis in connection with the Offering pursuant to a Placement Agency Agreement, dated April 17, 2024, by and between the Company and the Placement Agent (the “Placement Agency Agreement”).”
SNGX SOLIGENIX, INC.

SOLIGENIX, INC. entered into Securities Purchase Agreement with certain investors valued at aggregate gross proceeds from the Offering are approximately $4.75 million (effective 2024-04-17).

“On April 17, 2024, Soligenix, Inc., a Delaware corporation (the “Company”) entered into a Securities Purchase Agreement with certain investors (the “Investors”), pursuant to which the Company agreed to issue and sell to the Investors in a public offering (the “Offering”) (i) 3,275,000 shares of the Company’s common stock, (ii) pre-funded warrants to purchase 8,600,000 shares of the Company’s common stock and (iii) common warrants to purchase 11,875,000 shares of the Company’s common stock.”

Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.