Material Agreements

Immunome Inc. entered into BMS License with Bristol-Myers Squibb Company valued at up to approximately $142 million.

“In November 2017, Ayala entered into a License Agreement with Bristol-Myers Squibb Company (“BMS”), as amended by that certain First Amendment to License Agreement dated as of May 4, 2020 (the “BMS License”).”

ONE Group Hospitality, Inc. entered into Investment Agreement with HPC III Kaizen LP, HPS Investment Partners, LLC valued at 160,000 shares of Series A Preferred Stock at $1,000 per share; Penny Warrants for 5.33% fully dilut (effective 2024-03-26).

“the Company, HPC III Kaizen LP, an affiliate of Hill Path Capital LP (“HPC Investor”), and HPS Investment Partners, LLC (“HPS Investor” and collectively with HPC Investor, “Investors”) entered into an investment agreement (the “Investment Agreement”) whereby the Investors agreed to purchase (a) an aggregate of 160,000 shares of the Company’s Series A Preferred Stock, par value $0.0001 per share (the “Preferred Stock”), at a price and with a liquidation preference of $1,000 per share; (b) warrants (in the form attached to the Investment Agreement, the “Penny Warrants”) to purchase a number of shares of Common Stock of the Company that in the aggregate will represent 5.33% of the fully diluted shares of Common Stock of the Company at closing at an exercise price of $0.01 per share; and (c) warrants (in the form attached to the Investment Agreement, the “Market Warrants”) to purchase, in the aggregate, 1,066,667 shares of Common Stock of the Company, at an exercise price of $10.00 per sha”

ONE Group Hospitality, Inc. entered into Stock Purchase Agreement with Safflower Holdings LLC valued at $365.0 million in cash (effective 2024-03-26).

“On March 26, 2024, The ONE Group Hospitality, Inc. (the “Company”), TOG Kaizen Acquisition, LLC, a wholly owned subsidiary of the Company (“Buyer”), Safflower Holdings LLC and Safflower Holdings Corp. entered into a stock purchase agreement (the “Stock Purchase Agreement”) pursuant to which Buyer will purchase 100% of the issued and outstanding equity interests of Safflower Holdings Corp. from Safflower Holdings LLC, for $365.0 million in cash”

Celsius Holdings, Inc. amended Amendment No. 1 with PepsiCo, Inc. (effective 2024-03-23).

“On March 23, 2024, Celsius Holdings, Inc., a Nevada Corporation (the “Company”) entered into an Amendment No. 1 (the “Amendment”) to its Distribution Agreement (the “Agreement”) dated August 1, 2022 with PepsiCo, Inc. (“Distributor”)”

Sintx Technologies, Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at cash placement fee equal to 8.0% of gross proceeds plus reimbursement of certain expenses and legal (effective 2024-03-25).

“On March 25, 2024, SINTX Technologies, Inc. (the “Company”) entered into a stock purchase agreement (the “Purchase Agreement”) with a certain investor named therein (the “Purchasers”), and a placement agency agreement dated as of March 25, 2024 (the “PAA”) with Maxim Group LLC (the “Placement Agent”), pursuant to which the Company agreed to issue and sell to the Purchasers an aggregate of 28,400,000 shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Offering”).”

Sintx Technologies, Inc. entered into Stock Purchase Agreement with certain investor named therein valued at aggregate proceeds of approximately $1.3 million (effective 2024-03-25).

“On March 25, 2024, SINTX Technologies, Inc. (the “Company”) entered into a stock purchase agreement (the “Purchase Agreement”) with a certain investor named therein (the “Purchasers”), and a placement agency agreement dated as of March 25, 2024 (the “PAA”) with Maxim Group LLC (the “Placement Agent”), pursuant to which the Company agreed to issue and sell to the Purchasers an aggregate of 28,400,000 shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Offering”).”

GLADSTONE COMMERCIAL CORP amended Amendment No. 1 to the At-the-Market Equity Offering Sales Agreement with BofA Securities, Inc., Goldman Sachs & Co. LLC, Robert W. Baird & Co. Incorporated, KeyBanc Capital Markets Inc. and Fifth Third Securities, Inc. valued at $250.0 million (effective 2024-03-26).

“On March 26, 2024, Gladstone Commercial Corporation, a Maryland corporation (the “ Company ”), and its operating partnership, Gladstone Commercial Limited Partnership, a majority-owned, consolidated subsidiary of the Company and a Delaware limited partnership, entered into Amendment No. 1 to the At-the-Market Equity Offering Sales Agreement (the “ Amendment ”), dated March 3, 2023, with BofA Securities, Inc., Goldman Sachs & Co. LLC, Robert W. Baird & Co. Incorporated, KeyBanc Capital Markets Inc. and Fifth Third Securities, Inc.”

BIO-PATH HOLDINGS, INC. entered into Purchase Agreement with an institutional investor valued at gross proceeds of $299,250 (effective 2024-03-25).

“On March 25, 2024, Bio-Path Holdings, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with an institutional investor, pursuant to which the Company agreed to sell, in a registered direct offering (the “Registered Direct Offering”), an aggregate of 75,000 shares (the “Shares”) of its common stock, par value $0.001 per share (“Common Stock”), for a purchase price per Share of $3.99 and gross proceeds of $299,250.”

PLUG POWER INC entered into Indenture with Wilmington Trust, National Association, as trustee valued at $140,396,000 in aggregate principal amount (effective 2024-03-20).

“On March 20, 2024, in connection with the consummation of previously announced private exchange transactions, Plug Power Inc., a Delaware corporation (the “Company”), issued $140,396,000 in aggregate principal amount of its 7.00% Convertible Senior Notes due 2026 (the “New Notes”) under an Indenture, dated March 20, 2024 (the “Indenture”), between the Company and Wilmington Trust, National Association, as trustee.”

NOVAVAX INC entered into Confidential Settlement Agreement and Release with FUJIFILM Diosynth Biotechnologies UK Limited, FUJIFILM Diosynth Biotechnologies Texas, LLC, and FUJIFILM Diosynth Biotechnologies USA, Inc. (effective 2024-03-21).

“On March 21, 2024, Novavax, Inc. (the “Company”), FUJIFILM Diosynth Biotechnologies UK Limited (“FDBK”), FUJIFILM Diosynth Biotechnologies Texas, LLC (“FDBT”) and FUJIFILM Diosynth Biotechnologies USA, Inc. (“FDBU” and together with FDBK and FDBT, “Fujifilm”) entered into a Confidential Settlement Agreement and Release (the “Settlement Agreement”) to resolve disputes”

PPL Corp entered into Sixth Supplemental Indenture with The Bank of New York Mellon valued at Supplemental indenture governing the Notes, dated March 25, 2024, between the Issuer and The Bank of (effective 2024-03-25).

“as further supplemented by a sixth supplemental indenture dated March 25, 2024 between the Issuer and The Bank of New York Mellon, as securities registrar, trustee and paying agent (the "Sixth Supplemental Indenture"”

PPL Corp entered into Purchase Agreement with Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Mizuho Securities USA LLC and RBC Capital Markets, LLC valued at Issued $500 million aggregate principal amount of 5.350% Senior Notes due 2034; net proceeds of $496 (effective 2024-03-21).

“On March 25, 2024, The Narragansett Electric Company (d/b/a Rhode Island Energy) (the "Issuer"), a wholly owned subsidiary of PPL Corporation, issued $500 million aggregate principal amount of 5.350% Senior Notes due 2034 (the "Notes").”

CLEAN HARBORS INC entered into Incremental Facility Amendment No. 5 with Goldman Sachs Lending Partners LLC, as administrative agent and collateral agent, and certain other financial institutions valued at $500.0 million (effective 2024-03-22).

“On March 22, 2024, Clean Harbors, Inc., (the “Company”) a Massachusetts corporation, and substantially all of the Company’s domestic subsidiaries as guarantors, entered into Incremental Facility Amendment No. 5, dated as of March 22, 2024 (“Incremental Facility Amendment No. 5”) to the Company’s existing Credit Agreement, dated as of June 30, 2017 (as previously amended and further amended by Incremental Facility Amendment No. 5, the “Term Loan Agreement”) with Goldman Sachs Lending Partners LLC, as administrative agent and collateral agent (the “Agent”), and certain other financial institutions.”

QUANTUM CORP /DE/ amended Revolver Amendment with PNC Bank, National Association (effective 2024-03-22).

“On March 22, 2024, the Company entered into an amendment (the “Revolver Amendment”) to the Amended and Restated Revolving Credit and Security Agreement, dated as of December 27, 2018”

QUANTUM CORP /DE/ amended Term Loan Amendment with Blue Torch Finance LLC (effective 2024-03-22).

“On March 22, 2024, Quantum Corporation (the “Company”) entered into an amendment (the “Term Loan Amendment”) to the Term Loan Credit and Security Agreement, dated as of August 5, 2021”

LEGGETT & PLATT INC amended Amendment Agreement with JPMorgan Chase Bank, N.A., as administrative agent, and the Lenders party thereto (effective 2024-03-22).

“On March 22, 2024, Leggett & Platt, Incorporated (the “ Company ,” “ us ,” or “ we ”) entered into an Amendment Agreement relating to the Fourth Amended and Restated Credit Agreement dated as of September 30, 2021, as amended December 16, 2022 (the “ Credit Agreement ”), among us, JPMorgan Chase Bank, N.A., as administrative agent (“ JPMorgan ”), and the Lenders party thereto (the “ Amendment Agreement ”).”

Enservco Corp entered into Membership Interest Purchase Agreement with Tony Sims, Jim Fate, Buckshot Trucking LLC valued at $5,000,000 (the "Base Amount"), subject to a net working capital adjustment, plus up to $500,000, in (effective 2024-03-19).

“On March 19, 2024, Enservco Corporation (“Enservco”) entered into a Membership Interest Purchase Agreement (the “Purchase Agreement”) with Tony Sims, an individual resident of Colorado; Jim Fate, an individual resident of Colorado (together the “Sellers”), and Buckshot Trucking LLC, a Wyoming limited liability company (“Buckshot Trucking”), pursuant to which Enservco agreed to acquire from the Sellers all of the issued and outstanding membership interests of Buckshot Trucking (the “Acquisition”) for $5,000,000 (the “Base Amount”), subject to a net working capital adjustment, plus up to $500,000, in the form of Enservco common stock, contingent upon satisfaction of certain conditions set forth in the Purchase Agreement.”

COMSTOCK RESOURCES INC entered into Second Amended and Restated Registration Rights Agreement with Arkoma Drilling L.P. and Williston Drilling L.P. valued at registration rights for the Jones Purchasers (effective 2024-03-25).

“In connection with the consummation of the transactions contemplated by the Subscription Agreement, the Company, Arkoma and Williston amended and restated that certain Amended and Restated Registration Rights Agreement, dated June 7, 2019, among the parties by entering into the Second Amended and Restated Registration Rights Agreement dated March 25, 2024 (the "Second A&R Registration Agreement")”

RenX Enterprises Corp. entered into Third Debenture with Peak One Opportunity Fund, L.P. valued at principal amount of $250,000 (effective 2024-03-21).

“On March 22, 2024, Safe and Green Development Corporation (the "Company") closed the third tranche of the previously disclosed private placement offering (the “Offering”) pursuant to the Securities Purchase Agreement, dated November 30, 2023, as amended on February 15, 2024 (the “Purchase Agreement”) with Peak One Opportunity Fund, L.P. (“Peak One”) In connection with the closing of the third tranche, the Company issued an 8% convertible debenture, dated as of March 21, 2024, in the principal amount of $250,000 (the “Third Debenture”) to Peak One”

EQT Exeter Real Estate Income Trust, Inc. entered into purchase and sale agreement with Longhorn Junction Owner (TX), LP valued at approximately $60.9 million (effective 2023-12-21).

“On December 21, 2023, Exeter Property Group, LLC, the Company’s external adviser (the “Adviser”), entered into a purchase and sale agreement (as subsequently amended) with Longhorn Junction Owner (TX), LP (the “Seller”), an affiliate of Portman Holdings, to acquire the Georgetown Property.”

TPG Twin Brook Capital Income Fund entered into Note Purchase Agreement with qualified institutional investors valued at $90,000,000 aggregate principal amount of 7.69% Series A Senior Notes, Tranche A, due March 19, 2027 (effective 2024-03-19).

“On March 19, 2024, AG Twin Brook Capital Income Fund, a Delaware statutory trust (the “Company”), entered into a Note Purchase Agreement (the “Note Purchase Agreement”), governing the issuance of $90,000,000 aggregate principal amount of 7.69% Series A Senior Notes, Tranche A, due March 19, 2027 (the “Tranche A Notes”) and $150,000,000 aggregate principal amount of 7.78% Series A Senior Notes, Tranche B, due March 19, 2029 (the “Tranche B Notes” and, together with the Tranche A Notes, the “Notes”), to qualified institutional investors in a private placement.”

APx Acquisition Corp. I entered into Joinder Agreement with Templar Subco LLC (effective 2024-03-21).

“Sponsor Subco entered into a joinder agreement with the Company (the “Joinder Agreement”) to become a party to the Letter Agreement and the Registration Rights Agreement, both dated December 6, 2021 and entered into in connection with the Company’s initial public offering.”

Learn CW Investment Corp amended Restated Note with CWAM LC Sponsor LLC valued at $3,050,000 (effective 2024-03-19).

“On March 19, 2024, Learn CW Investment Corporation (the “Company”) issued a second amended and restated promissory note (the “Restated Note”) in the principal amount of $3,050,000 to CWAM LC Sponsor LLC, the Company’s sponsor (“Sponsor”).”

PureCycle Technologies, Inc. amended Fourth Supplemental Indenture with Southern Ohio Port Authority valued at released $22,135,956.99 from Senior Bonds Debt Service Reserve Fund and $3,261,291.24 from Repair an (effective 2024-03-25).

“On March 25, 2024, SOPA, as Issuer, PCO, the Guarantor, PCTO Holdco LLC, a Delaware limited liability company and affiliate of PCO (the pledgor under the Equity Pledge and Security Agreement) and the Trustee entered into the Fourth Supplemental Indenture (the “Fourth Supplemental Indenture”) which amended certain provisions of the Indenture, the Loan Agreement and that certain Amended and Restated Guaranty of Completion, entered into as of May 11, 2021, and effective as of October 7, 2020 (the “Guaranty”), by instructing the Trustee to release $22,135,956.99 from the Senior Bonds Debt Service Reserve Fund and $3,261,291.24 from the Repair and Replacement Fund, in each case, to PCO.”

Li-Cycle Holdings Corp. entered into Amended and Restated Note Purchase Agreement with Glencore Ltd. and Glencore Canada Corporation valued at $75,000,000 senior secured convertible note (effective 2024-03-25).

“On March 11, 2024, the Company entered into a Note Purchase Agreement (the “ Note Purchase Agreement ”) with Glencore Ltd. (“ Glencore Intermediate ”), and Glencore Canada Corporation (“ Glencore ”, and together with Glencore Intermediate, the “ Glencore Parties ”), pursuant to which the Company agreed to issue and sell a senior secured convertible note (the “ Senior Secured Convertible Note ”) in an aggregate principal amount of $75,000,000 (the “ Transaction ”), in a transaction exempt from registration under the Securities Act of 1933, as amended (the “ Securities Act ”). The Note Purchase Agreement was amended and restated on March 25, 2024 (the “ Amended and Restated Note Purchase Agreement ”) in order to provide for potential partial transfers of the Senior Secured Convertible Note.”

Global Business Travel Group, Inc. entered into Agreement and Plan of Merger with CWT Holdings, LLC, Cape Merger Sub I LLC, Cape Merger Sub II LLC, Redwood Drawdown Partners III, LLC valued at approximately $570 million on a cash-free and debt-free basis (effective 2024-03-24).

“On March 24, 2024, Global Business Travel Group, Inc. a Delaware corporation (the “ Company ”), entered into an Agreement and Plan of Merger (the “ Merger Agreement ”) with CWT Holdings, LLC”

Scilex Holding Co terminated Amended and Restated Standby Equity Purchase Agreement with YA II PN, LTD. valued at $500,000,000 (effective 2024-03-25).

“On March 25, 2024, Scilex Holding Company (the “Company”) and YA II PN, LTD. (“Yorkville”) mutually agreed to terminate the Amended and Restated Standby Equity Purchase Agreement, dated as of February 8, 2023, between the Company and Yorkville (as amended or otherwise modified from time to time in accordance with its terms, the “SEPA”).”

Lucid Group, Inc. entered into Subscription Agreement with Ayar Third Investment Company valued at $1,000,000,000.00 (effective 2024-03-24).

“On March 24, 2024, Lucid Group, Inc. (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) between the Company and Ayar Third Investment Company”

Nuvation Bio Inc. entered into Agreement and Plan of Merger and Reorganization with AnHeart Therapeutics Ltd. (effective 2024-03-24).

“On March 24, 2024, Nuvation Bio Inc., a Delaware corporation (“Nuvation Bio” or the “Company”), entered into an Agreement and Plan of Merger and Reorganization (the “Merger Agreement”) with AnHeart Therapeutics Ltd., an exempted company incorporated under the laws of the Cayman Islands (“AnHeart"), Artemis Merger Sub I, Ltd., an exempted company incorporated under the laws of the Cayman Islands and a wholly owned subsidiary of the Company (“Merger Sub I”), and Artemis Merger Sub II, Ltd., an exempted company incorporated under the laws of the Cayman Islands and a wholly owned subsidiary of the Company (“Merger Sub II”).”

Blue Owl Capital Corp III entered into Credit Agreement with Bank of America, N.A., as administrative agent, State Street Bank and Trust Company, as collateral agent, and Alter Domus (US) LLC, as collateral custodian valued at $300 million (effective 2024-03-20).

“On March 20, 2024 (the “Closing Date”), OBDC III Financing III LLC (“OBDC III Financing III”), a Delaware limited liability company and newly formed subsidiary of Blue Owl Capital Corporation III, a Maryland corporation (the “Company” or “us”), entered into a Credit Agreement (the “Secured Credit Facility”), with OBDC III Financing III, as borrower, Blue Owl Diversified Credit Advisors LLC, as servicer, the lenders from time to time parties thereto, Bank of America, N.A., as administrative agent, State Street Bank and Trust Company, as collateral agent, and Alter Domus (US) LLC, as collateral custodian.”

Fresh2 Group Ltd entered into Share Purchase Agreement with Qin Hong and Danni Zhang (effective 2024-03-13).

“as well as a Share Purchase Agreement with each of the two investors (the “Share Purchase Agreement”), whereby the Company agreed to issue an additional 91,928,571 Class A ordinary shares to the two investors and the two investors agreed to terminate their rights to receive the warrants.”

Fresh2 Group Ltd amended Amendment No.2 with Applegreen LLC (effective 2024-03-13).

“On March 13, 2024, the Company entered into an amendment to the Applegreen agreement (the “Amendment No.2”) and a Supplemental Agreement (the “Supplemental Agreement No.2”), as well as a Share Purchase Agreement with each of the two investors (the “Share Purchase Agreement”), whereby the Company agreed to issue an additional 91,928,571 Class A ordinary shares to the two investors and the two investors agreed to terminate their rights to receive the warrants.”

Fresh2 Group Ltd amended Amendment No.1 with the investors of the Transactions.

“From December 2023 to March 2024, the Company entered into an Amendment to Share Purchase Agreement (the “Amendment No.1”) and a Supplemental Agreement (the “Supplemental Agreement No.1”) with each of the investors of the Transactions, whereby the Company agreed to issue an additional 46,328,557 Class A ordinary shares to the investors and the investors agreed to terminate their rights to receive the warrants.”

Fresh2 Group Ltd entered into Debt Conversion Agreement with a creditor of the Company valued at US$243,291.9 (effective 2024-03-19).

“On March 19, 2024, the Company entered into a debt conversion agreement (the “Debt Conversion Agreement”) with a creditor of the Company, whereby the creditor agreed to convert an outstanding debt of US$243,291.9 into 5,176,420 Ordinary Shares at a conversion price of 0.047 per share.”

Fresh2 Group Ltd entered into Salary Conversion Agreement with 14 Chinese employees of the Company or its affiliate valued at US$515,416.20 (effective 2024-03-13).

“From March 13 , 2024 to March 19, 2024, the Company entered into salary conversion agreements (each a “Salary Conversion Agreement”) with each of 14 Chinese employees of the Company or its affiliate, whereby each employee agreed to convert certain unpaid salary in the total amount of US$515,416.20 into 10,966,280 Class A ordinary shares of the Company (the “Ordinary Shares”) at a conversion price of 0.047 per share.”

Landos Biopharma, Inc. entered into Agreement and Plan of Merger with Bespin Subsidiary, LLC, Bespin Merger Sub, Inc., and AbbVie Inc. valued at $20.42 in cash per share plus one CVR representing $11.14 contingent cash per share (effective 2024-03-24).

“On March 24, 2024, Landos Biopharma, Inc. (the “Company”) entered into an Agreement and Plan of Merger (the “Merger Agreement”) with Bespin Subsidiary, LLC, a Delaware corporation and a wholly owned Subsidiary of Guarantor (“Parent”), Bespin Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent (“Merger Sub”), and solely for the limited purposes set forth therein, AbbVie Inc. (“AbbVie” or “Guarantor”)”

Danimer Scientific, Inc. entered into Placement Agency Agreement with Roth Capital Partners, LLC valued at cash fee of 7% of the aggregate gross proceeds raised in the Registered Offering, plus reimbursement (effective 2024-03-20).

“On March 20, 2024, Danimer Scientific, Inc., (the “Company”), entered into a placement agency agreement (the “Placement Agency Agreement”) with Roth Capital Partners, LLC (the “Placement Agent”) and a securities purchase agreement (the “Purchase Agreement”) with a certain investor for the purchase and sale, in a registered direct offering by the Company (the “Registered Offering”), of (i) an aggregate of 11,250,000 shares of its Class A common stock, par value $0.0001 per share (“Common Stock”) (ii) pre-funded warrants to purchase up to an aggregate of 3,750,000 shares of Common Stock (the “Pre-Funded Warrants”) and (iii) accompanying warrants to purchase up to an aggregate of 15,000,000 shares of Common Stock (the “Common Warrants”) at a combined offering price of $1.00 per share of Common Stock and associated Common Warrant, or $0.9999 per Pre-Funded Warrant and associated Common Warrant, resulting in gross proceeds of approximately $15.0 million.”

Danimer Scientific, Inc. entered into Purchase Agreement with a certain investor valued at aggregate of 11,250,000 shares of Class A common stock, pre-funded warrants for up to 3,750,000 shar (effective 2024-03-20).

“On March 20, 2024, Danimer Scientific, Inc., (the “Company”), entered into a placement agency agreement (the “Placement Agency Agreement”) with Roth Capital Partners, LLC (the “Placement Agent”) and a securities purchase agreement (the “Purchase Agreement”) with a certain investor for the purchase and sale, in a registered direct offering by the Company (the “Registered Offering”), of (i) an aggregate of 11,250,000 shares of its Class A common stock, par value $0.0001 per share (“Common Stock”) (ii) pre-funded warrants to purchase up to an aggregate of 3,750,000 shares of Common Stock (the “Pre-Funded Warrants”) and (iii) accompanying warrants to purchase up to an aggregate of 15,000,000 shares of Common Stock (the “Common Warrants”) at a combined offering price of $1.00 per share of Common Stock and associated Common Warrant, or $0.9999 per Pre-Funded Warrant and associated Common Warrant, resulting in gross proceeds of approximately $15.0 million.”

Quantum Computing Inc. entered into Redemption and Waiver Agreement with holders of Series A Convertible Preferred Stock valued at $8,195,000 (effective 2024-03-19).

“On March 19, 2024, Quantum Computing Inc. (the “Company”) entered into a Redemption and Waiver Agreement (the “Redemption Agreement”) with the holders (the “Holders”) of its Series A Convertible Preferred Stock (the “Preferred Stock”).”

New Fortress Energy Inc. entered into Registration Rights Agreement with Ceiba Energy Fundo de Investimento em Participações Multiestratégia- Investimento no Exterior (effective 2024-03-19).

“New Fortress Energy Inc. (the “Company”) entered into a Registration Rights Agreement, dated as of March 19, 2024 (the “Registration Rights Agreement”), with Ceiba Energy Fundo de Investimento em Participações Multiestratégia- Investimento no Exterior (“Ceiba Energy”) requiring the Company to register the resale of the shares of the Company’s Class A common stock, par value $0.01 per share (the “Common Stock”) underlying the Company’s 4.8% Series A Convertible Preferred Stock, par value $0.01 per share and liquidation preference of $1,000.00 per share (the “Series A Convertible Preferred Stock”), issued to Ceiba Energy in the Exchange.”

Grayscale Horizen Trust (ZEN) amended Amendment No. 3 with Delaware Trust Company (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Horizen Trust (ZEN) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 3 (the “Amendment No. 3”) to the Trust’s Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”)”

Grayscale Bitcoin Cash Trust (BCH) amended Amendment No. 3 with The Delaware Trust Company (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Bitcoin Cash Trust (BCH) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 3 (the “Amendment No. 3”) to the Trust’s Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”) in order to modify the definition of “Business Day” (as defined therein).”

Grayscale Litecoin Trust (LTC) amended Amendment No. 3 with Delaware Trust Company (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Litecoin Trust (LTC) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 3 (the “Amendment No. 3”) to the Trust’s Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”) in order to modify the definition of “Business Day” (as defined therein).”

Grayscale CoinDesk Crypto 5 ETF amended Amendment No. 3 (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the manager (the “Manager”) of Grayscale Digital Large Cap Fund LLC (the “Fund”) entered into Amendment No. 3 (“Amendment No. 3”) to the Fund’s Second Amended and Restated Limited Liability Company Agreement (the “LLC Agreement”) in order to modify the definition of “Business Day” (as defined therein).”

BioXcel Therapeutics, Inc. entered into Securities Purchase Agreement with the purchasers named therein (collectively, the "Purchasers") valued at approximately $24.9 million (effective 2024-03-25).

“On March 25, 2024, BioXcel Therapeutics, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with the purchasers named therein (collectively, the “Purchasers”).”

Grayscale Ethereum Staking ETF amended Amendment No. 3 to the Amended and Restated Declaration of Trust and Trust Agreement with Delaware Trust Company valued at Modified the definition of Business Day from days when banks are closed to days when national securi (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Ethereum Trust (ETH) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 3 (the “Amendment No. 3”) to the Trust’s Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”) in order to modify the definition of “Business Day” (as defined therein).”

Grayscale Zcash Trust (ZEC) amended Amendment No. 3 with Grayscale Investments, LLC and Delaware Trust Company (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Zcash Trust (ZEC) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 3 (the “Amendment No. 3”) to the Trust’s Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”) in order to modify the definition of “Business Day” (as defined therein).”

CURO Group Holdings Corp. amended First Heritage Amendment with First Heritage Financing I, LLC (effective 2024-03-25).

“On March 25, 2024, First Heritage Financing I, LLC, an indirect wholly owned bankruptcy-remote subsidiary of the Company, entered into an amendment (the " First Heritage Amendment ") to its asset-backed warehouse facility (the " First Heritage Warehouse ") with the Class A lenders and agents party thereto and Class B lenders and agents party thereto, First Heritage Credit, LLC, a wholly-owned subsidiary of the Company, as servicer, certain other wholly-owned subsidiaries of the Company, as originators and subservicers, and certain other parties thereto.”

CURO Group Holdings Corp. entered into Restructuring Support Agreement with Consenting Stakeholders (effective 2024-03-22).

“On March 22, 2024, CURO Group Holdings Corp. (the " Company ") and certain of its direct and indirect subsidiaries (together with the Company, the " Company Parties ") entered into a Restructuring Support Agreement (together with all exhibits and schedules thereto, the " RSA ") with (i) certain lenders under the First Lien Credit Agreement, dated as of May 15, 2023”

Grayscale Ethereum Classic Trust (ETC) amended Amendment No. 4 to Second Amended and Restated Declaration of Trust and Trust Agreement with Grayscale Investments, LLC and Delaware Trust Company (effective 2024-03-22).

“On March 22, 2024, Grayscale Investments, LLC, the sponsor (the “Sponsor”) of Grayscale Ethereum Classic Trust (ETC) (the “Trust”) and the Delaware Trust Company, the trustee (the “Trustee”) of the Trust entered into Amendment No. 4 (the “Amendment No. 4”) to the Trust’s Second Amended and Restated Declaration of Trust and Trust Agreement (the “Trust Agreement”) in order to modify the definition of “Business Day””