Material Agreements

ENCORE CAPITAL GROUP INC entered into Indenture with GLAS Trust Company LLC as trustee and Truist Bank as security agent valued at $500.0 million aggregate principal amount (effective 2024-03-20).

“On March 20, 2024 , Encore Capital Group, Inc. (the “ Company ”) issued $500.0 million aggregate principal amount of 9.250% senior secured notes due 2029 (the “ Notes ”) pursuant to an indenture (the “Indenture”) between, among others, the Company, certain subsidiaries of the Company as guarantors, GLAS Trust Company LLC as trustee and Truist Bank as security agent.”

BAXTER INTERNATIONAL INC amended Euro Amendment with Baxter Healthcare SA and Baxter World Trade SRL, as Borrowers, their existing lender group, Baxter, as Guarantor, and J.P. Morgan SE, as Administrative Agent (effective 2024-03-21).

“On March 21, 2024, Baxter Healthcare SA and Baxter World Trade SRL, as Borrowers (the “ Euro Borrowers ”), their existing lender group, Baxter, as Guarantor, and J.P. Morgan SE, as Administrative Agent, entered into a third guaranty amendment (the “ Euro Amendment ”) to the existing amended and restated guaranty agreement, dated as of October 1, 2021”

BAXTER INTERNATIONAL INC amended USD Revolving Fourth Amendment with various lenders and JPMorgan Chase Bank, National Association, as Administrative Agent (effective 2024-03-21).

“On March 21, 2024, Baxter entered into a fourth amendment (the “ USD Revolving Fourth Amendment ”) to the existing $2.5 billion, five-year revolving credit agreement, dated as of September 30, 2021”

BAXTER INTERNATIONAL INC amended Term Loan Fourth Amendment with various lenders and JPMorgan Chase Bank, National Association, as Administrative Agent (effective 2024-03-21).

“On March 21, 2024, Baxter International Inc. (“ Baxter ”) entered into a fourth amendment (the “ Term Loan Fourth Amendment ”) to the existing $4.0 billion term loan credit facility, dated as of September 30, 2021”

BARNES GROUP INC amended Refinancing Amendment (Amendment No. 2) with Bank of America, N.A. valued at $648,375,000 (effective 2024-03-19).

“On March 19, 2024, Barnes Group Inc. (“Barnes”) entered into a Refinancing Amendment (Amendment No. 2) (the “Amendment”), by and among Barnes, Barnes Group Switzerland GmbH, a limited liability company ( Gesellschaft mit beschränkter Haftung ) organized under the laws of Switzerland, Barnes Group Acquisition GmbH, a limited liability company ( Gesellschaft mit beschränkter Haftung ) incorporated under the laws of Germany, the lenders party thereto from time to time and Bank of America, N.A., as administrative agent and as collateral agent”

Resonate Blends, Inc. amended Amendment with parties to the Exchange Agreement (effective 2024-03-18).

“On March 18, 2024, the signatories to the Exchange Agreement (defined in Item 2. Completion of Acquisition or Disposition of Assets ) executed and amendment (the " Amendment "), pursuant to which certain prospective parties to the Exchange Agreement were removed as such.”

Resonate Blends, Inc. entered into Agreement of Conveyance, Transfer and Assignment of Subsidiary with Geoffrey Selzer (effective 2024-03-14).

“On March 14, 2024, Resonate Blends, Inc., a Nevada corporation (the " Company "), entered into an Agreement of Conveyance, Transfer and Assignment of Subsidiary (the " Conveyance Agreement ") with two of its then-wholly-owned subsidiaries, Resonate Blends, LLC, a California limited liability company, and Entourage Labs, LLC, a California limited liability company (collectively, Resonate Blends, LLC and Entourage Labs, LLC are referred to as the " Subsidiary "), and one of its former directors, Geoffrey Selzer (" Selzer ").”

Arena Group Holdings, Inc. terminated FSA with SLR Digital Finance LLC (effective 2024-03-13).

“ees and contingency reserves under its financing and security agreement dated February 2020 (as amended, the “FSA”) with SLR Digital Finance LLC (“SLR”). The FSA between the Company and SLR was simultaneously terminated.”

Arena Group Holdings, Inc. entered into Loan Agreement with Simplify Inventions, LLC valued at up to $25 million (effective 2024-03-13).

“On March 13, 2024, The Arena Group Holdings, Inc. (the “Company”) entered into a loan agreement (the “Loan Agreement”), by and between the Company and Simplify Inventions, LLC (the “Simplify Loan”), which will provide for up to $25 million of borrowings to be used for working capital and general corporate purposes.”

AZZ INC amended Third Amendment with Citibank, N.A. valued at SOFR +325 basis points from SOFR +375 (effective 2024-03-20).

“On March 20, 2024, AZZ Inc. (the " Company ") entered into the Third Amendment to its existing Credit Agreement referenced below with Citibank, N.A. (“ Citi ”), as Administrative Agent and Collateral Agent and the requisite lenders (the " Third Amendment ").”

SUPERIOR ENERGY SERVICES INC amended Sixth Amendment to the Stockholders Agreement with stockholders holding a majority of the Company’s common stock (effective 2024-03-15).

“Superior Energy Services, Inc. (the “Company’) and stockholders holding a majority of the Company’s common stock entered into a sixth amendment to the Stockholders Agreement, dated as of February 2, 2021, by and among the Company and its stockholders (the “Sixth Amendment to the Stockholders Agreement”), effective as of March 15, 2024”

GERON CORP entered into Underwriting Agreement with Cowen and Company, LLC and Stifel, Nicolaus & Company, Incorporated valued at approximately $150.0 million (effective 2024-03-19).

“On March 19, 2024, Geron Corporation (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Cowen and Company, LLC and Stifel, Nicolaus & Company, Incorporated, as representatives of the several underwriters named therein (collectively, the “Underwriters”), relating to the issuance and sale (the “Offering”) of 41,999,998 shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), and pre-funded warrants to purchase 8,002,668 shares of Common Stock (the “Pre-Funded Warrants”).”

CARLISLE COMPANIES INC entered into Unit Purchase Agreement with the Sellers valued at $410 million (effective 2024-03-18).

“On March 18, 2024, Carlisle Companies Incorporated, a Delaware corporation (the “Company”), entered into a Unit Purchase Agreement (the “Agreement”) with PWP Growth Equity Fund II LP, a Delaware limited partnership, MTL CP LP, a Delaware limited partnership, MTL Management Pool LLC, a Delaware limited liability company, PWP Growth Equity Fund II B LP, a Delaware limited partnership, Newbury Equity Partners V L.P., HQ Capital SCS SICAV-SIF – Auda Co-Investment Fund II, Regent Street Co-Investment Fund 2018-5, LLC, Trinity Alps Private Opportunities Fund I B LLC, Antares Capital 2 LP, Randolph Street Ventures, L.P., Jeffrey C. Walker and Chavkin Management Corp (collectively, the “Sellers”), MTL Holdings LLC, a Delaware limited liability company (“MTL Holdings”), MTL GEF Blocker LLC, a Delaware limited liability company (“Blocker”), and PWP Growth Equity Fund II LP, a Delaware limited partnership, solely in its capacity as the representative of all of the Sellers (the “Seller Representat”

DELMARVA POWER & LIGHT CO /DE/ entered into Bond Purchase Agreement with certain institutional investors valued at Not disclosed (effective 2024-03-20).

“On March 20, 2024, Atlantic City Electric Company (ACE) and Delmarva Power & Light Company (DPL) each entered into a Bond Purchase Agreement (the ACE Purchase Agreement and DPL Purchase Agreement, respectively) with certain institutional investors.”

Thunder Power Holdings, Inc. amended Merger Agreement Amendment with Thunder Power Holdings Limited valued at TPH shall provide New Monthly Extension Payments of $60,000 each in exchange for New Monthly Extensi (effective 2024-03-19).

“On March 19, 2024, FLFV consulted and agreed with TPH to amend (the “ Merger Agreement Amendment ”) the Merger Agreement to provide that TPH shall continue to provide such number of additional New Monthly Extension Payments for each New Monthly Extension FLFV seeks to consummate the Business Combination, up to June 21, 2024.”

Zeo Energy Corp. entered into Tax Receivable Agreement with Sellers (TRA Holders) and Timothy Bridgewater as Agent valued at Zeo to pay 85% of net cash savings from tax benefits to TRA Holders (effective 2024-03-13).

“Tax Receivable Agreement On March 13, 2024, concurrently with the Closing, Zeo entered into a tax receivable agreement (the “ Tax Receivable Agreement ”) with the Sellers (the “ TRA Holders ”) and Timothy Bridgewater, as the Agent.”

Zeo Energy Corp. entered into Lock-Up Agreement with Sellers valued at Sellers agreed not to transfer Exchangeable OpCo Units and corresponding shares of Zeo Class V Commo (effective 2024-03-13).

“Lock-Up Agreement On March 13, 2024, concurrently with the Closing, the Sellers entered into the Lock-Up Agreement, pursuant to which each of the Sellers agreed not to transfer its Exchangeable OpCo Units and corresponding shares of Zeo Class V Common Stock received in connection with the Business Combination until the earlier of (i) six months after the Closing and (ii) subsequent to the Closing, (a) satisfaction of the Early Lock-Up Termination or (b) the date on which Zeo completes a PubCo Sale (as defined in the Lock-Up Agreement).”

Zeo Energy Corp. entered into OpCo A&R LLC Agreement with OpCo valued at OpCo amended and restated its limited liability company agreement to provide for exchangeable units (effective 2024-03-13).

“OpCo A&R LLC Agreement Pursuant to the Business Combination, Zeo has been organized in an “Up-C” structure, such that OpCo and the subsidiaries of OpCo hold and operate substantially all of the assets and business of Zeo, and Zeo is a publicly listed holding company that holds common equity interests in OpCo, which holds all of the equity interests in Sunergy.”

Zeo Energy Corp. entered into A&R Registration Rights Agreement with Sellers, Initial Shareholders, Piper (New PubCo Holders) valued at Zeo will provide New PubCo Holders certain registration rights with respect to certain shares of Zeo (effective 2024-03-13).

“A&R Registration Rights Agreement On March 13, 2024, the Sellers, the Initial Shareholders, Piper (the “ New PubCo Holders ”) and Zeo entered into the Amended and Restated Registration Rights Agreement (the “ A&R Registration Rights Agreement ”), pursuant to which, among other things, Zeo will provide the New PubCo Holders certain registration rights with respect to certain shares of Zeo Class A Common Stock held by them or otherwise issuable to them pursuant to the Business Combination Agreement, the OpCo A&R LLC Agreement (as defined below) or Zeo’s certificate of incorporation filed on March 13, 2024 (the “ Zeo Charter ”).”

Allarity Therapeutics, Inc. entered into At-The-Market Issuance Sales Agreement with Ascendiant Capital Markets, LLC valued at up to $947,000 (effective 2024-03-19).

“On March 19, 2024, Allarity Therapeutics, Inc. (the “ Company ”), entered into an At-The-Market Issuance Sales Agreement (the “ Agreement ”) with Ascendiant Capital Markets, LLC (the “ Agent ”), pursuant to which the Company may offer and sell, from time to time, through the Agent, shares”

AirJoule Technologies Corp. entered into Lock-Up Agreements with the Sponsor and certain other holders of Montana capital stock valued at Approximately 32,382,023 shares of Class A common stock (effective 2024-03-14).

“On March 14, 2024, in connection with the consummation of the Business Combination and as contemplated by the Merger Agreement, Montana, the Sponsor and certain other holders of Montana capital stock entered into lock-up agreements (the “Lock-Up Agreements”).”

AirJoule Technologies Corp. entered into Amended and Restated Registration Rights Agreement with XPDI Sponsor II LLC and certain other holders of Montana capital stock valued at Not disclosed (effective 2024-03-14).

“On March 14, 2024, in connection with the consummation of the Business Combination and as contemplated by the Merger Agreement, Montana, XPDI Sponsor II LLC, a Delaware limited liability company (the “Sponsor”), and certain other holders of Montana capital stock entered into an Amended and Restated Registration Rights Agreement (the “Registration Rights Agreement”).”

Brand Engagement Network Inc. entered into Shareholder Subscription Agreements with certain of Prior BEN’s shareholders, including Jon Leibowitz.

“In connection with the closing of the Business Combination, BEN entered into subscription agreements (the “Shareholder Subscription Agreements”) with certain of Prior BEN’s shareholders, including Jon Leibowitz, a director of BEN (the “Subscribing Shareholders”), to purchase an aggregate of 25,000 shares of Common Stock at a price per share of $10.00.”

Brand Engagement Network Inc. amended Registration Rights Agreement with Sponsor and October 3 rd Holdings, LLC (effective 2024-03-14).

“On March 14, 2024, in connection with the completion of the Business Combination and as contemplated by the Business Combination Agreement, BEN, the Sponsor and October 3 rd Holdings, LLC (“October 3 rd ”) entered into an amended and restated registration rights agreement (the “Registration Rights Agreement”).”

Edible Garden AG Inc entered into Agreement with Cedar Advance LLC valued at $1,491,000 (effective 2024-03-14).

“On March 14, 2024, Edible Garden AG Incorporated (the "Company") entered into a standard merchant cash advance agreement (the "Agreement") with Cedar Advance LLC ("Cedar"), dated as of March 12, 2024, pursuant to which the Company sold to Cedar $1,491,000 of its future accounts receivable for a purchase price of $1,050,000, less fees and expenses of $50,000, for net funds provided of $1,000,000.”

Alight, Inc. / Delaware entered into Stock and Asset Purchase Agreement with Axiom Buyer, LLC, a newly-formed entity and an affiliate of H.I.G. Capital, L.L.C. valued at up to approximately $1.2 billion (effective 2024-03-20).

“On March 20, 2024, Alight, Inc. (together with its subsidiaries, the “Company” or “Alight”) and Tempo Acquisition LLC, a subsidiary of the Company (“Seller”), entered into a Stock and Asset Purchase Agreement (the “Purchase Agreement”), pursuant to which Seller has agreed to sell Alight’s Professional Services segment and Alight’s Payroll & HCM Outsourcing businesses within the Employer Solutions segment (collectively, the “Divested Business” or “Payroll and Professional Services”) to Axiom Buyer, LLC, a newly-formed entity and an affiliate of H.I.G. Capital, L.L.C. (“Purchaser”), for a purchase price of up to approximately $1.2 billion (the “Purchase Price”), plus the assumption by Purchaser of certain liabilities of the Divested Business as specified in the Purchase Agreement (collectively, the “Transaction”).”

Cannabist Co Holdings Inc. entered into the subscription agreements with the Investors valued at US$25.75 million aggregate principal amount of 9.00% senior secured convertible notes due 2027 (effective 2024-03-15).

“On or about March 15, 2024, The Cannabist Company Holdings Inc. (the “Company”) entered into subscription agreements with institutional investors (the “Investors”) for the purchase and sale of US$25.75 million aggregate principal amount of 9.00% senior secured convertible notes due 2027 (the “Notes”) in a concurrent private brokered offering (the “Brokered Offering”) and private non-brokered offering (the “Non-Brokered Offering” and together with the Brokered Offering, the “Offerings”).”

Cannabist Co Holdings Inc. entered into Seventh Supplemental Indenture with Odyssey Trust Company valued at US$25.75 million aggregate principal amount of 9.00% senior secured convertible notes due 2027 (effective 2024-03-15).

“On or about March 15, 2024, The Cannabist Company Holdings Inc. (the “Company”) entered into subscription agreements with institutional investors (the “Investors”) for the purchase and sale of US$25.75 million aggregate principal amount of 9.00% senior secured convertible notes due 2027 (the “Notes”) in a concurrent private brokered offering”

Goldman Sachs Private Middle Market Credit II LLC amended Fifth Amendment with JPMorgan Chase Bank, National Association, as administrative agent and lender, U.S. Bank Trust Company, National Association, as collateral agent and collateral administrator, and U.S. Bank National Association, as securities intermediary (effective 2024-03-14).

“On March 14, 2024, Goldman Sachs Private Middle Market Credit II SPV II LLC (“SPV”), a wholly-owned subsidiary of Goldman Sachs Private Middle Market Credit II LLC (the “Company”), entered into a fifth amendment (the “Fifth Amendment”) to the Amended and Restated Loan and Security Agreement”

Nuveen Churchill Direct Lending Corp. amended Third Amendment to Loan and Security Agreement with Wells Fargo Bank, National Association valued at decreases the maximum facility amount available under the Loan Agreement from $275 million to $150 m (effective 2024-03-14).

“Also, on March 14, 2024 (the “Amendment Date”), Nuveen Churchill BDC SPV V, LLC (“SPV V”), a wholly owned subsidiary of the Company, entered into the Third Amendment to Loan and Security Agreement (the “Amendment”)”

Nuveen Churchill Direct Lending Corp. entered into Indenture with Churchill NCDLC CLO-III, LLC valued at $296,970,000 (effective 2024-03-14).

“The notes offered in the 2024 Debt Securitization (the “2024 Notes”) were issued by Churchill NCDLC CLO-III, LLC (formerly known as Nuveen Churchill BDC SPV III, LLC) (the “2024 Issuer”), a direct, wholly owned, consolidated subsidiary of the Company, pursuant to an indenture (the “Indenture”) dated as of the Closing Date.”

Cyteir Therapeutics, Inc. terminated Amended and Restated 2012 Stock Incentive Plan valued at terminated.

“Item 1.02 Termination of Material Definitive Agreement Immediately following the filing of the Certificate of Dissolution (as defined below) with the Secretary of State of the State of Delaware, Cyteir Therapeutics, Inc. (the “Company”) terminated the Company’s Amended and Restated 2012 Stock Incentive Plan, the Company’s 2021 Equity Incentive Plan and the Company’s 2021 Employee Stock Purchase Plan.”

Tri-State Generation & Transmission Association, Inc. entered into Turnkey Engineering, Procurement and Construction Contract (Axial Basin Solar Project) with JSI Construction Group LLC valued at $195,611,863.00 (effective 2024-03-15).

“On March 15, 2024, Tri-State Generation and Transmission Association, Inc. (“Tri-State”) and JSI Construction Group LLC (“EPC Contractor”) entered into a Turnkey Engineering, Procurement and Construction Contract (Axial Basin Solar Project) (“Axial EPC”) for the construction of a 145 MW AC solar energy generation system to be located in Moffat County, Colorado (“Project”).”

Genprex, Inc. entered into Purchase Agreement with an institutional investor valued at approximately $5.8 million (effective 2024-03-19).

“On March 19, 2024, Genprex, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with an institutional investor”

MiX Telematics Ltd entered into Credit Agreement with FirstRand Bank Limited valued at R350,000,000 (effective 2024-03-14).

“on March 14, 2024, the Company entered into a Facility Letter and Standard Terms and Conditions (collectively, the “Credit Agreement”) with FirstRand Bank Limited (the “Bank”) as lender, pursuant to which the Bank agreed to provide the Company with a 365-day committed general credit facility of R350,000,000 (the “Committed Facility”).”

PennyMac Mortgage Investment Trust entered into Series 2024-VF1 Note with Goldman Sachs Bank, USA valued at $375 million (effective 2024-03-15).

“On March 15, 2024, PennyMac Mortgage Investment Trust (the “Company”), through four of its indirect, wholly owned subsidiaries, PMT ISSUER TRUST—FMSR (“Issuer Trust”), PMT CO-ISSUER TRUST I—FMSR (“Co-Issuer Trust”), PennyMac Corp. (“PMC”), and PennyMac Holdings, LLC, (“PMH”) entered into a Series 2024-VF1 Note with Goldman Sachs Bank, USA (“Goldman”), as part of the structured finance transaction that PMC uses to finance Fannie Mae mortgage servicing rights and related excess servicing spread and servicing advance receivables.”

Indo Global Exchange(s) Pte, Ltd. entered into a equity purchase with St. Andrews Holding Company S.L. valued at approximately $8.16 million (effective 2024-03-18).

“on March 18, 2024, IGEX has executed all necessary agreements and acquired 25% of the corporate membership of Saint Andrews S.L. The acquired stake is worth approximately $8.16 million US Dollars. The acquisition was acquired at a discounted price of $6 million.”

Indo Global Exchange(s) Pte, Ltd. entered into Confidential and Exclusive Agreement with St. Andrews Holding Company S.L. valued at twelve-million Dollars (effective 2023-10-23).

“The Company entered into a Confidential and Exclusive Agreement on October 23, 2023, for the acquisition of 49% of the total outstanding capital stock of St. Andrews Holding Company S.L. for twelve-million Dollars.”

Compass Group Diversified Holdings LLC entered into At Market Issuance Sales Agreement with B. Riley Securities, Inc. valued at up to $100 million (effective 2024-03-20).

“On March 20, 2024, Compass Diversified Holdings (the “Trust”) and Compass Group Diversified Holdings LLC (the “Company” and, together with the Trust, “CODI”), together with Compass Group Management LLC, entered into an At Market Issuance Sales Agreement (the “Sales Agreement”) with B. Riley Securities, Inc. (“B. Riley”), pursuant to which CODI may sell from time to time, through B. Riley acting as sales agent and/or principal (the “Sales Agent”) up to $100 million of the Trust’s 7.250% Series A Preferred Shares”

HYUNDAI ABS FUNDING LLC entered into Asset Representations Review Agreement with Clayton Fixed Income Services LLC valued at Review of certain representations relating to the Receivables (effective 2024-03-20).

“Asset Representations Review Agreement among the Trust, HCA, as servicer, and Clayton Fixed Income Services LLC, as asset representations reviewer, relating to the review of certain representations relating to the Receivables.”

HYUNDAI ABS FUNDING LLC entered into Owner Trust Administration Agreement with HCA valued at Provision by HCA of certain services relating to the Notes (effective 2024-03-20).

“Owner Trust Administration Agreement, by and among the Trust, HCA, as administrator and the Indenture Trustee, relating to the provision by HCA of certain services relating to the Notes.”

HYUNDAI ABS FUNDING LLC entered into Indenture with Citibank, N.A. valued at Issuance of Class A-1, A-2-A, A-2-B, A-3, A-4, B, and C Notes (effective 2024-03-20).

“y and among the Trust, HABS, as depositor, HCA, as seller and servicer, and Citibank, N.A. (the “Indenture Trustee”), pursuant to which the Receivables and related property were transferred to the Trust.”

HYUNDAI ABS FUNDING LLC entered into Sale and Servicing Agreement with Citibank, N.A. valued at Transfer of Receivables and related property to the Trust (effective 2024-03-20).

“Sale and Servicing Agreement, by and among the Trust, HABS, as depositor, HCA, as seller and servicer, and Citibank, N.A. (the “Indenture Trustee”), pursuant to which the Receivables and related property were transferred to the Trust.”

HYUNDAI ABS FUNDING LLC entered into Amended and Restated Trust Agreement with U.S. Bank Trust National Association valued at Amendment and restatement of Trust Agreement to create Hyundai Auto Receivables Trust 2024-A (effective 2024-03-20).

“Amended and Restated Trust Agreement, by and among HABS, U.S. Bank Trust National Association (the “Owner Trustee”) and HCA which amended and restated the Trust Agreement, dated as of December 14, 2023, pursuant to which Hyundai Auto Receivables Trust 2024-A (the “Trust”) was created.”

HYUNDAI ABS FUNDING LLC entered into Receivables Purchase Agreement with HCA valued at Transfer of certain retail installment sale contracts and related property (effective 2024-03-20).

“Receivables Purchase Agreement, between Hyundai ABS Funding, LLC (“HABS”) and HCA, pursuant to which HCA transferred to HABS certain retail installment sale contracts relating to certain new and used automobiles, light-duty trucks and minivans (the “Receivables”) and related property.”

SPI Energy Co., Ltd. entered into Deed of Settlement with Streeterville Capital, LLC valued at $10,500,000 repayment with staged payments by December 31, 2024 (effective 2024-03-06).

“On March 6, 2024, SPI Energy Co., Ltd. (the “Company”) and Streeterville Capital, LLC (the “Petitioner”) entered into that certain Deed of Settlement (the “Settlement Agreement”), pursuant to which the Company would repay the total of $10,500,000 to the Petitioner no later than December 31, 2024 by way of a number of staged payments.”

MADRIGAL PHARMACEUTICALS, INC. entered into Underwriting Agreement with Goldman Sachs & Co. LLC, Jefferies LLC, Cowen and Company, LLC, Evercore Group L.L.C. and Piper Sandler & Co valued at approximately $574.0 million (effective 2024-03-18).

“On March 18, 2024, Madrigal Pharmaceuticals, Inc. (the “Company”) entered into an Underwriting Agreement (the “Underwriting Agreement”) with Goldman Sachs & Co. LLC, Jefferies LLC, Cowen and Company, LLC, Evercore Group L.L.C. and Piper Sandler & Co, as representatives of the several underwriters named therein (the “Underwriters”), for the sale of (i) 750,000 shares of common stock (the “Shares”) of the Company, $0.0001 par value per share (the “Common Stock”), and (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase 1,557,692 shares of Common Stock in an underwritten public offering (the “Offering”).”

NASDAQ, INC. amended Amendment No. 2 with Borse Dubai Limited (effective 2024-03-19).

“On March 19, 2024, Nasdaq, Inc. (the “Company”) entered into an Amendment No. 2 (the “Amendment”) to the Stockholders’ Agreement (the “Agreement”), dated as of February 19, 2009, by and between the Company and Borse Dubai Limited (the “Selling Stockholder”), as amended.”

Worksport Ltd entered into a equity purchase.

“. Unregistered Sales of Equity Securities. In a concurrent private placement with the offering disclosed in Item 1.01 of this Current Report on Form 8-K, the Company also issued the Purchaser unregistered warrants (the “Warrants”) to purchase up to an aggregate of 7,700,264 shares (the “Warrant Shares”).”

USBC, Inc. entered into At the Market Offering Agreement with The Benchmark Company, LLC valued at $5,000,000 (effective 2024-03-20).

“On March 20, 2024, Know Labs, Inc. (the “Company”) entered into an At the Market Offering Agreement (the “ATM Agreement”) with The Benchmark Company, LLC (“Benchmark”), as sales agent, pursuant to which the Company may, from time to time, offer and sell shares of its common stock, par value $0.001 per share (the “Shares”), through or to Benchmark as its sales agent or manager.”