Entry into or termination of material definitive agreements (Items 1.01/1.02).
Berenson Acquisition Corp. I entered into Cable Car Promissory Note with Funicular Funds, LP valued at $3,500,000 (effective 2024-04-22).
“Pursuant to the Cable Car NPA, Cable Car purchased $3,500,000 of convertible notes (“First Tranche”), as was evidenced by a promissory note (the “Cable Car Promissory Note”) dated April 22, 2024, by and between Custom Health and Cable Car as the Lead Buyer and Collateral Agent”
Berenson Acquisition Corp. I entered into Senior Secured Note Purchase Agreement with Funicular Funds, LP and other buyers valued at $15,000,000 (effective 2024-04-22).
“On April 22, 2024, BACA, Custom Health, and certain direct and indirect subsidiaries of Custom Health, entered into a Senior Secured Note Purchase Agreement (“Cable Car NPA”) with Funicular Funds, LP (“Cable Car”) and other buyers who purchase Notes from time to time under the Cable Car NPA, pursuant to which Custom Health authorized the issuance of a new series of Senior Secured Convertible Notes of Custom Health, up to, in the aggregate, an original principal amount of $15,000,000 (collectively, the “Notes” and each a “Note”)”
Roadzen Inc. entered into Securities Purchase Agreement with Supurna VedBrat and Krishnan-Shah Family Partners, LP valued at up to $2 million (effective 2024-03-28).
“on March 28, 2024, the Company entered into a Securities Purchase Agreement (the “SPA”) with Supurna VedBrat and Krishnan-Shah Family Partners, LP (together, the “Purchasers”), pursuant to which the Company agreed to issue and sell to the Purchasers, and the Purchasers agreed to purchase from the Company, an aggregate of up to $2 million in principal amount of senior secured notes (the “Notes”).”
SEP Acquisition Corp. amended Amendment Number Two (the “Amendment”) to the Agreement and Plan of Merger with SANUWAVE Health, Inc. (effective 2024-04-25).
“On April 25, 2024, SEP Acquisition Corp., a Delaware corporation (the “Company”), and SANUWAVE Health, Inc., a Nevada corporation (“SANUWAVE”), entered into that certain Amendment Number Two (the “Amendment”) to the Agreement and Plan of Merger, dated as of August 23, 2023, by and among the Company, SANUWAVE and SEP Acquisition Holdings Inc., a Nevada corporation and a wholly owned subsidiary of the Company (as amended, the “Merger Agreement”).”
TortoiseEcofin Acquisition Corp. III entered into Subscription Agreement with TortoiseEcofin Sponsor III LLC, One Energy Enterprises Inc., and a third-party investor valued at Capital contribution of $400,000, 200,000 Pubco shares, cash payment of $200,000, potential 800,000 (effective 2024-04-25).
“Additionally, also in connection with the April Extension Meeting and the Month-to-Month Extension Payments described above, including the Sponsor’s obligations in respect thereof, on April 25, 2024, the Company, the Sponsor, One Energy and a third-party investor (the “ Investor ”) entered into a subscription agreement (the “ Subscription Agreement ”) in the form attached as Exhibit 10.2 hereto, which is incorporated herein by reference.”
TortoiseEcofin Acquisition Corp. III entered into Loan and Transfer Agreements with TortoiseEcofin Sponsor III LLC, One Energy Enterprises Inc., and four investors valued at Loan of $350,000, additional cash payment of $175,000, 175,000 Class B ordinary shares (effective 2024-04-17).
“On April 17, 2024, the Company, the Sponsor, One Energy Enterprises Inc. (“ One Energy ”) and four investors (collectively, the “ Lenders ”) entered into Loan and Transfer Agreements (the “ Loan and Transfer Agreements ”) pursuant to which the Lenders, collectively, agreed to loan an aggregate of $350,000 to the Sponsor (the “ Loan ”), which the Sponsor intends to loan to the Company (the “ SPAC Loan ”), in each case in connection with the April Extension and the Month-to-Month Extension Payments.”
Hanover Bancorp, Inc. /MD entered into Exchange Agreement with Castle Creek Capital Partners VIII, L.P. (effective 2024-04-25).
“On April 25, 2024, Hanover Bancorp, Inc. (the “Company”) entered into an Exchange Agreement (the “Exchange Agreement”) with Castle Creek Capital Partners VIII, L.P. (“Castle Creek”).”
Clene Inc. entered into Amended and Restated License Agreement with 4Life Research, LLC valued at exclusive, royalty bearing license; royalty rate 3% of incremental sales; term through 2033 (effective 2024-04-25).
“On April 25, 2024, Clene Inc. and its wholly owned subsidiary, Clene Nanomedicine, Inc. (together with Clene Inc. and its other subsidiaries, the “Company”), entered into an amended and restated exclusive supply agreement (the “Supply Agreement”) and an amended and restated license agreement (the “License Agreement” and, collectively with the Supply Agreement, the “Amended 4Life Agreements”) with 4Life Research, LLC (“4Life”), an international supplier of health supplements, stockholder, and related party.”
Clene Inc. entered into Amended and Restated Exclusive Supply Agreement with 4Life Research, LLC valued at cost plus 20% purchase price; Minimum Sales Commitments through 2033; royalty rate 3% of incremental (effective 2024-04-25).
“On April 25, 2024, Clene Inc. and its wholly owned subsidiary, Clene Nanomedicine, Inc. (together with Clene Inc. and its other subsidiaries, the “Company”), entered into an amended and restated exclusive supply agreement (the “Supply Agreement”) and an amended and restated license agreement (the “License Agreement” and, collectively with the Supply Agreement, the “Amended 4Life Agreements”) with 4Life Research, LLC (“4Life”), an international supplier of health supplements, stockholder, and related party.”
NEXTNRG, INC. entered into Note with NextNRG Holding Corp. (formerly Next Charging, LLC) ("Next") valued at $165,000 (effective 2024-04-22).
“On April 22, 2024, EzFill Holdings, Inc. (the “Company”) and NextNRG Holding Corp. (formerly Next Charging, LLC) (“Next”) entered into a promissory note (the “Note”) for the sum of $165,000 (the “Loan”) to be used for the Company’s working capital needs.”
Renalytix plc entered into Placing Agreement with Stifel Nicolaus Europe Limited valued at up to an aggregate of 46,801,872 ordinary shares (effective 2024-03-12).
“on March 12, 2024, Renalytix plc (the “ Company ”) entered into a Placing Agreement (the “ Placing Agreement ”) with Stifel Nicolaus Europe Limited”
Vertex, Inc. entered into Indenture with U.S. Bank Trust Company, National Association, as trustee valued at $345 million aggregate principal amount of notes (effective 2024-04-26).
“The notes were issued pursuant to, and are and will be governed by, an indenture, dated as of the Closing Date (the “Indenture”), between the Company and U.S. Bank Trust Company, National Association, as trustee (the “Trustee”).”
Vertex, Inc. entered into Purchase Agreement with Morgan Stanley & Co. LLC as representative of the several initial purchasers valued at $300 million aggregate principal amount (effective 2024-04-23).
“On April 23, 2024, Vertex, Inc. (the “Company”) agreed to sell to the several initial purchasers (the “Initial Purchasers”) for whom Morgan Stanley & Co. LLC acted as representative (the “Representative”), and the Initial Purchasers agreed to purchase from the Company, $300 million aggregate principal amount of the Company’s 0.750% Convertible Senior Notes due 2029 (the “base notes”), pursuant to a purchase agreement (the “Purchase Agreement”) between the Company and the Representative.”
Concentrix Corp amended Third Amendment to the Receivables Financing Agreement with Concentrix Receivables, Inc., PNC Bank, National Association valued at up to $600 million (effective 2024-04-25).
“On April 25, 2024, Concentrix Corporation (the “Company”), as servicer, entered into an amendment (the “Amendment”) to its accounts receivable securitization facility (as amended, the “Securitization Facility”) by and among Concentrix Receivables, Inc., a subsidiary of the Company, as borrower, PNC Bank, National Association, as administrative agent, and the group agents and the lenders party thereto.”
Interactive Strength, Inc. entered into Loan Restoration Agreement with Vertical Investors, LLC (effective 2024-04-24).
“(the "Company") entered into a Credit Agreement (the “Credit Agreement”) with Vertical Investors, LLC (the “Lender”), pursuant to which the Company received a term loan from the Lender in the original principal amount of $7,968,977.74 (the “Loan”).”
Interactive Strength, Inc. amended Loan Modification Agreement with Vertical Investors, LLC (effective 2024-04-24).
“On April 24, 2024 (the “Effective Date”), the Company entered into a Loan Modification Agreement with the Lender (the “Modification Agreement”).”
Onconetix, Inc. amended Altos Amendment with Altos Ventures (effective 2024-04-24).
“On April 24, 2024, the Debenture was amended to extend the maturity date to the earlier of (i) the closing under the Subscription Agreement and (ii) October 31, 2024 (the "Altos Amendment").”
Onconetix, Inc. entered into Forbearance Agreement with Veru Inc. (effective 2024-04-24).
“(the “Company”) entered into an asset purchase agreement with Veru Inc., a Wisconsin corporation (“Veru”) (the “Veru APA”). Pursuant to the terms of the Veru APA, the Company agreed to provide Veru”
Inmune Bio, Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at 6% cash fee of gross proceeds (effective 2024-04-24).
“Pursuant to a placement agency agreement (the “Placement Agency Agreement”) dated as of April 24, 2024, between the Company and Maxim Group LLC (the “Placement Agent”), the Company engaged the Placement Agent to act as the Company’s sole placement agent in connection with the registered direct offering.”
Inmune Bio, Inc. entered into Securities Purchase Agreement with Purchasers valued at 986,000 shares of common stock and warrants at $9.84 per share, aggregate gross proceeds $9,702,240 (effective 2024-04-24).
“On April 24, 2024, INmune Bio, Inc. (the “Company”), entered into a securities purchase agreement (the “Purchase Agreement”) with the purchaser set forth on the signature page thereto (the “Purchasers) for the purchase and sale of an aggregate of 986,000 shares of the Company’s common stock (the “Shares”) and common stock warrants to purchase 986,000 shares of its common stock (“Warrants”) in a registered direct offering.”
Datavault AI Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at aggregate fee equal to 8.0% of the gross proceeds raised in the Offerings (effective 2024-04-26).
“on April 26, 2024, the Company entered into a placement agency agreement (the “Placement Agency Agreement”) with Maxim Group LLC (the “Placement Agent”)”
Datavault AI Inc. entered into Purchase Agreement with certain purchasers valued at aggregate gross proceeds of approximately $2,400,000 (effective 2024-04-26).
“On April 26, 2024, WiSA Technologies, Inc., a Delaware corporation (the “Company”), entered into a securities purchase agreement (the “Purchase Agreement”) with certain purchasers”
Morphic Holding, Inc. terminated Open Market Sale Agreement SM with Jefferies LLC (effective 2024-04-25).
“As previously disclosed, in July 2020, the Company entered into an Open Market Sale Agreement SM (as amended by Amendment No. 1 to the Open Market Sale Agreement SM , the "Prior Agreement") with Jefferies LLC ("Jefferies") under which the Company could offer and sell, from time to time at its sole discretion, shares of Common Stock having an aggregate offering amount of up to $150,000,000 through Jefferies as sales agent. In connection with the Company's entry into the TD Cowen Sales Agreement, on April 25, 2024, the Company terminated the Prior Agreement.”
Morphic Holding, Inc. entered into TD Cowen Sales Agreement with TD Securities (USA) LLC valued at $350,000,000 (effective 2024-04-26).
“On April 26, 2024, Morphic Holding, Inc., a Delaware corporation (the "Company" or "Morphic"), entered into a Sales Agreement (the "TD Cowen Sales Agreement") with TD Securities (USA) LLC ("TD Cowen"), under which the Company may offer and sell, from time to time at its sole discretion, shares of its common stock, par value $0.0001 per share ("Common Stock"), having an aggregate offering price of up to $350,000,000”
Lightstone Value Plus REIT IV, Inc. entered into Moxy Junior Loan with G4 18263, LLC valued at $9.0 million (effective 2024-04-19).
“and a $9.0 million junior mortgage loan facility (the “Moxy Junior Loan” and together with the Moxy Senior Loan, the “Moxy Mortgage Loans”) with G4”
Lightstone Value Plus REIT IV, Inc. entered into Moxy Senior Loan with Western Alliance Bank and G4 18263, LLC valued at $86.0 million (effective 2024-04-19).
“On April 19, 2024, a 75% majority owned subsidiary (the “Williamsburg Moxy Joint Venture”) of Lightstone Value Plus REIT IV, Inc. entered into an $86.0 million senior mortgage loan facility (the “Moxy Senior Loan”) with Western Alliance Bank and G4 18263, LLC (“G4”), both unrelated third parties”
Qorvo, Inc. entered into Credit Agreement with Bank of America, N.A., as administrative agent, swing line lender and letter of credit issuer, and a syndicate of lenders valued at $325.0 million (effective 2024-04-23).
“On April 23, 2024, Qorvo, Inc. (the “Company”) entered into a five-year unsecured senior credit facility pursuant to a credit agreement with Bank of America, N.A., as administrative agent (in such capacity, the “Administrative Agent”), swing line lender and letter of credit issuer, and a syndicate of lenders (the “Credit Agreement”).”
Lipocine Inc. terminated Controlled Equity Offering Sales Agreement with Cantor Fitzgerald & Co. valued at terminated effective immediately upon notice; waiver of notice period (effective 2024-04-24).
“On April 24, 2024, the Company provided notice to Cantor Fitzgerald & Co. (“Cantor”) of its election to terminate the Controlled Equity Offering SM Sales Agreement between them dated March 6, 2017 (the “Sales Agreement”).”
Lipocine Inc. entered into ATM Agreement with A.G.P./Alliance Global Partners valued at up to $10,616,169 of Shares; 3.0% of aggregate gross proceeds per sale (effective 2024-04-26).
“On April 26, 2024, Lipocine Inc. (the “Company”), entered into a sales agreement (the “ATM Agreement”) with A.G.P./Alliance Global Partners (“A.G.P.”), as sales agent, pursuant to which the Company may offer and sell shares of common stock, par value $0.0001 per share (the “Shares”), from time to time, in an at-the-market public offering.”
U.S. SILICA HOLDINGS, INC. entered into Merger Agreement with Star Holding LLC and Star Merger Co. valued at $15.50 in cash (effective 2024-04-26).
“On April 26, 2024, U.S. Silica Holdings, Inc., a Delaware corporation (the “ Company ”), entered into an Agreement and Plan of Merger (the “ Merger Agreement ”) with Star Holding LLC, a Delaware limited liability company (“ Parent ”), and Star Merger Co., a Delaware corporation and a wholly owned subsidiary of Parent (“ Merger Sub ”).”
Sixth Street Specialty Lending, Inc. amended fifteenth amendment to the Company’s second amended and restated senior secured revolving credit facility valued at from $1.685 billion as of March 31, 2024 to $1.70 billion (effective 2024-04-24).
“On April 24, 2024, Sixth Street Specialty Lending, Inc. (the “Company”) entered into a fifteenth amendment to the Company’s second amended and restated senior secured revolving credit facility, dated February 27, 2014 (as amended, the “Revolving Credit Facility”), which, among other changes, (a) increases the aggregate commitments under the Revolving Credit Facility from $ 1.685 billion as of March 31, 2024 to $1.70 billion and (b) extends the termination of the revolving period on $ 1.505 billion of commitments to April 24, 2028 and the stated maturity date to April 24, 2029.”
Annovis Bio, Inc. entered into Common Stock Purchase Agreement with the Equity Line investor (the "ELOC Purchaser") valued at up to 2,051,428 shares (effective 2024-04-25).
“On April 25, 2024, Annovis Bio, Inc., a Delaware corporation (the “Company”), entered into a Common Stock Purchase Agreement (the “Purchase Agreement”) with the Equity Line investor (the “ELOC Purchaser”), whereby the Company may offer and sell, from time to time at its sole discretion, and whereby the ELOC Purchaser has committed to purchase, up to 2,051,428 shares of shares of the Company’s common stock, $0.0001 par value per share (the “Common Stock”) (but subject to the limitations described below).”
SANUWAVE Health, Inc. amended Amendment Number Two with SEP Acquisition Corp. (effective 2024-04-25).
“On April 25, 2024, Sanuwave Health, Inc., a Nevada corporation (“the Company”), and SEP Acquisition Corp., a Delaware corporation (“SEPA”), entered into that certain Amendment Number Two (the “Amendment”) to the Agreement and Plan of Merger, dated as of August 23, 2023, by and among the Company, SEPA and SEP Acquisition Holdings Inc., a Nevada corporation, and a wholly owned subsidiary of SEPA (as amended, the “Merger Agreement”).”
AMES NATIONAL CORP entered into Credit Agreement with Green Belt Bank & Trust of Iowa Falls, Iowa valued at five million dollars (effective 2024-04-25).
“On April 25, 2024, Ames National Corporation (the “Company”) entered into a promissory note and related business loan agreement (collectively, the “Credit Agreement”) with Green Belt Bank & Trust of Iowa Falls, Iowa (the “Lender”), providing for a revolving line of credit facility in an amount of up to five million dollars maturing on April 25, 2026.”
YUM BRANDS INC amended Refinancing Amendment No. 7 with JPMorgan Chase Bank, N.A., as Collateral Agent, Swing Line Lender, an L/C Issuer and Administrative Agent, and the Lenders (effective 2024-04-26).
“On April 26, 2024, Pizza Hut Holdings, LLC, KFC Holding Co. and Taco Bell of America, LLC (collectively, the “Borrowers”), each a wholly owned subsidiary of YUM! Brands, Inc. (“YUM” or the “Company”), entered into a Refinancing Amendment No. 7 (the “Amendment”) to the Credit Agreement, dated as of June 16, 2016”
V F CORP amended Revolver Amendment valued at $2.25 billion (effective 2024-04-25).
“On April 25, 2024, (the “Amendment Effective Date”), V.F. Corporation (the “Company” or “VF”) entered into an amendment (the “Revolver Amendment”) to its $2.25 billion senior unsecured revolving credit facility that expires November 2026 (the “Revolver Agreement”).”
ENGLOBAL CORP entered into Amended and Restated Credit Agreement with Alliance 2000, Ltd. valued at $1,200,000 term loans; $1,000,000 revolving credit facility (effective 2024-04-24).
“On April 24, 2024 (the “ Closing Date ”), ENGlobal Corporation, a Nevada corporation (the “ Company ”), entered into an Amended and Restated Credit Agreement (the “ Credit Agreement ”) with Alliance 2000, Ltd., a Texas limited partnership (“ Lender ”), pursuant to which the parties amended and restated the Credit Agreement dated June 15, 2023 (the “ Original Credit Agreement ”), between the Company and the Lender to, among other things, (i) modify the existing term loans in the aggregate original principal amount of $1,200,000 (the “ Term Loans ”) to (a) extend the maturity date to July 2, 2025, and (b) reduce the applicable interest rate from 8.5% to 8.0% per annum, and (ii) provide a revolving credit facility (the “ Line of Credit ”) of up to the lesser of (a) the Borrowing Base (as defined below) and (b) $1,000,000.”
Pediatrix Medical Group, Inc. entered into Master Services Agreement with Guidehouse Managed Services LLC valued at enterprise revenue cycle management services; eight-year initial term; successive two-year extension (effective 2024-04-19).
“On April 19, 2024, Pediatrix Medical Group, Inc., a Florida corporation (the “Company”), through PMG Services, Inc., a Florida corporation and wholly-owned subsidiary of the Company (“PMG Services”), entered into a Master Services Agreement (the “Agreement”) with Guidehouse Managed Services LLC (“Guidehouse”), a Delaware limited liability company, pursuant to which Guidehouse will provide certain enterprise revenue cycle management services for the Company.”
ALLEGRO MICROSYSTEMS, INC. entered into Sale and Subscription Agreement with Sanken Electric Co., Ltd., Polar Semiconductor, LLC, and PS Investment Aggregator, L.P. valued at $175 million (effective 2024-04-25).
“On April 25, 2024, Allegro MicroSystems, Inc. (the “Company”), Sanken Electric Co., Ltd. (“Sanken”), Polar Semiconductor, LLC (“Polar”), and PS Investment Aggregator, L.P. (“Subscriber”) entered into a Sale and Subscription Agreement (the “Agreement”). Pursuant to the terms and conditions of the Agreement, in exchange for equity interests in Polar, Subscriber and an affiliate of Subscriber will make capital contributions to Polar of, in the aggregate, $175 million (the “Transaction”).”
PVH CORP. /DE/ terminated Indenture, dated as of June 20, 2016 with U.S. Bank Trust Company, National Association valued at €525 million (effective 2024-04-25).
“On April 25, 2024, the Company applied the net proceeds from the issuance of the 2029 Notes to redeem all of the outstanding 2024 Notes, representing an aggregate principal amount of €525 million.”
Bridgecrest Auto Funding LLC entered into Underwriting Agreement with BAC, BAF and Citigroup Global Markets Inc., on behalf of itself and as representative of the Underwriters (effective 2024-04-17).
“The Publicly Registered Notes were sold to Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Wells Fargo Securities, LLC and Fifth Third Securities, Inc. (together, the “Underwriters”), pursuant to an Underwriting Agreement, dated as of April 17, 2024, by and among BAC, BAF and Citigroup Global Markets Inc., on behalf of itself and as representative of the Underwriters.”
Bridgecrest Auto Funding LLC entered into Indenture with the Issuer, the Grantor Trust and the Indenture Trustee (effective 2024-04-24).
“Also, on the Closing Date, the Issuer entered into an Indenture, dated as of the Closing Date (the “Indenture”), by and among the Issuer, the Grantor Trust and the Indenture Trustee.”
Bridgecrest Auto Funding LLC entered into Sale and Servicing Agreement with the Grantor Trust, BAF, as seller, BAC, as servicer, and Computershare Trust Company, National Association, as indenture trustee and standby 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 the Grantor Trust, BAF, as seller, BAC, as servicer, and Computershare Trust Company, National Association, as indenture trustee (the “Indenture Trustee”) and standby servicer, pursuant to which the Receivables and related property were transferred to the Issuer and pursuant to which BAC agreed to act as servicer for the Receivables.”
Bridgecrest Auto Funding LLC entered into Purchase Agreement with Bridgecrest Acceptance Corporation and Bridgecrest Auto Funding LLC (effective 2024-04-24).
“Bridgecrest Acceptance Corporation (“BAC”) and Bridgecrest Auto Funding LLC (“BAF”) entered into a Purchase Agreement (the “Purchase Agreement”), dated as of April 24, 2024, (the “Closing Date”), pursuant to which BAC transferred to BAF certain motor vehicle retail installment sales contracts relating to certain new and used automobiles, light-duty trucks, SUVs and vans (the “Receivables”) and related property.”
MANGOCEUTICALS, INC. entered into Patent Purchase Agreement with Intramont Technologies, Inc. valued at $20,000,000 (effective 2024-04-24).
“Mangoceuticals, Inc., a Texas corporation (the “ Company ”, “ we ” and “ us ”), entered into a Patent Purchase Agreement (the “ IP Purchase Agreement ”), with Intramont Technologies, Inc. (“ Intramont ”).”
Diameter Credit Co entered into DCC Holdings II Secured Credit Facility with Morgan Stanley Senior Funding, Inc., Citibank, N.A., Siepe, LLC valued at $200 million (effective 2024-04-19).
“On April 19, 2024 (the “ Closing Date ”), Diameter Credit Company Holdings II LLC (“ DCC Holdings ”), a Delaware limited liability company and newly formed subsidiary of Diameter Credit Company (the “ Company ”), entered into a Loan and Servicing Agreement (the “ DCC Holdings II Secured Credit Facility ”), with DCC Holdings, as borrower, the Company, as transferor and as servicer, the lenders from time to time party thereto, Morgan Stanley Senior Funding, Inc., as administrative agent, Citibank, N.A., as collateral agent, as account bank and as collateral custodian, and Siepe, LLC, as collateral administrator.”
BlackRock Private Credit Fund entered into Senior Secured Credit Agreement with Sumitomo Mitsui Banking Corporation, as Administrative Agent, and the lenders and issuing banks from time to time parties thereto valued at $75,000,000 (effective 2024-04-19).
“On April 19, 2024, Blackrock Private Credit Fund (the “Company”), a Delaware statutory trust, entered into a Senior Secured Credit Agreement (the “Credit Facility”). The parties to the Credit Facility include the Company, as Borrower, the lenders and issuing banks from time to time parties thereto (each a “Lender” and collectively, the “Lenders”) and Sumitomo Mitsui Banking Corporation, as Administrative Agent.”
Trio Petroleum Corp amended Amended and Restated Secured Convertible Note with Initial Investor (effective 2024-04-24).
“The Company also issued an Amended and Restated Secured Convertible Note to the Initial Investor (the “A&R Initial Investor Note”), pursuant to the terms of the A&R SPA, which did not amend any of the provisions of the Initial Investor Note other than to add certain language referencing the Additional Investor Note and the relationship between the two Notes.”
Trio Petroleum Corp entered into Senior Secured Convertible Promissory Note with Additional Investor valued at principal amount of $400,000, having an original issue discount of $40,000 (effective 2024-04-24).
“the Company issued a Senior Secured Convertible Promissory Note to the Additional Investor in the principal amount of $400,000, having an original issue discount of $40,000, or 10% (the “Additional Investor Note”).”
Trio Petroleum Corp amended Amended and Restated Securities Purchase Agreement with institutional investors valued at gross proceeds in the amount of $360,000 (effective 2024-04-24).
“On April 24, 2024, the Company entered into an Amended and Restated Securities Purchase Agreement (the “A&R SPA”), pursuant to which the Financing was amended and an additional institutional investor (the “Additional Investor” and collectively with the Initial Investor, the “Investors”) also provided financing to the Company, on the same terms as provided by the Initial Investor, for gross proceeds in the amount of $360,000 resulting in net proceeds to the Company, after offering expenses, of $328,000 (the “Amended Financing”).”
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.