Material Agreements

BIO-PATH HOLDINGS, INC. entered into Engagement Letter with H.C. Wainwright & Co., LLC (effective 2024-03-22).

“On March 22, 2024, the Company entered into an engagement letter (the “Engagement Letter”) with H.C. Wainwright & Co., LLC (the “Placement Agent”).”

BIO-PATH HOLDINGS, INC. entered into Purchase Agreement with certain institutional investors valued at approximately $1.2 million (effective 2024-04-18).

“On April 18, 2024, Bio-Path Holdings, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with certain institutional investors, pursuant to which the Company agreed to sell, in a registered direct offering (the “Registered Direct Offering”), an aggregate of 375,000 shares (the “Shares”) of its common stock, par value $0.001 per share (“Common Stock”), for a purchase price per Share of $3.225 and gross proceeds of approximately $1.2 million.”

CUMULUS MEDIA INC entered into Transaction Support Agreement with Ad-Hoc Group valued at 1% paid-in-kind fee (effective 2024-04-18).

“On April 18, 2024, Cumulus Media Inc. (the “Company”) announced that its wholly-owned subsidiary, Cumulus Media New Holdings Inc. (the “Issuer”), entered into a Transaction Support Agreement (the “Transaction Support Agreement”) with a certain group of the Issuer’s Old Term Loan (as defined therein) lenders and holders of Old Notes”

ABERDEEN INDIA FUND, INC. entered into Dealer Manager Agreement with UBS Securities LLC (effective 2024-04-18).

“On April 18, 2024, The India Fund, Inc. (NYSE: IFN) (the “Fund”) entered into a dealer manager agreement (the “Dealer Manager Agreement”) by and among the Fund, abrdn Asia Limited and UBS Securities LLC”

ProPhase Labs, Inc. entered into Standstill Agreement with ThinkEquity LLC (effective 2024-04-18).

“On April 18, 2024, ProPhase Labs, Inc. (the “Company”) entered into a standstill agreement with ThinkEquity LLC (the “Sales Agent”) (such agreement, the “Standstill Agreement”).”

CHS INC entered into Note Purchase Agreement with the accredited investors signatory thereto (collectively, the "Purchasers") valued at $700,000,000 (effective 2024-04-18).

“On April 18, 2024, CHS Inc. (the “Company”) entered into a Note Purchase Agreement (the “Note Purchase Agreement”) with the accredited investors signatory thereto (collectively, the “Purchasers”), pursuant to which the Company will issue and sell, in a private placement, its, (i) Series DD Notes in the aggregate principal amount of $150,000,000 with a maturity date of July 16, 2032 (the “Series DD Notes”), (ii) Series EE Notes in the aggregate principal amount of $150,000,000 with a maturity date of July 16, 2034 (the “Series EE Notes”), (iii) Series FF Notes in the aggregate principal amount of $150,000,000 with a maturity date of July 16, 2037 (the “Series FF Notes”) and (iv) Series GG Notes in the aggregate principal amount of $250,000,000 with a maturity date of July 16, 2039 (the “Series GG Notes” together with the Series DD Notes, the Series EE Notes and the Series FF Notes, the “Notes”).”

Sanara MedTech Inc. entered into Loan Agreement with CRG Servicing LLC valued at up to $55.0 million (effective 2024-04-17).

“Sanara MedTech Inc. (the “Company”) entered into a Term Loan Agreement (the “Loan Agreement”), by and among the Company, as borrower, the subsidiary guarantors party thereto from time to time (collectively, the “Guarantors”), CRG Servicing LLC, as administrative agent and collateral agent (the “Agent”), and the lenders party thereto from time to time, providing for a senior secured term loan of up to $55.0 million (the “Loan”).”

SunOpta Inc. entered into Amending Agreement with Oaktree Organics, L.P., Oaktree Huntington Investment Fund II, L.P., OCM SunOpta Trustee LLC valued at Elimination of dividend rights attached to shares of Series B-1 Preferred Stock of SunOpta Foods eff (effective 2024-04-17).

“On April 17, 2024, SunOpta Inc. (the "Company"), SunOpta Foods Inc. ("SunOpta Foods"), a wholly-owned subsidiary of the Company, Oaktree Organics, L.P., Oaktree Huntington Investment Fund II, L.P. (together with Oaktree Organics, L.P, the "Investors"), and OCM SunOpta Trustee LLC (the "Trustee"), entered into an Amending Agreement (the "Amending Agreement") related to the elimination of the dividend rights attached to shares of Series B-1 Preferred Stock of SunOpta Foods effective from and after December 31, 2023, including amending the terms of (i) the Amended and Restated Investor Rights Agreement, dated April 24, 2020, among the Company, SunOpta Foods and the Investors, (ii) the Exchange and Support Agreement, dated April 24, 2020, among the Company, SunOpta Foods and the Investors, and (iii) the Voting Trust Agreement, dated April 24, 2020, among the Company, SunOpta Foods, the Investors and the Trustee”

PHX MINERALS INC. amended Sixth Amendment with Independent Bank (effective 2024-04-18).

“On April 18, 2024, PHX Minerals Inc., a Delaware corporation (the “Company”), entered into a Sixth Amendment (the “Sixth Amendment”) to Credit Agreement dated as of September 1, 2021 (as amended, the “Credit Agreement”), by and among the Company, the lenders party thereto, and Independent Bank, as Administrative Agent and L/C Issuer.”

VSEE HEALTH, INC. amended Extension Letter Agreement with an institutional and accredited investor (effective 2024-04-17).

“On April 17, 2024, the Company and the investor entered into a letter agreement (the “Extension Letter Agreement”), which amended the maturity date of the Extension Note to June 30, 2024 and clarified certain definitions and transaction terms in both the Extension Purchase Agreement and the Extension Note”

VSEE HEALTH, INC. amended Bridge Letter Agreement with the Bridge Investor (effective 2024-04-17).

“On April 17, 2024, the Company, VSee, and iDoc entered into a letter agreement with the Bridge Investor (the “Bridge Letter Agreement”), which amended the date with respect to the termination or closing of the business combination referenced in the Bridge Notes from March 31, 2024 to June 30, 2024”

VSEE HEALTH, INC. amended Second Amendment with Digital Health Acquisition Corp., DHAC Merger Sub I, Inc., DHAC Merger Sub II, Inc., VSee Lab, Inc., iDoc Virtual Telehealth Solutions, Inc. (effective 2024-04-17).

“On April 17, 2024, the Parties entered into a Second Amendment (the “Second Amendment”) to the Business Combination Agreement, pursuant to which the termination date in the Business Combination Agreement was amended from March 31, 2024 to June 30, 2024”

VSEE HEALTH, INC. entered into Third Amended and Restated Business Combination Agreement with Digital Health Acquisition Corp., DHAC Merger Sub I, Inc., DHAC Merger Sub II, Inc., VSee Lab, Inc., iDoc Virtual Telehealth Solutions, Inc. (effective 2023-11-21).

“Digital Health Acquisition Corp. (“DHAC” or the “Company”), DHAC Merger Sub I, Inc., a Delaware corporation and a wholly owned subsidiary of DHAC (“Merger Sub I”), DHAC Merger Sub II, Inc., a Texas corporation and a wholly owned subsidiary of DHAC (“Merger Sub II” and together with Merger Sub I, the “Merger Subs”), VSee Lab, Inc., a Delaware corporation (“VSee”), and iDoc Virtual Telehealth Solutions, Inc., a Texas corporation (“iDoc” and together with DHAC, Merger Sub I, Merger Sub II, VSee and iDoc, the “Parties”), entered into a Third Amended and Restated Business Combination Agreement on November 21, 2023”

Snap One Holdings Corp. entered into Agreement and Plan of Merger with Resideo Technologies, Inc. valued at $10.75 per share (effective 2024-04-14).

“On April 14, 2024, Snap One Holdings Corp., a Delaware corporation (“Snap One”), entered into an Agreement and Plan of Merger (the “Merger Agreement”), with Resideo Technologies, Inc., a Delaware corporation (“Resideo”), and Pop Acquisition Inc., a Delaware corporation and a wholly owned subsidiary of Resideo (“Merger Sub”), pursuant to which, subject to the terms and conditions of the Merger Agreement, Merger Sub will merge with and into Snap One, with Snap One continuing as the surviving corporation (the “Surviving Corporation”) and a wholly owned subsidiary of Resideo (the “Merger”).”

Calidi Biotherapeutics, Inc. amended Amendment to Convertible Note and Settlement Agreement with an investor valued at $1.5 million convertible note (effective 2024-04-14).

“On April 14, 2024, the Company amended the Note to provide that if the holder thereof participates in a registered public offering, under the same terms and conditions as other investors, in the amount equal to the principal amount of the Note, the proceeds from the sale of securities to the promissory noteholder would be used to pay off the Note.”

Generation Asia I Acquisition Ltd amended IMTA Amendment with Continental Stock Transfer & Trust Company valued at $35,000 (effective 2024-04-16).

“by depositing into the trust account an amount equal to $35,000 for each one-month extension of the date by which the Company has to consummate a business combination effective immediately, as described in more detail in the definitive proxy statement on Form DEF 14A as filed with the SEC on March 29, 2024. Following such approval by the Company’s stockholders, the Company and CST entered into the IMTA Amendment on April 16, 2024.”

Verizon ABS II LLC entered into Underwriting Agreement with Wells Fargo Securities, LLC, Mizuho Securities USA LLC, RBC Capital Markets, LLC and SMBC Nikko Securities America, Inc. (effective 2024-04-16).

“On April 16, 2024, Verizon Master Trust (the “ Trust ”), a Delaware statutory trust, and Cellco Partnership d/b/a Verizon Wireless (“ Cellco ”) entered into an Underwriting Agreement (the “ Underwriting Agreement ”) with of Wells Fargo Securities, LLC, Mizuho Securities USA LLC, RBC Capital Markets, LLC and SMBC Nikko Securities America, Inc., acting on behalf of themselves and as representatives of the several underwriters named therein, for the sale of certain notes of Series 2024-3.”

Terran Orbital Corp amended Amended and Restated Rights Agreement with Continental Stock Transfer & Trust Company (effective 2024-04-18).

“On April 18, 2024, Terran Orbital Corporation (the “Company”) entered into an Amended and Restated Rights Agreement (the “Amended Rights Agreement”), which amends and restates the Rights Agreement dated as of March 4, 2024 (the “Rights Agreement”), by and between the Company and Continental Stock Transfer & Trust Company, as rights agent.”

Serve Robotics Inc. /DE/ entered into Underwriting Agreement with Aegis Capital Corp. valued at $4.00 per share (effective 2024-04-17).

“On April 17, 2024, Serve Robotics Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Aegis Capital Corp. (“Aegis”), as the representative of the several underwriters named in Schedule I thereto (collectively, the “Underwriters”), 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 (the “Offering”).”

Serve Robotics Inc. /DE/ entered into Underwriting Agreement with Aegis Capital Corp., as the representative of the several underwriters 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, Serve Robotics Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Aegis Capital Corp. (“Aegis”), as the representative of the several underwriters named in Schedule I thereto (collectively, the “Underwriters”), 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 (the “Offering”).”

Motorsport Games Inc. entered into New BTCC License Agreement with BARC (TOCA) LIMITED valued at Annual royalty of 50% of Adjusted Gross Annual Sales of downloadable Products; term through December (effective 2024-04-12).

“Agreement”) with BARC (TOCA) LIMITED (“TOCA”). The Agreement resolved any and all disputes between the Company and TOCA with respect to the termination of the License agreement, dated May 29, 2020, between”

Motorsport Games Inc. entered into Settlement Agreement with BARC (TOCA) LIMITED valued at One-time payment of $225,000, forgiveness of all royalties and sums (effective 2024-04-12).

“On April 12, 2024, Motorsport Games Inc., a Delaware corporation (the "Company"), entered into a Settlement Agreement (the "Agreement") with BARC (TOCA) LIMITED ("TOCA").”

Mediaco Holding Inc. entered into Asset Purchase Agreement with Estrella Broadcasting, Inc., SLF LBI Aggregator, LLC (effective 2024-04-17).

“MediaCo Holding Inc., an Indiana corporation (“ MediaCo ”), and its wholly-owned subsidiary MediaCo Operations LLC, a Delaware limited liability company (“ Purchaser ”), entered into an asset purchase agreement (the “ Asset Purchase Agreement ”) with Estrella Broadcasting, Inc., a Delaware corporation (“ Estrella ”), and SLF LBI Aggregator, LLC, a Delaware limited liability company (“ Aggregator ”) and affiliate of HPS Investment Partners, LLC (“ HPS ”), pursuant to which Purchaser purchased substantially all of the assets of Estrella”

Odyssey Semiconductor Technologies, Inc. entered into Promissory Note with Nina and John Edmunds 1998 Family Trust dated January 27, 1998 valued at $190,000 (effective 2024-04-15).

“On April 15, 2024, Odyssey Semiconductor Technologies, Inc. (the “Company”) issued a secured convertible promissory note in the amount of $190,000 (the “Promissory Note”), to the Nina and John Edmunds 1998 Family Trust dated January 27, 1998 (the “Edmunds Trust”), of which the Company’s Chairman, John Edmunds, is the trustee.”

Advantage Solutions Inc. amended Third Amendment with Bank of America, N.A. (effective 2024-04-17).

“On April 17, 2024 (the “ Third Amendment Effective Date ”), Advantage Sales & Marketing Inc. (the “ Borrower ”), an indirect wholly-owned subsidiary of Advantage Solutions Inc. (the “ Company ”), together with Karman Intermediate Corp., a Delaware corporation (“ Holdings ”) and certain of the Borrower’s subsidiaries, entered into Amendment No. 3 to the First Lien Credit Agreement (the “ Third Amendment ”), which amends the First Lien Credit Agreement, dated as of October 28, 2020”

Augmedix, Inc. amended Amendment 1 to Statement of Work No. 3 with Sutter Health (effective 2024-04-15).

“On the Effective Date, the Company also entered into Amendment 1 to Statement of Work No. 3 (the “ SOW Amendment ”) with the Customer, pursuant to the MSA, as amended.”

Augmedix, Inc. amended Tenth Amendment to the Master Services Agreement with Sutter Health (effective 2024-04-15).

“On April 15, 2024 (the “ Effective Date ”), Augmedix Operating Corp., f/k/a Augmedix, Inc., a Delaware corporation (the “ Company ”), entered into the Tenth Amendment to the Master Services Agreement (the “ Tenth Amendment ”) with Sutter Health, a California nonprofit public benefit corporation (the “ Customer ”).”

Triller Group Inc. entered into Agreement and Plan of Merger with AGBA Group Holding Limited (effective 2024-04-16).

“On April 16, 2024, AGBA Group Holding Limited, a British Virgin Islands business company (“ AGBA ” or “ Parent ”), entered into that certain Agreement and Plan of Merger (as may be amended, supplemented or otherwise modified from time to time, the “ Merger Agreement ”), by and between AGBA, its wholly owned subsidiary AGBA Social Inc. (“ Merger Sub ”), Triller Corp., a Delaware corporation (“ Triller ” or the “ Company ”) and Bobby Sarnevesht, solely as representative of the Triller stockholders.”

Utz Brands, Inc. amended First Lien Credit Agreement valued at $630 million (effective 2024-04-17).

“Pursuant to the Refinancing Facility, the Borrower refinanced, in full, outstanding term loans having a principal amount of $630 million as of the Refinancing Date.”

Longeveron Inc. entered into Inducement Letter Agreements with certain holders valued at approximately $6.2 million (effective 2024-04-16).

“On April 16, 2024, Longeveron Inc., a Delaware corporation (the “Company”), entered into inducement letter agreements (the “Inducement Letter Agreements”) with certain holders (the “Holders”) of its existing (i) Series A warrants to purchase up to an aggregate of 242,425 shares of the Company’s Class A common stock”

Cosmos Group Holdings Inc. entered into Bought and Sold Agreement with Guangzhou Huangting Meishuguan valued at HKD$ 134,280,000 (approximately USD$17.13 million) (effective 2024-04-16).

“On April 16, 2024, Grand Town Development Limited (“Grand Town”), a fully owned subsidiary of Cosmos Group Holdings Inc. (“COSG”, the “Company”), And Guangzhou Huangting Meishuguan (“Seller”) Entered into four Bought and Sold Agreements, whereby Seller has agreed to sell Grand Town four pieces of collectible items at HKD$ 134,280,000 (approximately USD$17.13 million).”

Korro Bio, Inc. entered into Subscription Agreement with a number of institutional accredited investors valued at approximately $70.0 million (effective 2024-04-17).

“On April 17, 2024, we entered into a subscription agreement with a number of institutional accredited investors pursuant to which we agreed to sell and issue in a private placement”

Datavault AI Inc. entered into Placement Agency Agreement with Maxim Group LLC valued at aggregate fee equal to 6.0% of the gross proceeds raised in the Offerings (effective 2024-04-17).

“on April 17, 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 $750,000 (effective 2024-04-17).

“On April 17, 2024, WiSA Technologies, Inc., a Delaware corporation (the “Company”), entered into a securities purchase agreement (the “Purchase Agreement”) with certain purchasers”

ATLANTIC INTERNATIONAL CORP. amended Amendment No. 6 to the Agreement and Plan of Reorganization with SeqLL, Inc., Atlantic Acquisition Corp, Atlantic Merger LLC, Lyneer Investments, LLC, IDC Technologies, Inc., and Lyneer Management Holdings LLC valued at Amendment modifies Lyneer Stock Consideration to be 100% issuable to IDC and adjusts Cash Considerat (effective 2024-04-15).

“On April 15, 2024, the Company entered into Amendment No. 6 to the Agreement and Plan of Reorganization (the “Amendment”) with the other parties thereto.”

Intra-Cellular Therapies, Inc. entered into Underwriting Agreement with J.P. Morgan Securities LLC, Leerink Partners LLC, BofA Securities, Inc., Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the several underwriters named therein valued at approximately $472.1 million (effective 2024-04-17).

“On April 17, 2024, Intra-Cellular Therapies, Inc. (the “ Company ”) entered into an underwriting agreement (the “ Underwriting Agreement ”) with J.P. Morgan Securities LLC, Leerink Partners LLC, BofA Securities, Inc., Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the several underwriters named therein (collectively, the “ Underwriters ”), relating to an underwritten public offering of 6,849,316 shares (the “ Underwritten Shares ”) of the Company’s common stock”

Diamondback Energy, Inc. entered into Second Supplemental Indenture with Computershare Trust Company, National Association valued at $850,000,000 aggregate principal amount of its 5.200% Senior Notes due 2027, $850,000,000 aggregate (effective 2024-04-18).

“the Second Supplemental Indenture, dated as of April 18, 2024 (the “Second Supplemental Indenture” and, together with the Base Indenture, the “Indenture”), among the Company, as the issuer, Diamondback E&P LLC, as the subsidiary guarantor (“E&P”), and the Trustee, setting forth specific terms applicable to the Notes.”

ADIAL PHARMACEUTICALS, INC. entered into At the Market Offering Agreement with H.C. Wainwright & Co., LLC (effective 2024-04-18).

“On April 18, 2024, Adial Pharmaceuticals, Inc., a Delaware corporation (the “Company”), entered into an At the Market Offering Agreement (the “ATM Agreement”) with H.C. Wainwright & Co., LLC (the “Sales Agent” or “Wainwright”) providing for the sale by the Company of its shares of common stock, par value $0.001 per share (the “Common Stock”), from time to time, through the Sales Agent, with certain limitations on the amount of Common Stock that may be offered and sold by the Company as set forth in the ATM Agreement (the “Offering”).”

T2 Biosystems, Inc. entered into Securities Purchase Agreement with CRG Partners III L.P., CRG Partners III - Parallel Fund "A" L.P., CRG Partners III (Cayman) Unlev AIV I L.P., CRG Partners III (Cayman) Lev AIV I L.P. and CRG Partners III Parallel Fund "B" (Cayman) L.P. valued at $15.0 million (effective 2024-02-15).

“The Exchange was completed pursuant to the Securities Purchase Agreement (the “ Securities Purchase Agreement ”), dated as of February 15, 2024, with CRG Partners III L.P., CRG Partners III - Parallel Fund “A” L.P., CRG Partners III (Cayman) Unlev AIV I L.P., CRG Partners III (Cayman) Lev AIV I L.P.”

Transocean Ltd. entered into Indenture (the "Indenture") with Truist Bank, as trustee valued at U.S. $900 million in aggregate principal amount of 8.25% Senior Notes due 2029 and U.S. $900 million (effective 2024-04-18).

“On April 18, 2024, in connection with the closing of the previously announced offering by the Company (the “Offering”) of (i) U.S. $900 million in aggregate principal amount of 8.25% Senior Notes due 2029 (the “2029 Notes”) and (ii) U.S. $900 million in aggregate principal amount of 8.50% Senior Notes due 2031 (the “2031 Notes” and collectively with the 2029 Notes, the “Notes”), the Company entered into an indenture (the “Indenture”) with Transocean Ltd., Transocean Holdings 1 Limited, Transocean Holdings 2 Limited and Transocean Holdings 3 Limited, as guarantors (collectively, the “Guarantors”), and Truist Bank, as trustee (the “Trustee”)”

Transocean Ltd. entered into sixth amendment (the "RCF Amendment") with Citibank, N.A., as administrative agent and collateral agent, certain lenders valued at $600 million to $575 million (effective 2024-04-18).

“On April 18, 2024, Transocean Inc. (the “Company”), a wholly owned subsidiary of Transocean Ltd., Citibank, N.A., as administrative agent and collateral agent, certain lenders and, for the limited purposes set forth therein, Transocean Ltd. and certain of the Company’s subsidiaries entered into the sixth amendment (the “RCF Amendment”) to the Company’s credit agreement dated June 22, 2018”

Sterling Real Estate Trust amended Thirteenth Amended and Restated Advisory Agreement with Sterling Management, LLC valued at Extends term for an additional year; substantially same as previous agreement (effective 2024-04-01).

“On March 21, 2024, Sterling Real Estate Trust (the “Company”) adopted its Thirteenth Amended and Restated Advisory Agreement with Sterling Management, LLC, the Company’s Advisor (the “Advisor”). The Thirteenth Amended and Restated Advisory Agreement, effective as of April 1, 2024, extends the term of the agreement for an additional year and includes terms and conditions that are substantially the same as the previous agreement.”

GREENLIGHT CAPITAL RE, LTD. terminated Facility with Citibank Europe plc valued at $275,000,000 (effective 2024-04-12).

“On April 12, 2024, Greenlight Capital Re, Ltd. (the “Registrant”) received written notice (the “Notice”) from Citibank Europe plc (“Citi”) of its decision to terminate its commitment under the $275,000,000 letter of credit facility agreement, between the Registrant’s subsidiary Greenlight Reinsurance, Ltd. ("Greenlight Reinsurance") and Citi, dated August 20, 2010, as amended (the “Facility”).”

SANTANDER DRIVE AUTO RECEIVABLES LLC entered into Underwriting Agreement with Barclays Capital Inc., on behalf of itself and as representative of the several underwriters (effective 2024-04-16).

“On April 16, 2024, Santander Drive Auto Receivables LLC (“Santander Drive”) and Santander Consumer USA Inc. (“SC”) entered into an Underwriting Agreement (the “Underwriting Agreement”) with Barclays Capital Inc., on behalf of itself and as representative of the several underwriters (collectively, the “Underwriters”), for the sale of the following notes to be issued by Santander Drive Auto Receivables Trust 2024-2”

SOUTH 8 ENERGY, LLC entered into Promissory Note with Cornerstone Bank valued at $10 million (effective 2024-04-12).

“On April 12, 2024, Red Trail Energy, LLC (the "Company") entered into a Promissory Note for a $10 million loan (the "Promissory Note") with the Company's primary lender, Cornerstone Bank.”

Ascent Solar Technologies, Inc. entered into Pre-Funded Warrant Agency Agreement with Computershare Investor Services (effective 2024-04-12).

“On April 12, 2024, the Company also entered into a Pre-Funded Warrant Agency Agreement (the “Pre-Funded Warrant Agency Agreement”) with Computershare Investor Services, pursuant to which Computershare agreed to act as transfer agent with respect to the Pre-Funded warrants.”

Ascent Solar Technologies, Inc. entered into Placement Agent Agreement with Dawson James Securities Inc. (effective 2024-04-09).

“On April 9, 2024, the Company entered into a placement agency agreement (the “Placement Agent Agreement”) with Dawson James Securities Inc. (“Dawson James” or the “Placement Agent”) pursuant to which the Company engaged the Dawson James as the placement agent in connection with the offering.”

Ascent Solar Technologies, Inc. entered into Cedar loan agreement with Cedar Advance LLC. valued at $685,000 (effective 2024-04-17).

“On April 17, 2024, the Company entered into a loan agreement with Cedar Advance LLC. (“Cedar”), for a principal amount of $685,000.”

HALLMARK VENTURE GROUP, INC. entered into Debt Cancellation Agreement with Phase I Operations, Inc. valued at $8,130 of remaining debt canceled (effective 2024-04-10).

“On April 10, 2024, Hallmark Venture Group, Inc (the “Company”) entered into a Debt Cancellation Agreement with Phase I Operations, Inc ., a non-affiliate of the Company. $8,130 of remaining debt was canceled.”