Material Agreements

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.”

CROWN CASTLE INC. entered into Sales Agreements with certain sales agents valued at up to $750,000,000 (effective 2024-03-20).

“On March 20, 2024, Crown Castle Inc. (“Company”) entered into sales agreements (“Sales Agreements”) with each of BofA Securities, Inc., Barclays Capital Inc., BNP Paribas Securities Corp., BTIG, LLC, Citigroup Global Markets Inc., Credit Agricole Securities (USA) Inc., Jefferies LLC, J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, MUFG Securities Americas Inc., RBC Capital Markets, LLC, Scotia Capital (USA) Inc., SG Americas Securities, LLC, TD Securities (USA) LLC and Truist Securities, Inc. (each, a “Sales Agent” and collectively, “Sales Agents”), pursuant to which the Company may issue and sell from time to time shares (“Shares”) of its common stock, par value $0.01 per share (“Common Stock”), having an aggregate gross sales price of up to $750,000,000.”

AFFILIATED MANAGERS GROUP, INC. entered into Underwriting Agreement with BofA Securities, Inc., Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, and Wells Fargo Securities, LLC (effective 2024-03-14).

“On March 14, 2024, the Company also entered into an underwriting agreement (the “Underwriting Agreement”) with BofA Securities, Inc., Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, and Wells Fargo Securities, LLC, as representatives of the underwriters named therein.”

AFFILIATED MANAGERS GROUP, INC. entered into Fourth Supplemental Indenture with U.S. Bank National Association and U.S. Bank Trust Company, National Association valued at $450,000,000 aggregate principal amount (effective 2024-03-20).

“On March 20, 2024, Affiliated Managers Group, Inc. (the “Company”) completed the issuance and sale of $450,000,000 aggregate principal amount of the Company’s 6.750% Junior Subordinated Notes due 2064 (the “Initial Securities”), including $50,000,000 aggregate principal amount of the Company’s 6.750% Junior Subordinated Notes due 2064, pursuant to the underwriters’ option to purchase additional notes to cover over-allotments (together with the Initial Securities, the “Securities”).”

GLOBAL TECHNOLOGIES LTD entered into Share Exchange Agreement with GOe3, LLC (effective 2024-03-15).

“.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT Share Exchange Agreement As previously disclosed on the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 6, 2024, the”

Hyperscale Data, Inc. entered into Agreement with Ault & Company, Inc. valued at $50 million (effective 2023-11-06).

“On each of March 18, 2024 and March 19, 2024, Ault Alliance, Inc., a Delaware corporation (the “ Company ”), pursuant to the Securities Purchase Agreement (the “ Agreement ”) entered into with Ault & Company, Inc., a Delaware corporation (the “ Purchaser ”) on November 6, 2023 (the “ Execution Date ”), sold 500 shares of Series C convertible preferred stock (the “ Series C Convertible Preferred Stock ”), and warrants (the “ Series C Warrants ”) to purchase 147,820 shares (the “ Warrant Shares ”) of the Company’s common stock to the Purchaser, for a purchase price of 500,000.”

DELCATH SYSTEMS, INC. entered into Securities Purchase Agreement with certain accredited investors valued at sale of 876,627 shares at $3.72/share and 1,008,102 pre-funded warrants at $3.71/warrant, gross proc (effective 2024-03-14).

“On March 14, 2024, Delcath Systems, Inc. (the “Company”) and certain accredited investors (each an “Investor” and collectively, the “Investors”) entered into a securities purchase agreement (the “Securities Purchase Agreement”) pursuant to which the Company agreed to sell and issue to the Investors in a private placement (the “Private Placement”) (i) an aggregate of 876,627 shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), at a purchase price of $3.72 per share, and (ii) to certain investors, in lieu of shares of Common Stock, 1,008,102 pre-funded warrants (the “Pre-Funded Warrants”) at a price per Pre-Funded Warrant of $3.71 (the “Warrant Shares” and together with the Shares, the “Securities”).”

HONEYWELL INTERNATIONAL INC terminated $1.5 billion 364-day credit agreement dated as of March 20, 2023 with Bank of America, N.A. valued at termination of commitments under the prior credit agreement (effective 2024-03-18).

“On March 18, 2024, Honeywell terminated the commitments under its $1.5 billion 364-day credit agreement dated as of March 20, 2023, among Honeywell, the lenders party thereto and Bank of America, N.A., as administrative agent.”

HONEYWELL INTERNATIONAL INC entered into Amended and Restated Five Year Credit Agreement with Bank of America, N.A., JPMorgan Chase Bank, N.A., Wells Fargo Bank, National Association valued at revolving credit commitments in aggregate principal amount of $4.0 billion, can be increased to $4.5 (effective 2024-03-18).

“On March 18, 2024, Honeywell entered into an Amended and Restated Five Year Credit Agreement (the “ 5-Year Credit Agreement ”) with the banks, financial institutions, and other institutional lenders party thereto, Bank of America, N.A., as administrative agent, Bank of America, N.A., as swing line agent, and JPMorgan Chase Bank, N.A. and Wells Fargo Bank, National Association, as syndication agents, and the documentation agents named therein.”

HONEYWELL INTERNATIONAL INC entered into 364-Day Credit Agreement with Bank of America, N.A., JPMorgan Chase Bank, N.A., Wells Fargo Bank, National Association valued at revolving credit commitments in aggregate principal amount of $1.5 billion for general corporate pur (effective 2024-03-18).

“On March 18, 2024, Honeywell International Inc. (“ Honeywell ”) entered into a 364-Day Credit Agreement (the “ 364-Day Credit Agreement ”) with the banks, financial institutions and other institutional lenders party thereto, Bank of America, N.A., as administrative agent, and JPMorgan Chase Bank, N.A. and Wells Fargo Bank, National Association, as syndication agents, and the documentation agents named therein.”

PENNSYLVANIA REAL ESTATE INVESTMENT TRUST amended Second Amendment with creditors holding over 50.1% of the loans outstanding under the Debtors' first lien credit agreement and over 50.1% of the loans outstanding under the Debtors' second lien credit agreement (effective 2024-03-13).

“On March 13, 2024, Pennsylvania Real Estate Investment Trust and certain of its direct and indirect subsidiaries (collectively, the “ Debtors ”) entered into the Second Amendment to Restructuring Support Agreement (the “ Second Amendment ”), with creditors holding over 50.1% of the loans outstanding under the Debtors’ first lien credit agreement and over 50.1% of the loans outstanding under the Debtors’ second lien credit agreement (collectively, the “ Amendment Consenting Lenders ”).”

Cheniere Energy, Inc. entered into Registration Rights Agreement with Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, BBVA Securities Inc., Mizuho Securities USA LLC, Scotia Capital (USA) Inc. and Truist Securities, Inc. (effective 2024-03-19).

“Cheniere and Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, BBVA Securities Inc., Mizuho Securities USA LLC, Scotia Capital (USA) Inc. and Truist Securities, Inc., as representatives of the initial purchasers, entered into a Registration Rights Agreement dated as of the Issue Date (the “Registration Rights Agreement”).”

Cheniere Energy, Inc. entered into First Supplemental Indenture with The Bank of New York Mellon valued at $1.5 billion (effective 2024-03-19).

“The Notes were issued on the Issue Date pursuant to an indenture, dated as of the Issue Date (the “Base Indenture”), by and between Cheniere and The Bank of New York Mellon, as trustee (the “Trustee”), as supplemented by the first supplemental indenture, dated as of the Issue Date, between Cheniere and the Trustee, relating to the Notes (the “First Supplemental Indenture”).”

Cheniere Energy, Inc. entered into Base Indenture with The Bank of New York Mellon valued at $1.5 billion (effective 2024-03-19).

“On March 19, 2024 (the “Issue Date”), Cheniere Energy, Inc. (“Cheniere”) closed the sale of its previously announced offering of $1.5 billion aggregate principal amount of 5.650% senior notes due 2034”

Bright Green Corp entered into Settlement Agreement with the Sellers, Alterola, and United (effective 2024-03-13).

“On March 13, 2024, the Company entered into a settlement agreement and release (the “Settlement Agreement”) with the Sellers, Alterola, and United, pursuant to which, among other things, the Company agreed to transfer 118,535,168 Alterola Shares to United and transfer an aggregate of 83,226,820 Alterola Shares, in the proportion of 27,742,273 shares to each of Equipped, Phyto and TPR.”

Bright Green Corp entered into Credit Agreement with JVR Holdings valued at $60 million (effective 2024-03-14).

“On March 14, 2024, Bright Green Corporation, a Delaware corporation (“Company”) entered into a credit agreement (the “Credit Agreement”) with JVR Holdings (the “Lender”), pursuant to which the Lender agreed to provide the Company with a line of credit facility (the “Line of Credit”) up to a maximum amount of $60 million”

Drilling Tools International Corp entered into Second Amended and Restated Revolving Credit, Term Loan and Security and Guaranty Agreement with PNC Bank, National Association valued at revolving line of credit up to $80,000,000 and term loan of $25,000,000 (effective 2024-03-15).

“On March 15, 2024, Drilling Tools International Corporation (the “ Company ”) refinanced its revolving credit facility (the “ Refinancing ”) by entering into a Second Amended and Restated Revolving Credit, Term Loan and Security and Guaranty Agreement (the “ Credit Facility ”) with certain of the Company’s subsidiaries and PNC Bank, National Association as lender and as agent (“ PNC ”).”

Cadre Holdings, Inc. entered into Underwriting Agreement with BofA Securities, Inc., as representative of the several underwriters (effective 2024-03-14).

“On March 14, 2024, Cadre Holdings, Inc., a Delaware corporation (the “Company”), entered into an underwriting agreement (the “Underwriting Agreement”), among the Company, Kanders SAF, LLC, a Delaware limited liability company and a stockholder of the Company (the “Selling Stockholder”), and BofA Securities, Inc. (“BofA”), as representative of the several underwriters named therein (collectively, the “Underwriters”), relating to the primary public offering (the “Primary Offering”) of 2,200,000 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) by the Company and the secondary offering (the “Secondary Offering” and together with the Primary Offering, collectively hereinafter referred to as the “Offering”) of 1,438,127 shares of Common Stock by the Selling Stockholder, at a price to the public of $35.00 per share.”

MOBIX LABS, INC entered into Common Stock Purchase Agreement with B. Riley Principal Capital II, LLC valued at up to $100,000,000 (effective 2024-03-18).

“On March 18, 2024, Mobix Labs, Inc. (the “ Company ”) entered into a Common Stock Purchase Agreement (the “ Purchase Agreement ”) and a related Registration Rights Agreement (the “ Registration Rights Agreement ”), each dated as of March 18, 2024, with B. Riley Principal Capital II, LLC (“ B. Riley Principal Capital II ”).”

AleAnna, Inc. amended Second Trust Amendment with Continental Share Transfer & Trust Company (effective 2024-03-15).

“On March 15, 2024, the shareholders of Swiftmerge Acquisition Corp. (the “ Company ”) at the reconvened extraordinary general meeting of the Company which had been adjourned from March 13, 2024 (the “ Meeting ”) approved an amendment (the “ Second Trust Amendment ”) of that certain investment management trust agreement, dated December 17, 2021, as amended on June 15, 2023 (the “ Trust Agreement ”), by and between the Company and Continental Share Transfer & Trust Company, a New York corporation, as trustee (“ Continental ”), to change the date on which Continental must commence liquidation of the trust account established in connection with the Company’s initial public offering (the “ Trust Account ”) to the earliest of (i) the Company’s completion of an initial business combination and (ii) June 17, 2025 (the “ Extension Date ”).”

CF Acquisition Corp. VII entered into First Amendment to the Investment Management Trust Agreement with Continental Stock Transfer & Trust Company valued at Amendment to investment terms (effective 2024-03-14).

“On March 14, 2024, upon the stockholder approval of the Trust Amendment Proposal (as defined below), the Company entered into the First Amendment (the " Trust Amendment ") to the Investment Management Trust Agreement (the " IMTA ") with Continental Stock Transfer & Trust Company, as trustee (the " Trustee ").”

CF Acquisition Corp. VII entered into Promissory Note with CFAC Holdings VII, LLC valued at up to $1,200,000 (effective 2024-03-14).

“On March 14, 2024, CF Acquisition Corp. VII (the " Company ") issued a promissory note (the " Note ") in the principal amount of up to $1,200,000 to CFAC Holdings VII, LLC (the " Sponsor "), pursuant to which the Sponsor agreed to loan to the Company up to such amount in connection with the extension of the Company’s time to consummate a business combination from March 20, 2024 to March 20, 2025 (or such earlier date as determined by the board of directors of the Company) (the " Extension ").”

AEON Biopharma, Inc. entered into Subscription Agreement with Daewoong Pharmaceutical Co., LTD. valued at $15.0 million (effective 2024-03-19).

“On March 19, 2024, AEON Biopharma, Inc. (“AEON” or the “Company”) and AEON Biopharma Sub, Inc., a subsidiary of the Company (“AEON Sub”), entered into a subscription agreement (the “Subscription Agreement”) with Daewoong Pharmaceutical Co., LTD. (“Daewoong”) relating to the sale and issuance by the Company of senior secured convertible notes (each, a “Convertible Note” and together, the “Convertible Notes”) in the principal amount of up to $15.0 million”

Fusion Pharmaceuticals Inc. entered into Arrangement Agreement with AstraZeneca AB and 15863210 Canada Inc. valued at US$21.00 in cash and one contingent value right representing up to US$3.00 per share (effective 2024-03-18).

“On March 18, 2024, Fusion Pharmaceuticals Inc., a corporation formed under the Canada Business Corporations Act (the “CBCA”) (“Fusion”), AstraZeneca AB, a public company with limited liability (Aktiebolag) incorporated under the laws of Sweden (“Parent”) and 15863210 Canada Inc., a corporation formed under the CBCA (“Purchaser”), entered into a definitive arrangement agreement (the “Arrangement Agreement”), under which Purchaser will acquire all of the issued and outstanding common shares (collectively, the “Shares”) of Fusion on the terms and subject to the conditions set forth therein.”

Assure Holdings Corp. entered into Exchange Agreements with certain holders of convertible notes of Assure valued at $334,342.75 (effective 2024-03-13).

“On March 13, 2024, Assure Holdings Corp., a Nevada corporation (“Assure”) entered into exchange agreements (“Exchange Agreements”) with certain holders (the “Holders”) of convertible notes of Assure (the “Notes”) held by such Holders pursuant to which Assure and the Holders agreed to exchange outstanding principal amounts of Notes for shares of common stock of Assure at a deemed value per share of $0.25.”