Material Agreements

SPIRE INC entered into Membership Interest Purchase Agreement with Subterra Energy Holdings, LLC valued at $600 million.

“On April 14, Spire Midstream LLC, a Missouri limited liability company and wholly-owned subsidiary of Spire Inc. (the “Seller”), and Subterra Energy Holdings, LLC, a Delaware limited liability company (the “Buyer”) (collectively the “Parties”), entered into a Membership Interest Purchase Agreement (the “Agreement”), pursuant to which the Seller has agreed to sell to the Buyer all of the issued and outstanding membership interests of Belle Butte LLC, a Missouri limited liability company (“Company”), for cash purchase price equal to $600 million payable at the closing and $50 million deferred consideration payable on or before September 2027, subject to customary adjustments as set forth in the Agreement (the “Transaction”) and the other terms and conditions of the Agreement.”

Traws Pharma, Inc. entered into Purchase Agreement with the purchasers named therein valued at approximately $10,000,000 (effective 2026-04-15).

“On April 15, 2026, Traws Pharma, Inc. (the “Company”) announced the pricing of an offering (the “Private Placement”) of an aggregate of (i) 5,982,919 shares (the “Purchased Shares”) of the Company’s common stock, par value $0.01 per share (“Common Stock”) (or, in lieu of Purchased Shares, pre-funded warrants to purchase shares of Common Stock (“Pre-Funded Warrants”)), (ii) Series A warrants to initially purchase up to 5,982,919 shares of Common Stock (the “Series A Warrants”), (iii) Series B warrants to initially purchase up to 5,982,919 shares of Common Stock (the “Series B Warrants”), and (iv) Series C warrants to initially purchase up to 17,948,757 shares of Common Stock (the “Series C Warrants” and together with the Pre-Funded Warrants, the Series A Warrants and the Series B Warrants, the “Warrants”) pursuant to a Securities Purchase Agreement (the “Purchase Agreement”) by and between the Company and the purchasers named therein (the “Investors”).”

MARCHEX INC entered into Settlement Agreement valued at $750,000 (and agree to the release of $250,000 held in escrow by U.S. Bank) (effective 2026-04-14).

“On April 14, 2026, the Company entered into a Settlement Agreement (the “Agreement”) with respect to this civil action for such expected settlement amount, which resolves all claims related to this matter.”

HYUNDAI ABS FUNDING LLC terminated Omnibus Distribution and Termination Agreement with Hyundai Capital America, Hyundai ABS Funding, LLC, Hyundai Auto Receivables Trust 2022-A, Citibank, N.A., U.S. Bank Trust National Association (effective 2026-04-09).

“On April 9, 2026, Hyundai Capital America (“ HCA ”), Hyundai ABS Funding, LLC (the “ Depositor ”), Hyundai Auto Receivables Trust 2022-A (the “ Issuing Entity ”), Citibank, N.A., as indenture trustee (the “ Indenture Trustee ”), and U.S. Bank Trust National Association, as owner trustee (the “ Owner Trustee ”) entered into an Omnibus Distribution and Termination Agreement, with the consent of HCA and the Depositor, as owners of 100% of the certificates and all classes of notes that remain outstanding.”

Stereotaxis, Inc. entered into Share Sale Agreement with Robocath, the Sellers, and the Manager valued at $20.0 million (effective 2026-04-14).

“On April 14, 2026, Stereotaxis, Inc. (“Stereotaxis” or the “Company”) entered into a Share Sale Agreement with Robocath, a French société par actions simplifiée , (“Robocath”), the shareholders of Robocath party thereto (the “Sellers”) and an individual serving as manager (the “Manager”) to acquire (the “Acquisition”) shares and other securities collectively representing 100% of the share capital and voting power of Robocath (on a fully-diluted basis) (the “Robocath Securities”) from the Sellers.”

Leidos Holdings, Inc. entered into Contribution and Equity Purchase Agreement with Altaris, LLC valued at Leidos Inc. contributes SES/IA Business to JV for 41.5% equity; AHP Entities contribute Analogic Hol (effective 2026-04-14).

“On April 14, 2026, Leidos, Inc. (“ Leidos Inc. ”), a Delaware corporation and a wholly-owned subsidiary of Leidos Holdings, Inc. (“ Leidos ”), entered into a Contribution and Equity Purchase Agreement (the “ Contribution Agreement ”), together with Leidos solely for certain limited purposes set forth therein, with certain affiliates of Altaris, LLC, a Delaware limited liability company (“ Altaris ,” and such affiliates, the “ AHP Entities ”), to form a new joint venture (the “ JV ”) combining the Security Enterprise Solutions and the Industrial Automation businesses of Leidos (together, the “ SES/IA Business ”) with Analogic Corporation (“ Analogic ”), a portfolio company of Altaris.”

Limoneira CO entered into Land Lease Agreement with Agromin-Limoneira LLC (effective 2026-04-14).

“ormed a special purpose entity, Agromin-Limoneira LLC, a California limited liability company (“ NewCo ”), for the purpose”

Limoneira CO entered into Revolving Line of Credit Agreement with Agromin-Limoneira LLC valued at $5,000,000 (effective 2026-04-14).

“on April 14, 2026, the Company and NewCo entered into a Revolving Line of Credit Agreement (the “ Loan Agreement ”) which provides financing to NewCo in the aggregate principal amount of up to $5,000,000”

Limoneira CO entered into Operating Agreement of Agromin-Limoneira LLC with California Wood Recycling, Inc. dba Agromin (effective 2026-04-14).

“on April 14, 2026, the Company entered into the Operating Agreement of Agromin-Limoneira LLC (the “ LLC Agreement ”) which provides for, among other things, the admittance of the Company and Agromin as 50% members of NewCo.”

Transglobal Management Group, Inc. entered into Purchase Agreement with Dalston LLP valued at $2,500,000 (effective 2026-04-01).

“Transglobal Management Group, Inc., a Florida corporation (the “Company”), entered into a Purchase Agreement dated April 1, 2026, and an Amendment and Clarification Agreement dated April 10, 2026 (collectively, the “Agreements”) with Dalston LLP, an Arizona limited liability partnership (“Seller”), pursuant to which the Company agreed to acquire substantially all of the assets of the Apache Creek Golf Course business located in Apache Junction, Arizona (the “Business”), including the tangible and intangible assets used in the operation of the Business as a going concern. The total purchase price for the acquisition is $2,500,000”

Empire State Realty Trust, Inc. entered into Note Purchase Agreement with the purchasers named therein valued at $130,000,000 aggregate principal amount (effective 2026-04-15).

“On April 15, 2026, Empire State Realty Trust, Inc. (the "Company") and Empire State Realty OP, L.P. (the "Operating Partnership"), the operating partnership subsidiary of the Company, entered into a Note Purchase Agreement with the purchasers named therein (the "Purchase Agreement") in connection with a private placement of $130,000,000 aggregate principal amount of the Operating Partnership's 5.99% Series M Senior Notes due July 15, 2032 (the "Notes").”

Wave Life Sciences Ltd. entered into Implementation Agreement with Wave Life Sciences, Inc. (Wave-Delaware) valued at Exchange all Wave-Singapore ordinary shares for Wave-Delaware common stock on a one-for-one basis; R (effective 2026-04-15).

“In order to complete the Redomiciliation, the boards of directors of each of Wave-Singapore and Wave Life Sciences, Inc., a Delaware corporation (“ Wave-Delaware ”), approved the entry by Wave-Singapore and Wave-Delaware, respectively, into an Implementation Agreement (the “ Implementation Agreement ”). The Implementation Agreement was executed by Wave-Singapore and Wave-Delaware on April 15, 2026 and provides for a statutory procedure known as a scheme of arrangement (the “ Scheme of Arrangement ”) to be implemented by Wave-Singapore and Wave-Delaware under Singapore law, subject to approval of the shareholders of Wave-Singapore and the High Court of the Republic of Singapore.”

Allbirds, Inc. entered into Support Agreement with Maveron, Joey Zwillinger, Tim Brown, Dick Boyce valued at Stockholders holding aggregate voting power of approximately 71% as of February 28, 2026 (effective 2026-04-08).

“On April 8, 2026, in furtherance of the approval by the Company’s stockholders of the Asset Sale and other matters to be presented at the Special Meeting, the Company has entered into Support Agreements with stockholders holding aggregate voting power of approximately 71% (as of February 28, 2026), including entities affiliated with Maveron, a holder of greater than 5% of our Class B common stock, Joey Zwillinger, Tim Brown, and Dick Boyce, each of whom are also members of our Board (or in the case of Maveron, entitled to nominate a member of our Board).”

Quantum Genesis AI Corp. entered into Intellectual Property Assignment Agreement with Naveen Kulkarni (effective 2026-04-09).

“On April 9, 2026, Quantum Genesis AI Corp. (the “Company”) entered into a confirmatory Intellectual Property Assignment Agreement (the “Assignment Agreement”) with Naveen Kulkarni, the Company’s Chief Executive Officer (the “Assignor”).”

Eton Pharmaceuticals, Inc. amended SWK Credit Agreement with SWK Funding LLC (effective 2026-04-09).

“On April 9, 2026, Eton Pharmaceuticals, Inc. (the “Company”) entered into a sixth amendment to its credit agreement (the “SWK Credit Agreement”), by and among the Company and SWK Funding LLC (“SWK”).”

Tilray Brands, Inc. entered into Sales Agreement with Jefferies LLC, TD Securities (USA) LLC and Roth Capital Partners, LLC valued at up to $180,000,000 (effective 2026-04-15).

“On April 15, 2026 Tilray Brands, Inc. (the “ Company ” or “ Tilray ”) entered into an Open Market Sale Agreement SM (the “ Sales Agreement ”) with Jefferies LLC, TD Securities (USA) LLC and Roth Capital Partners, LLC (each, an “ Agent ” and together, the “ Agents ”), pursuant to which the Company may offer and sell shares of the Company’s common stock, par value US$0.0001 per share (the “ Common Stock ”), having an aggregate offering price of up to $180,000,000 from time to time through the Agents, acting as sales agents, or directly to the Agents, acting as principals.”

Strawberry Fields REIT, Inc. amended At Market Issuance Sales Agreement with B. Riley Securities, Inc., A.G.P./Alliance Global Partners, Cantor Fitzgerald & Co. valued at Amendment added Cantor Fitzgerald & Co. and removed Wedbush Securities Inc. (effective 2026-04-14).

“On April 14, 2026, Strawberry Fields REIT, Inc. (the “Company”) and its operating partnership, Strawberry Fields Realty LP, entered into Amendment No. 2 to At Market Issuance Sales Agreement (the “Amendment”) with B. Riley Securities, Inc., A.G.P./Alliance Global Partners and Cantor Fitzgerald & Co.”

Marvell Technology, Inc. entered into Fifth Supplemental Indenture with U.S. Bank Trust Company, National Association valued at $1,000,000,000 aggregate principal amount (effective 2026-04-15).

“On April 15, 2026, Marvell Technology, Inc. (the “Company”) completed a public offering of $1,000,000,000 aggregate principal amount of its 5.300% Senior Notes due 2036 (the “Notes”).”

LQR House Inc. entered into Share Purchase Agreement with Fusion Five Continents Securities Limited, a New Zealand limited company, and Dean Shields as the seller valued at $28,080,000 payable in Tether (USDT) for initial 24% (effective 2026-04-11).

“On April 11, 2026, LQR House Inc. (the “ Company ”) entered into a Share Purchase Agreement (the “ Agreement ”) with Fusion Five Continents Securities Limited, a New Zealand limited company (the “ Target ”), and Dean Shields as the seller, pursuant to which the Company agreed to acquire all of the issued and outstanding shares of the Target in multiple closings.”

Aspire Biopharma Holdings, Inc. entered into LOI with Firefish Topco, LLC valued at $30.0 million (effective 2026-04-15).

“On April 15, 2026, Aspire Biopharma Holdings, Inc., a Delaware corporation (the “Company” or “Purchaser”) announced that it has entered into a non-binding letter of intent (the “LOI”) for the acquisition (as described below, the “Acquisition”) of 100% of the Driver Controls Systems business unit ( “DCS” ) of Firefish Topco, LLC”

Quantum Cyber N.V. entered into Agreement with third-party purchaser incorporated in Italy valued at $1.25 million (effective 2026-04-09).

“On April 9, 2026, we entered into an asset purchase agreement (the “Agreement”) for the sale of the Next Gen IP to a third-party purchaser incorporated in Italy. Pursuant to the Agreement, we will sell the Next Gen IP to the buyer for a payment of $1.25 million.”

Keen Vision Acquisition Corp. terminated prior Merger Agreement dated September 3, 2024 with Medera Inc. and Novoheart Group Limited.

“prior Merger Agreement dated September 3, 2024, which was terminated concurrently with execution of the LOI pursuant to a mutual release agreement”

Keen Vision Acquisition Corp. amended amendment to the LOI with Medera Inc. and Novoheart Group Limited (effective 2026-04-14).

“he parties entered into an amendment to the LOI dated April 14, 2026, pursuant to which the parties agreed to extend the deadline for”

Keen Vision Acquisition Corp. entered into LOI with Medera Inc. and Novoheart Group Limited.

“entered into a binding letter of intent (the “LOI”) with Medera Inc., a Cayman Islands exempted company (the “Company”), and Novoheart Group Limited”

Federal Realty OP LP amended Term Loan Agreement (November 17, 2025) with Truist Bank, as Administrative Agent valued at amended to effect changes similar to Updated Terms (effective 2026-04-14).

“and (ii) its Term Loan Agreement, dated as of November 17, 2025, by and among the Partnership, as Borrower, the financial institutions party thereto and their permitted assignees, as Lenders, Truist Bank, as Administrative Agent, and the other parties thereto”

Federal Realty OP LP terminated Second Amended and Restated Credit Agreement with the financial institutions party thereto valued at $1.25 billion unsecured revolving credit facility (effective 2026-04-14).

“The New Credit Agreement replaces that certain Second Amended and Restated Credit Agreement, dated as of October 5, 2022 (as amended, the “Old Credit Agreement”), by and among the Partnership, as Borrower, and the financial institutions party thereto.”

Federal Realty OP LP entered into Third Amended and Restated Credit Agreement with Wells Fargo Bank, National Association, as Administrative Agent valued at $1.4 billion unsecured revolving credit facility, expandable to $2.0 billion (effective 2026-04-14).

“On April 14, 2026, Federal Realty OP LP (the “Partnership”) entered into a Third Amended and Restated Credit Agreement (the “New Credit Agreement”), by and among the Partnership, as Borrower, the financial institutions party thereto and their permitted assignees, as Lenders, Wells Fargo Bank, National Association, as Administrative Agent, and the other parties thereto. The New Credit Agreement replaces that certain Second Amended and Restated Credit Agreement, dated as of October 5, 2022 (as amended, the “Old Credit Agreement”), by and among the Partnership, as Borrower, and the financial institutions party thereto. The Old Credit Agreement consisted of a $1.25 billion unsecured revolving credit facility (the “Old Facility”) with a maturity date of April 5, 2027. As of December 31, 2025, the Old Facility had an outstanding balance of $310.0 million. The New Credit Agreement consists of a $1.4 billion unsecured revolving credit facility (the “New Facility”) with a maturity date of April”

PANTAGES CAPITAL ACQUISITION Corp amended Amendment No. 1 to the Merger Agreement with MacMines Austasia Pty Ltd, HORIZON MINING LIMITED, HORIZON MERGER 1 LIMITED, Horizon Mining SPV Pty Ltd, Jincheng Yao (effective 2026-04-14).

“On April 14, 2026, each Party to the Merger Agreement entered into Amendment No. 1 to the Merger Agreement (the “ Amendment ”).”

iShares Staked Ethereum Trust ETF amended amended and restated addendum to the Coinbase Custody Custodial Services Agreement with Coinbase, Inc. (effective 2026-04-13).

“On April 13, 2026, iShares® Staked Ethereum Trust ETF (the “Trust”) entered into an amended and restated addendum to the Coinbase Custody Custodial Services Agreement attached as Exhibit A to that certain Third Amended and Restated Coinbase Prime Broker Agreement dated May 21, 2024 between the Trust and Coinbase, Inc. as agent for itself and the Coinbase Entities.”

SUNation Energy, Inc. amended Long-Term Promissory Note (effective 2026-04-14).

“On April 14, 2026, the Board of Directors approved entry into a "Debt Conversion Agreement" in connection with the conversion of up to $1,200,000 of debt payable under the Long-Term Note into shares of restricted common stock”

SUNation Energy, Inc. amended Line of Credit Agreement with MBB Energy, LLC valued at increase the aggregate dollar capacity ... from a previous total of $1,000,000 to a new aggregate to (effective 2026-04-14).

“On April 14, 2026, the Board of Directors of the Company agreed to amend the Line of Credit Agreement and the Line of Credit Note in two principal respects: (i) to extend the Maturity Date by six (6) months to October 15, 2026”

FLOWSERVE CORP terminated Existing Credit Agreement with Bank of America, N.A. (effective 2026-04-15).

“The disclosures required by this Item 1.02 are incorporated herein by reference to the disclosures set forth above under Item 1.01 regarding the termination of the Existing Credit Agreement.”

FLOWSERVE CORP entered into Third Amended and Restated Credit Agreement with Bank of America, N.A. valued at $1,000.0 million unsecured revolving credit facility (effective 2026-04-15).

“Third Amended and Restated Credit Agreement with Bank of America, N.A., as Administrative Agent On April 15, 2026 (the “Closing Date”), Flowserve Corporation (the “Company”) amended and restated its credit agreement (the “Third Amended and Restated Credit Agreement”) with Bank of America, N.A., as administrative agent, and the other lenders (together, the “Lenders” and each individually, a “Lender”) and letter of credit issuers party thereto.”

ECOLAB INC. entered into Credit Agreement with various financial institutions, as lenders, and Citibank, N.A., as administrative agent valued at $4.75 billion (effective 2026-04-10).

“On April 10, 2026, Ecolab Inc. (“Ecolab”) entered into a term credit agreement (the “Credit Agreement”) with various financial institutions, as lenders, and Citibank, N.A., as administrative agent, providing for a $4.75 billion unsecured committed delayed draw term loan credit facility.”

FIRST MID BANCSHARES, INC. terminated Sixth Amended and Restated Credit Agreement with The Northern Trust Company (effective 2026-04-03).

“The Sixth Amended and Restated Credit Agreement dated as of April 12, 2019, as amended (the “Northern Trust Credit Agreement”), by and between First Mid Bancshares, Inc. (the “Company”) and The Northern Trust Company, matured in accordance with its terms on April 3, 2026, and was terminated effective as of such date.”

FIRST MID BANCSHARES, INC. entered into Promissory Note (Term Note) with Bankers' Bank valued at $20.0 million (effective 2026-04-10).

“in addition, on April 10, 2026, the Company entered into a separate Promissory Note (the “Term Note”) with the Lender, evidencing a term loan in an original principal amount of $20.0 million (the “Term Loan”).”

FIRST MID BANCSHARES, INC. entered into Business Loan Agreement with Bankers' Bank valued at $15.0 million (effective 2026-04-10).

“On April 10, 2026, First Mid Bancshares, Inc. (the “Company”) entered into a Business Loan Agreement (the “Loan Agreement”) with Bankers’ Bank (the “Lender”), pursuant to which the Lender provides the Company with a revolving line of credit in a principal amount of up to $15.0 million (the “Line of Credit”).”

GRAHAM CORP entered into Securities Purchase Agreement with certain accounts advised by T. Rowe Price Investment Management, Inc. valued at $50 million (effective 2026-04-14).

“On April 14, 2026, Graham Corporation (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with certain accounts advised by T. Rowe Price Investment Management, Inc. (the “Investors”) pursuant to which the Company agreed to sell an aggregate of 599,808 shares of its common stock, par value $0.10 per share (the “Shares”) for $83.36 per share for aggregate gross proceeds of $50 million (the “PIPE”).”

Totaligent, Inc. entered into Definitive Agreement with Ivan Klarich (effective 2026-04-10).

“On April 10, 2026, Totaligent, Inc. (the “Company”) entered into a Definitive Agreement (the “Definitive Agreement”) with Ivan Klarich (“Klarich”).”

U S PHYSICAL THERAPY INC /NV entered into Fourth Amended and Restated Credit Agreement with Bank of America, N.A. valued at $450 million aggregate principal amount, including a $275 million revolving credit facility and a $1 (effective 2026-04-14).

“On April 14, 2026, U. S. Physical Therapy, Inc. (the “Company”), a national operator of outpatient physical therapy clinics and provider of industrial injury prevention services, entered into the Fourth Amended and Restated Credit Agreement (the “Credit Agreement”) among Bank of America, N.A., as administrative agent (“Administrative Agent”) and the lenders from time-to-time party thereto.”

INTEGRA LIFESCIENCES HOLDINGS CORP entered into April 2026 Amendments with PNC Bank, National Association valued at amendment to $150 million accounts receivable securitization facility (effective 2026-04-10).

“On April 10, 2026, (i) the Borrower and ILS Sales entered into Amendment No. 8 to Receivables Financing Agreement (the “RFA Amendment”), by and among the Borrower, ILS Sales, as Servicer, PNC, as Administrative Agent and Committed Lender, The Bank of Nova Scotia, as Committed Lender and Group Agent, PNC Capital Markets LLC, as Structuring Agent, and certain lenders and group agents that are parties thereto from time to time and (ii) the Borrower and ILS Sales entered into Amendment No. 1 to Purchase and Sale Agreement(the “PSA Amendment,” and together with the RFA Amendment, the “April 2026 Amendments”), by and between the Borrower, as Buyer and ILS Sales, as Servicer, and acknowledged and agreed by PNC, as Administrative Agent.”

TRINITY INDUSTRIES INC entered into Contribution Agreement with TRIP Rail Holdings LLC, Triumph Rail Holdings LLC, NP SPE Holdings LP, Napier Park Rail Evergreen Fund GP LLC (effective 2026-04-09).

“On April 9, 2026, Trinity Industries Leasing Company (“TILC”), a wholly-owned direct subsidiary of Trinity Industries, Inc. (“Trinity” or the “Company”), entered into a Contribution Agreement (the “Contribution Agreement”) with TRIP Rail Holdings LLC (“TRIP Holdings”), Triumph Rail Holdings LLC (“Triumph Holdings”), NP SPE Holdings LP (“NP SPE”), and Napier Park Rail Evergreen Fund GP LLC.”

New Concept Energy, Inc. entered into Subscription Agreement and Letter of Investment Intent with Realty Advisors, Inc. (effective 2026-04-13).

“On April 13, 2026, New Concept Energy, Inc., a Nevada corporation (the “ Company ” or “ GBR ” or the “ Issuer ”), and an Investor entered into a Subscription Agreement and Letter of Investment Intent (the ”Agreement”), pursuant to which, Realty Advisors, Inc., a Nevada corporation (the “ Investor ”), has agreed to acquire 2,000,000 shares of Common Stock at a price of at least $1.00 per share in cash.”

FinTrade Sherpa, Inc. entered into Interim Promissory Note with Lode Star Gold, INC valued at aggregate principal amount of $74,811.50 (effective 2026-04-08).

“On April 8, 2026 FinTrade Sherpa, INC (the “Company”) entered into an Interim Promissory Note with Lode Star Gold, INC (the “Lender”)”

Globalstar, Inc. entered into Agreement and Plan of Merger with Amazon.com, Inc. valued at Merger with Amazon.com, Inc. (effective 2026-04-13).

“On April 13 , 2026, Globalstar, Inc. (“ Globalstar ” or the “ Company ”) entered into an Agreement and Plan of Merger (the “ Merger Agreement ”) with Amazon.com, Inc., a Delaware corporation (“ Amazon ” or “ Parent ”), Grapefruit Acquisition Sub I, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent (“ Acquisition Sub I ”), and Grapefruit Acquisition Sub II, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of Parent (“ Acquisition Sub II ” and, together with Parent and Acquisition Sub I, the “ Buyer Parties ”),”

SARATOGA INVESTMENT CORP. entered into Seventeenth Supplemental Indenture with U.S. Bank Trust Company, National Association (effective 2026-04-10).

“on April 10, 2026 , the Company and U.S. Bank Trust Company, National Association, as trustee (as successor in interest to U.S. Bank National Association) (the “Trustee”) , entered into a Seventeenth Supplemental Indenture (the “Seventeenth Supplemental Indenture”) to the Base Indenture, dated May 10, 2013, by and between the Company and the Trustee (the “Base Indenture”; and together with the Seventeenth Supplemental Indenture, the “Indenture”)”

SARATOGA INVESTMENT CORP. entered into Notes Purchase Agreement with an institutional investor valued at $25,000,000 (effective 2026-04-10).

“On April 10, 2026, Saratoga Investment Corp. (the “Company”) entered into a notes purchase agreement (the “Notes Purchase Agreement”) governing the issuance of its 7.25% Notes due 2029 (the “Notes” and the issuance and sale of the Notes, the “Offering”) in the aggregate principal amount of $25,000,000 to an institutional investor (the “Purchaser”)”

OneMeta Inc. entered into RRA with Avaya LLC (effective 2026-04-09).

“(the “Company”) issued a warrant (the “Warrant”) to Avaya LLC (“Avaya”) to purchase up to 22,222,222 shares of common stock of the Company at an exercise price of $0.135 per share (the “Exercise Price”)”

OneMeta Inc. entered into Warrant with Avaya LLC valued at $0.135 per share (effective 2026-04-09).

“On April 9, 2026, OneMeta Inc. (the “Company”) issued a warrant (the “Warrant”) to Avaya LLC (“Avaya”) to purchase up to 22,222,222 shares of common stock of the Company at an exercise price of $0.135 per share”

Horizon Technology Finance Corp entered into Letter Agreement with HRZN Advisor valued at $4.0 million (effective 2026-04-14).

“On April 14, 2026, in connection with the completion of the Mergers, the Company and HRZN Advisor entered into a Letter Agreement (the “Letter Agreement”), pursuant to which HRZN Advisor agreed to waive an aggregate of $4.0 million in Base Management Fees and/or Incentive Fees (each as defined in the Investment Management Agreement (as defined below)) due and payable to HRZN Advisor pursuant to the terms of the Investment Management Agreement, dated as of March 31, 2025, by and between HRZN Advisor and the Company (the “Investment Management Agreement”) at the rate of $1.0 million per fiscal quarter commencing with the quarter ending September 30, 2026 (the “Fee Waiver”).”