secwatch / observer
8-K filed March 9, 2026, 7:59 PM ET CIK 0001883984
other material confidence high sentiment negative materiality 0.65

Alternus Clean Energy raises $1M via 20% OID notes; issues 5,775 Series C shares at $0.10 conversion

Alternus Clean Energy, Inc.

item 1.01item 2.03item 3.02item 5.03item 9.01

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Alternus Clean Energy, Inc.
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JSON Markdown Plain text

Source-grounded claims

b2f16e4462fc5f3316c615365753c834e1959c22

Alternus Clean Energy, Inc. incurred senior notes of $1,250,000 with certain investors (the "Purchasers") at 20% original issue discount. No interest shall accrue on the Notes. maturing upon the earlier of i) six months from the Issue Date, or ii) the date on which proceeds from a capital raise equals or exceeds $5,000,000.

Alt Alliance LLC (“AltA”), sold in a private placement (the “Offering”), unsecured 20% original issue discount secured promissory notes with an aggregate principal amount of $1,250,000 (the “Notes”). The Subscription Agreements also provide for the issuance of an aggregate of 2,625 shares of the Company’s Series C Convertible Preferred Stock, convertible into

SEC 8-K Item 2.03/2.04 confidence 0.9 SEC evidence

39cb2190945eea177003cbb206d1663ec33739dd

Alternus Clean Energy, Inc.: Established Series C Convertible Preferred Stock through filing of Certificate of Designation with Delaware Secretary of State (effective 2026-03-03).

On March 3, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 12,000 shares of Series C Convertible Preferred Stock, par value $0.0001 per share (“Series C”). The Company has filed a certificate of designation (the “Certificate of Designation”) with the Secretary of State of the State of Delaware therein establishing the Series C Convertible Preferred Stock and describing the rights, obligations and privileges of the Series C.

SEC 8-K Item 5.03/5.05/5.06 confidence 0.9 SEC evidence

292c3fd467c59b9af4260450407c08c1a3d50a1e

Alternus Clean Energy, Inc. entered into Subscription Agreements with certain investors (the "Purchasers") valued at aggregate gross proceeds to the Company were $1,000,000 (effective 2026-03-03).

On March 3, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into subscription agreements (the “Subscription Agreements”) with certain investors (the “Purchasers”)

SEC 8-K Item 1.01/1.02 confidence 0.9 SEC evidence

9032aa577bc2923aefb5cd5e878d587305d8486e

Alternus Clean Energy, Inc. entered into unsecured 20% original issue discount secured promissory notes with certain investors (the "Purchasers") valued at aggregate principal amount of $1,250,000 (effective 2026-03-03).

sold in a private placement (the “Offering”), unsecured 20% original issue discount secured promissory notes with an aggregate principal amount of $1,250,000 (the “Notes”)

SEC 8-K Item 1.01/1.02 confidence 0.9 SEC evidence

Comparable filings

DGAC

Disciplined Growth Acquisition Corp. closes $150M IPO on NYSE

DISCIPLINED GROWTH ACQUISITION Corp June 1, 2026, 4:15 PM ET other_material Items 1.01, 3.02, 5.02, 5.03, 8.01, 9.01

same fact type: governance_change, material_agreement same SEC item: 1.01, 3.02, 5.03, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 12,000 shares of Series C Convertible Preferred Stock, par value $0.0001 per share (“Series C”). The Company has filed a certificate of designation (the “Certificate of Designation”) with the Secretary of State of the State of Delaware therein establishing the Series C Convertible Preferred Stock and describing the rights, obligations and privileges of the Series C.

Comparable filing

On May 26, 2026, in connection with the IPO, the Company filed its amended and restated memorandum and articles of association (the “Amended and Restated Memorandum and Articles of Association”) with the Cayman Islands Registrar of Companies, which was effective on May 26, 2026.

Filing page SEC filing

SAGU

Shreya Acquisition Group closes $110M IPO, 11M units at $10 each on NYSE

Shreya Acquisition Group May 11, 2026, 7:59 PM ET other_material Items 1.01, 3.02, 5.02, 5.03, 8.01, 9.01

same fact type: governance_change, material_agreement same SEC item: 1.01, 3.02, 5.03, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 12,000 shares of Series C Convertible Preferred Stock, par value $0.0001 per share (“Series C”). The Company has filed a certificate of designation (the “Certificate of Designation”) with the Secretary of State of the State of Delaware therein establishing the Series C Convertible Preferred Stock and describing the rights, obligations and privileges of the Series C.

Comparable filing

On May 6, 2026, and in connection with the IPO, the Company adopted its Amended and Restated Memorandum and Articles of Association.

Filing page SEC filing

CPSH

CPS Technologies closes $9.6M registered direct offering of 1.2M shares at $8.00/share

CPS TECHNOLOGIES CORP/DE/ June 1, 2026, 9:35 AM ET other_material Items 1.01, 5.03, 8.01, 9.01

same fact type: governance_change, material_agreement same SEC item: 1.01, 5.03, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 12,000 shares of Series C Convertible Preferred Stock, par value $0.0001 per share (“Series C”). The Company has filed a certificate of designation (the “Certificate of Designation”) with the Secretary of State of the State of Delaware therein establishing the Series C Convertible Preferred Stock and describing the rights, obligations and privileges of the Series C.

Comparable filing

On May 27, 2026, the Company filed with the Secretary of State of the State of Delaware a Certificate of Amendment (the “Amendment”) of the Company’s Restated Certificate of Incorporation, effective as of the same date. The Amendment increased the number of shares of common stock, $0.01 par value per share (the “Common Stock”), that the Company is authorized to issue from 20,000,000 to 25,000,000.

Filing page SEC filing

PSEC

Prospect Capital enters $400M at-the-market preferred stock offering; reclassifies 16M common shares

PROSPECT CAPITAL CORP May 8, 2026, 7:59 PM ET other_material Items 1.01, 3.03, 5.03, 9.01

same fact type: governance_change, material_agreement same SEC item: 1.01, 5.03, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 12,000 shares of Series C Convertible Preferred Stock, par value $0.0001 per share (“Series C”). The Company has filed a certificate of designation (the “Certificate of Designation”) with the Secretary of State of the State of Delaware therein establishing the Series C Convertible Preferred Stock and describing the rights, obligations and privileges of the Series C.

Comparable filing

On May 8, 2026, in connection with the Offering, the Company filed Articles Supplementary (the “Articles Supplementary”) with the State Department of Assessments and Taxation of Maryland (“SDAT”), reclassifying and designating 16,000,000 authorized and unissued shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), into shares of Series A Preferred Stock.

Filing page SEC filing

CITR

CitroTech exchanges all Series A Preferred for Series C Convertible; BoltRock gets board rights

CitroTech Inc. June 1, 2026, 4:15 PM ET other_material Items 1.01, 3.02, 9.01

same fact type: material_agreement same SEC item: 1.01, 3.02, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into subscription agreements (the “Subscription Agreements”) with certain investors (the “Purchasers”)

Comparable filing

On May 28, 2026, CitroTech Inc., a Wyoming corporation (the “Company”), entered into Stock Exchange and Stockholders Agreements (the “Exchange Agreements”) with the holders (the “Holders”) of the Company’s outstanding Series A Preferred Stock

Filing page SEC filing

XRN

Chiron Real Estate enters $100M preferred equity deal with Maewyn XRN LP

Chiron Real Estate Inc. May 8, 2026, 7:59 PM ET other_material Items 1.01, 3.02, 9.01

same fact type: material_agreement same SEC item: 1.01, 3.02, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into subscription agreements (the “Subscription Agreements”) with certain investors (the “Purchasers”)

Comparable filing

In connection with the Private Placement, on May 6, 2026, the Company and the Purchasers entered an Investor Rights Agreement.

Filing page SEC filing

PBT

Court approves trust indenture amendments eliminating 75% supermajority requirement

PERMIAN BASIN ROYALTY TRUST May 8, 2026, 7:59 PM ET other_material Items 1.01, 3.03, 5.03, 7.01, 9.01

same fact type: material_agreement same SEC item: 1.01, 5.03, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into subscription agreements (the “Subscription Agreements”) with certain investors (the “Purchasers”)

Comparable filing

Argent Trust Company, the trustee of the Trust, entered into Amendment No. 2 to the Amended and Restated Trust Indenture of Permian Basin Royalty Trust dated May 8, 2026 (the “Amendment”) implementing the modifications approved by the Court.

Filing page SEC filing

AIM

AIM ImmunoTech expects ~$4.2M gross from warrant inducement at $0.48/share; new warrants at $0.60

AIM ImmunoTech Inc. May 8, 2026, 7:59 PM ET other_material Items 1.01, 3.02, 9.01

same fact type: material_agreement same SEC item: 1.01, 3.02, 9.01 same event type: other_material similar materiality

This filing

On March 3, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into subscription agreements (the “Subscription Agreements”) with certain investors (the “Purchasers”)

Comparable filing

On May 7, 2026, AIM ImmunoTech Inc. (the “Company”) entered into a warrant exercise inducement offer letter agreement (the “Inducement Letter”) with holders (the “Holders”) of (i) Class A and Class B common stock purchase warrants issued on May 31, 2024

Filing page SEC filing

Source: SEC EDGAR
accession 0001437749-26-007377
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