{"schema_version":"secwatch.filing_event.v1","accession":"0001437749-26-007377","form_type":"8-K","ticker":null,"cik":"0001883984","company_name":"Alternus Clean Energy, Inc.","filed_at":"2026-03-09T23:59:59+00:00","discovered_at":"2026-05-14T18:02:36.675993+00:00","generated_at":"2026-05-15T18:11:54.756296+00:00","sec_items":["1.01","2.03","3.02","5.03","9.01"],"event_type":"other_material","sentiment":"negative","materiality_score":0.65,"calibrated_materiality_score":0.65,"confidence":"high","headline":"Alternus Clean Energy raises $1M via 20% OID notes; issues 5,775 Series C shares at $0.10 conversion","bullets":["Issued $1.25M principal secured notes with 20% OID; net proceeds $1M in tranches tied to Nasdaq listing and 2025 audit.","Issued 5,775 shares of Series C Convertible Preferred Stock (value $1,000/share) convertible at $0.10 after one year.","Settled $2.75M in promissory notes with 2,750 Series C shares and $1.2M payable with 400 Series C shares.","Series C anti-dilution: conversion price reduces to lowest per-share price in any dilutive issuance through Dec 2028.","Series C holders capped at 19.99% beneficial ownership; monthly resale limited to prior month's average daily volume."],"urls":{"canonical":"https://secwatch.observer/filing/0001437749-26-007377","json":"https://secwatch.observer/filing/0001437749-26-007377.json","markdown":"https://secwatch.observer/filing/0001437749-26-007377.md","text":"https://secwatch.observer/filing/0001437749-26-007377.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/alce20260304_8k.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-15T18:11:54.756296+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"b2f16e4462fc5f3316c615365753c834e1959c22","claim":"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.","evidence_excerpt":"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","evidence_source":"SEC 8-K Item 2.03/2.04","evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","confidence":0.9},{"claim_id":"39cb2190945eea177003cbb206d1663ec33739dd","claim":"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).","evidence_excerpt":"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.","evidence_source":"SEC 8-K Item 5.03/5.05/5.06","evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","confidence":0.9},{"claim_id":"292c3fd467c59b9af4260450407c08c1a3d50a1e","claim":"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).","evidence_excerpt":"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”)","evidence_source":"SEC 8-K Item 1.01/1.02","evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","confidence":0.9},{"claim_id":"9032aa577bc2923aefb5cd5e878d587305d8486e","claim":"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).","evidence_excerpt":"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”)","evidence_source":"SEC 8-K Item 1.01/1.02","evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","confidence":0.9}],"comparable_filings":[{"accession":"0001185185-26-002273","ticker":"DGAC","company_name":"DISCIPLINED GROWTH ACQUISITION Corp","filed_at":"2026-06-01T20:15:34+00:00","headline":"Disciplined Growth Acquisition Corp. closes $150M IPO on NYSE","event_type":"other_material","sec_items":["1.01","3.02","5.02","5.03","8.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["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"],"urls":{"canonical":"https://secwatch.observer/filing/0001185185-26-002273","json":"https://secwatch.observer/filing/0001185185-26-002273.json","markdown":"https://secwatch.observer/filing/0001185185-26-002273.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/2111038/000118518526002273/0001185185-26-002273-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/2111038/000118518526002273/dgac8k052926.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"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.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","comparable_excerpt":"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.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/2111038/000118518526002273/0001185185-26-002273-index.htm"}},{"accession":"0001829126-26-004879","ticker":"SAGU","company_name":"Shreya Acquisition Group","filed_at":"2026-05-11T23:59:59+00:00","headline":"Shreya Acquisition Group closes $110M IPO, 11M units at $10 each on NYSE","event_type":"other_material","sec_items":["1.01","3.02","5.02","5.03","8.01","9.01"],"materiality_score":0.7,"calibrated_materiality_score":0.7,"match_reasons":["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"],"urls":{"canonical":"https://secwatch.observer/filing/0001829126-26-004879","json":"https://secwatch.observer/filing/0001829126-26-004879.json","markdown":"https://secwatch.observer/filing/0001829126-26-004879.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/2083452/000182912626004879/0001829126-26-004879-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/2083452/000182912626004879/shreyaacq_8k.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"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.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","comparable_excerpt":"On May 6, 2026, and in connection with the IPO, the Company adopted its Amended and Restated Memorandum and Articles of Association.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/2083452/000182912626004879/0001829126-26-004879-index.htm"}},{"accession":"0001437749-26-018930","ticker":"CPSH","company_name":"CPS TECHNOLOGIES CORP/DE/","filed_at":"2026-06-01T13:35:50+00:00","headline":"CPS Technologies closes $9.6M registered direct offering of 1.2M shares at $8.00/share","event_type":"other_material","sec_items":["1.01","5.03","8.01","9.01"],"materiality_score":0.6,"calibrated_materiality_score":0.6,"match_reasons":["same fact type: governance_change, material_agreement","same SEC item: 1.01, 5.03, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001437749-26-018930","json":"https://secwatch.observer/filing/0001437749-26-018930.json","markdown":"https://secwatch.observer/filing/0001437749-26-018930.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/0001437749-26-018930-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/cpsh20260528_8k.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"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.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","comparable_excerpt":"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.","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/814676/000143774926018930/0001437749-26-018930-index.htm"}},{"accession":"0001287032-26-000174","ticker":"PSEC","company_name":"PROSPECT CAPITAL CORP","filed_at":"2026-05-08T23:59:59+00:00","headline":"Prospect Capital enters $400M at-the-market preferred stock offering; reclassifies 16M common shares","event_type":"other_material","sec_items":["1.01","3.03","5.03","9.01"],"materiality_score":0.65,"calibrated_materiality_score":0.65,"match_reasons":["same fact type: governance_change, material_agreement","same SEC item: 1.01, 5.03, 9.01","same event type: other_material","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001287032-26-000174","json":"https://secwatch.observer/filing/0001287032-26-000174.json","markdown":"https://secwatch.observer/filing/0001287032-26-000174.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1287032/000128703226000174/0001287032-26-000174-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1287032/000128703226000174/psec-20260508.htm"},"side_by_side_evidence":{"fact_type":"governance_change","source_excerpt":"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.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1883984/000143774926007377/0001437749-26-007377-index.htm","comparable_excerpt":"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 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(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","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/946644/000149315226021863/0001493152-26-021863-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}