secwatch / observer
8-K filed April 2, 2026, 7:59 PM ET CIK 0001883984
other material confidence high sentiment neutral materiality 0.60

Alternus raises $1M via Series D preferred, converts $8.27M debt into preferred shares

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

5daa66f4ab0cbef4e589b713ecede042630e9017

Alternus Clean Energy, Inc.: Filed certificates of designation establishing Series D and Series E Convertible Preferred Stock, describing rights and preferences (effective 2026-03-27).

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Series D Convertible Preferred Stock On March 27, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 20,000 shares of Series D Convertible Preferred Stock, par value $0.0001 per share (“Series D”). 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 D Convertible Preferred Stock and describing the rights, obligations and privileges of the Series D.

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

0b053ed47141c25a0ca8593b4ad50a40458221d3

Alternus Clean Energy, Inc. entered into Subscription Agreement with a certain third party accredited investor valued at $1,000,000 (effective 2026-03-27).

On March 27, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with a certain third party accredited investor (the “Purchaser”) pursuant to which the Company sold in a private placement (the “Offering”) an aggregate of 2,150 shares of the Company’s Series D Convertible Preferred Stock, convertible into the Company’s common stock, par value $0.0001 per share (the “Shares”) to the Purchaser.

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

699ce244c9d488b925b352700a07c768e25d8972

Alternus Clean Energy, Inc. entered into Put Option Agreement with the Purchaser (effective 2026-03-27).

Simultaneously with the Subscription Agreement, The Company also entered into a Put Option Agreement with the Purchaser, pursuant to which the Purchaser has the right, for a period of one year after the Company raises a minimum of $8 million through an equity capital raise, to require the Company to repurchase up to a maximum of 1,150 Series D shares at a price of $1,000 per Series D share repurchased.

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

Comparable filings

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

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Series D Convertible Preferred Stock On March 27, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 20,000 shares of Series D Convertible Preferred Stock, par value $0.0001 per share (“Series D”). 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 D Convertible Preferred Stock and describing the rights, obligations and privileges of the Series D.

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

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Series D Convertible Preferred Stock On March 27, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 20,000 shares of Series D Convertible Preferred Stock, par value $0.0001 per share (“Series D”). 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 D Convertible Preferred Stock and describing the rights, obligations and privileges of the Series D.

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

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Series D Convertible Preferred Stock On March 27, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 20,000 shares of Series D Convertible Preferred Stock, par value $0.0001 per share (“Series D”). 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 D Convertible Preferred Stock and describing the rights, obligations and privileges of the Series D.

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 27, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with a certain third party accredited investor (the “Purchaser”) pursuant to which the Company sold in a private placement (the “Offering”) an aggregate of 2,150 shares of the Company’s Series D Convertible Preferred Stock, convertible into the Company’s common stock, par value $0.0001 per share (the “Shares”) to the Purchaser.

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

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 27, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with a certain third party accredited investor (the “Purchaser”) pursuant to which the Company sold in a private placement (the “Offering”) an aggregate of 2,150 shares of the Company’s Series D Convertible Preferred Stock, convertible into the Company’s common stock, par value $0.0001 per share (the “Shares”) to the Purchaser.

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 27, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with a certain third party accredited investor (the “Purchaser”) pursuant to which the Company sold in a private placement (the “Offering”) an aggregate of 2,150 shares of the Company’s Series D Convertible Preferred Stock, convertible into the Company’s common stock, par value $0.0001 per share (the “Shares”) to the Purchaser.

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

CUK

Carnival completes DLC unification and redomiciliation to Bermuda; Carnival plc now a subsidiary

CARNIVAL PLC May 7, 2026, 7:59 PM ET other_material Items 1.02, 2.01, 3.01, 3.02, 3.03, 5.01, 5.03, 7.01, 9.01

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

This filing

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Series D Convertible Preferred Stock On March 27, 2026, the board of directors (the “Board”) of the Company declared the formation of an aggregate of up to 20,000 shares of Series D Convertible Preferred Stock, par value $0.0001 per share (“Series D”). 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 D Convertible Preferred Stock and describing the rights, obligations and privileges of the Series D.

Comparable filing

In addition, Carnival Corporation also migrated its jurisdiction of incorporation from the Republic of Panama to Bermuda and changed its name to "Carnival Corporation Ltd." (the "Redomiciliation" and, together with the DLC Unification, the "DLC Unification and Redomiciliation Transactions").

Filing page SEC filing

GOVX

GeoVax raises ~$595k via warrant inducement; issues new warrants for 1M shares at $1.65

GeoVax Labs, Inc. May 7, 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 27, 2026, Alternus Clean Energy, Inc., a Delaware corporation (the “Company”) entered into a subscription agreement (the “Subscription Agreement”) with a certain third party accredited investor (the “Purchaser”) pursuant to which the Company sold in a private placement (the “Offering”) an aggregate of 2,150 shares of the Company’s Series D Convertible Preferred Stock, convertible into the Company’s common stock, par value $0.0001 per share (the “Shares”) to the Purchaser.

Comparable filing

On May 7, 2026, GeoVax Labs Inc. (the “Company”), entered into common stock warrant exercise inducement offer letters (the “Inducement Letters”) with holders (the “Holders”) of existing warrants to purchase shares of the Company’s common stock

Filing page SEC filing

Source: SEC EDGAR
accession 0001437749-26-011061
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