Unregistered Sales of Equity Securities

Filed when the company sells equity in an unregistered transaction (private placement, PIPE, convertible-note issuance) exceeding a de minimis threshold. Discloses the date, amount, consideration, and exemption relied upon.

Recent disclosures

• October 9, 2026, 5:20 PM ET VTAK Catheter Precision, Inc. other material

  Flyte Aviation raises $2.05M in Series C-4 preferred; cuts conversion price on all convertible preferred to $1.00

• October 9, 2026, 5:18 PM ET ARAI Arrive AI Inc. other material

  Arrive AI raises $250K PIPE at $0.65/share, 213% premium; corrects 'registered direct' description

• October 9, 2026, 5:16 PM ET SOAR Volato Group, Inc. other material

  Volato Group signs $1B equity line with DFU, LLC; issues commitment preferred and common shares

• October 9, 2026, 5:03 PM ET VIVK Vivakor, Inc. M&A

  Vivakor signs non-binding LOI to acquire Direct Midstream for $40 million at 4x targeted 2027 free cash flow

• October 9, 2026, 4:58 PM ET Sculptor Diversified Real Estate Income Trust, Inc. dividend

  Sculptor Diversified REIT declares $0.0664/share September distribution; raises $55.5M in unregistered share sales

• October 9, 2026, 4:34 PM ET HYFM HYDROFARM HOLDINGS GROUP, INC. other material

  Hydrofarm settles claims, issues 300,000 convertible preferred shares

• October 9, 2026, 4:30 PM ET BIAF bioAffinity Technologies, Inc. other material

  bioAffinity Technologies closes $4M registered direct offering and concurrent private placement

• October 9, 2026, 4:30 PM ET HEPA Hepion Pharmaceuticals, Inc. M&A

  Hepion Pharmaceuticals acquires Gravitas Life Sciences for $2M cash plus 25M shares and names new CEO and CFO

• October 9, 2026, 4:30 PM ET UUU UNIVERSAL SAFETY PRODUCTS, INC. debt

  Universal Safety Products amends SJC Lending deal; up to $2.65M convertible notes, 8% interest, 1-year maturity

• October 9, 2026, 4:25 PM ET Evernorth Holdings Inc. M&A

  Evernorth closes Ripple-backed de-SPAC; 80.3% redeemed at $10.58, 22.3M Class A shares outstanding

• October 9, 2026, 4:05 PM ET CTNT CHEETAH NET SUPPLY CHAIN SERVICE INC. other material

  Cheetah Net CEO Huan Liu buys 100,000 Class B shares at $3.30 in $330,000 related-party placement

• October 9, 2026, 8:33 AM ET TRUG TruGolf Holdings, Inc. M&A

  TruGolf closes Polymath acquisition, issuing 257,494 Class A shares and 136,956 Series C preferred

• October 9, 2026, 8:00 AM ET AUID authID Inc. debt

  authID prices $1.35M convertible debentures at $0.386; EinStrong signs $2M licensing deal

• October 8, 2026, 8:00 PM ET SKYQ Sky Quarry Inc. other material

  Sky Quarry to issue stock to LendSpark to settle $638,998 claim under court-approved 3(a)(10) agreement

• October 8, 2026, 5:27 PM ET DAAQ Digital Asset Acquisition Corp. M&A

  Digital Asset Acquisition to buy Titan Strategics for $250M in stock; renamed Renaissance Nuclear on close

• October 8, 2026, 5:23 PM ET XFOR X4 Pharmaceuticals, Inc debt

  X4 Pharma secures up to $150M K2 HealthVentures loan; repays $78.7M Hercules debt, interest-only to Oct 2029

• October 8, 2026, 5:15 PM ET FBLG FibroBiologics, Inc. debt

  FibroBiologics raises $1.02M via $1.2M convertible debenture to Peak One; 15% OID, 0% interest

• October 8, 2026, 4:46 PM ET RDGL VIVOS INC other material

  Vivos director Cadwell buys 250K Series D preferred for $250K; Series C canceled

• October 8, 2026, 8:04 AM ET AQB AQUABOUNTY TECHNOLOGIES INC other material

  AquaBounty to convert all preferred stock into 8,077,043 common shares by Oct 30, 2026

• October 8, 2026, 6:52 AM ET RNA Atrium Therapeutics, Inc. other material

  Atrium Therapeutics raises $50M PIPE at $7.93/share, extending cash runway through 2028

• October 8, 2026, 6:02 AM ET NUAI New ERA Energy & Digital, Inc. debt

  New Era Energy units sign $116M Macquarie letter of credit facility; warrants issued at $7.26

• October 8, 2026, 6:00 AM ET VBIO Valion Bio, Inc. other material

  Valion Bio signs $50,000 Third Side Letter with 3i for Series B preferred shares and warrants

• October 7, 2026, 9:56 PM ET GOAI Eva Live Inc debt

  Eva Live signs $1.875M secured convertible note with Dune, issues 75,000 commitment shares

• October 7, 2026, 9:04 PM ET TVA Texas Ventures Acquisition III Corp debt

  Texas Ventures III issues $250K convertible note to sponsor Yorkville at $10/unit

• October 7, 2026, 7:50 PM ET TMGI Transglobal Management Group, Inc. M&A

  Third Life World acquires 80% voting control of TMGI for $140K; CEO Marc Angell to resign, gets $115K bonus

• October 7, 2026, 5:21 PM ET VYLR Vylor Inc. other material

  Corteva completes seed-unit spin-off; Vylor (VYLR) starts with $4.5B revolvers, $761M cash paid to EIDP

• October 7, 2026, 4:38 PM ET ARES INDUSTRIAL REAL ESTATE INCOME TRUST Inc. other material

  Ares Industrial REIT raises $39.1M via Reg D share sales from Aug 3 to Oct 1, 2026

• October 7, 2026, 4:38 PM ET ZARE Ares Real Estate Income Trust Inc. other material

  Ares Real Estate Income Trust raises $23.4M via Regulation D issuance of 2.81M shares

• October 7, 2026, 4:00 PM ET North Haven Net REIT other material

  North Haven Net REIT sells 2.84M shares for $59.6M in continuous private offering

• October 7, 2026, 3:10 PM ET Ares Core Infrastructure Fund other material

  Ares Core Infrastructure Fund to sell $767.8M of common shares in October closing, priced at Sept 30 NAV

• October 7, 2026, 2:42 PM ET Invesco Commercial Real Estate Finance Trust, Inc. other material

  Invesco CRE Finance Trust sells 1.15M shares for $28.7M at Aug 31 NAV-based prices

• October 7, 2026, 2:08 PM ET Goldman Sachs Real Estate Finance Trust Inc other material

  GS Real Estate Finance Trust raises $5.3M, originates $237.5M loans, declares September distributions

• October 7, 2026, 1:47 PM ET EQT Exeter Real Estate Income Trust, Inc. other material

  EQT Exeter REIT raises ~$2.14M via DRIP shares and private placements of Class A-I, A-II, E stock

• October 7, 2026, 9:00 AM ET BGLC BioNexus Gene Lab Corp M&A

  BioNexus signs CogniAI healthcare licence with RYET, paying 560,000 shares (~16% stake)

• October 7, 2026, 7:00 AM ET BEEM Beam Global M&A

  Beam Global to buy Norway's ScoutDI for $24M base, up to $3.8M in 2026 earn-out

• October 6, 2026, 6:00 PM ET New Mountain Net Lease Trust other material

  New Mountain Net Lease Trust sells 1,395,955 shares for $29.32M in continuous private offering

• October 6, 2026, 5:30 PM ET BOXL Boxlight Corp other material

  Boxlight issues $850K Series E preferred to Chairman-linked J.J. Astor; variable conversion, $0.95 floor

• October 6, 2026, 5:29 PM ET INV Innventure, Inc. other material

  Innventure launches $60M at-the-market stock offering with Lucid Capital; ends Yorkville SEPA

• October 6, 2026, 5:28 PM ET AMFN American Fusion, Inc. other material

  American Fusion auditor JV CPA resigns Oct 1; Series C preferred issued to 12 insiders for $2.88M compensation

• October 6, 2026, 5:15 PM ET RCKT ROCKET PHARMACEUTICALS, INC. debt

  Rocket Pharmaceuticals secures up to $150M credit facility from Hercules Capital; $35M drawn at close

• October 6, 2026, 5:00 PM ET ExchangeRight Income Fund other material

  ExchangeRight Income Fund sells 16,287 Class D shares for $450,000 under $2.165B private offering

• October 6, 2026, 4:57 PM ET AURX Nuo Therapeutics, Inc. debt

  Nuo Therapeutics closes $325,000 Second Funding, reaching $2,000,000 total loan funding

• October 6, 2026, 4:10 PM ET SBEV SPLASH BEVERAGE GROUP, INC. other material

  Endovia Health issues 526,582 shares to C/M Capital for $81,831 under ELOC agreement

• October 6, 2026, 4:09 PM ET Cohen & Steers Income Opportunities REIT, Inc. other material

  Cohen & Steers Income Opportunities REIT sells 1.36M shares for $16.6M across four classes

• October 6, 2026, 3:58 PM ET RNGE RANGE IMPACT, INC. other material

  Range Impact issues 1.31M shares at $0.764 to end MRR and Wicks options on 1,500 Kentucky acres

• October 6, 2026, 3:32 PM ET Principal Credit Real Estate Income Trust other material

  Principal Credit Real Estate Income Trust raises $12.85M in two unregistered share sales on Oct. 1

• October 6, 2026, 2:54 PM ET Third Point Private Capital Partners other material

  Third Point Private Capital Partners sells 371,692 Class I shares for $10M; NAV $26.90 per share

• October 6, 2026, 2:51 PM ET CAMPBELL FUND TRUST other material

  Campbell Fund Trust sells $6.09M of Units of Beneficial Interest in unregistered private placement

• October 6, 2026, 2:32 PM ET Fidelity Core Real Estate Fund other material

  Fidelity Core Real Estate Fund raises ~$26.5M issuing 2.29M Class I shares in Sept-Oct private placements

• October 6, 2026, 12:35 PM ET PMI Picard Medical, Inc. debt

  Picard Medical issues $1.0M unsecured convertible notes with $4.00 conversion floor and pre-funded warrants

source · SEC Form 8-K instructions · see methodology