SEC 8-K and 6-K filings classified by Claude with reasoning, plus Form 4 insider transactions. Ingested from EDGAR’s filing stream in near-real time, reconciled overnight.
Showing material events only. Routine administrative filings — bylaw amendments, technical fund updates, procedural FD disclosures — are filtered out so the front page stays signal-dense.
Entera Bio completed a private placement of 122.96 million ordinary shares and 11.84 million pre-funded warrants for approximately $275 million in aggregate proceeds on July 28, 2026, pursuant to a Securities Purchase Agreement entered into on July 26, 2026. This unregistered equity issuance under Section 4(a)(2) of the Securities Act represents significant dilution to existing shareholders.
View raw filing on EDGAR →CVC-PE Global Private Equity Fund, LP completed an unregistered sale of limited partnership units totaling approximately $60.2 million across multiple unit classes (R-S, R-I, C, and G) as part of a continuous private offering, exempt under Section 4(a)(2) and Regulation D. This capital-raising event dilutes existing unitholders.
View raw filing on EDGAR →The filing discloses unregistered sales of Class I and Class S common stock totaling approximately $36.7 million to third-party investors, exempt from registration under Section 4(a)(2) and Regulation D. This is a classic dilutive equity issuance by a BDC raising capital through private placement, material to investors assessing the company's capitalization and ownership structure.
View raw filing on EDGAR →SLR HC BDC LLC disclosed an unregistered sale of approximately 200,000 units for $4.2 million to its members pursuant to a capital drawdown notice under the LLC Agreement and Subscription Agreement. The issuance is exempt from Securities Act registration under Section 4(a)(2) and Regulation D, which is characteristic of private placements to existing members. This represents a dilutive equity issuance that would be material to investors assessing the company's capital structure and ownership.
View raw filing on EDGAR →C3is Inc. completed a registered offering on July 28, 2026, of 11,535,000 units (10,435,000 common units and 1,100,000 pre-funded units) with warrants, raising approximately $6.0 million in gross proceeds. The offering includes common shares, pre-funded warrants exercisable at $0.01, and Class F Warrants with reset and cashless exercise features that could result in issuance of up to 46.1 million additional common shares. This is a material dilutive equity issuance that would significantly affect investor assessment of ownership and capital structure.
View raw filing on EDGAR →Silver Point Private Credit Fund completed an unregistered sale of 324,600 common shares for $8.7 million at $26.81 per share, executed pursuant to subscription agreements and exempt under Section 4(a)(2) and Regulation D.
View raw filing on EDGAR →North Haven Private Income Fund A LLC completed an unregistered sale of approximately 19,523 Class I units for $0.4 million, relying on Section 4(a)(2) and Regulation D exemptions with accredited investor representations.
View raw filing on EDGAR →West Bay BDC LLC is conducting an unregistered sale of approximately 1.6 million common units for $27.8 million to existing investors pursuant to subscription agreements and capital drawdown notices. The sale is exempt under Section 4(a)(2) and Regulation D, with purchasers required to be accredited investors or non-U.S. persons. This is a classic dilutive issuance of equity securities to raise capital, material to investors assessing the company's capitalization and ownership structure.
View raw filing on EDGAR →North Haven Private Income Fund LLC completed an unregistered sale of approximately 122,704 Class S units for $2.20 million, relying on Section 4(a)(2) and Regulation D exemptions with accredited investor representations.
View raw filing on EDGAR →Enlivex announced a $400 million private placement of ordinary shares at $5.00–$6.00 per share to a single institutional investor, with an additional $400 million call option exercisable over 36 months on identical terms. This is a material unregistered equity issuance (private placement) that will significantly dilute existing shareholders and raise substantial capital. The filing explicitly notes that closing is subject to shareholder approval under Nasdaq Listing Rule 5635, confirming the dilutive nature and materiality of the transaction.
View raw filing on EDGAR →This is a subscription agreement for an unregistered sale of ordinary shares by Star Fashion Culture Holdings Ltd to Xingji Zhangpingting Limited pursuant to Regulation S, at $1.30 per share. The agreement explicitly states the shares are "restricted securities" and the offering is structured as an offshore transaction to non-U.S. persons to avoid Securities Act registration. This is a classic private placement / dilutive issuance of equity securities outside the registered public market, material to investors as it increases share count and dilutes existing shareholders.
View raw filing on EDGAR →The exhibit announces the closing of a registered direct offering of 1,281,646 ADSs (representing 384,493,800 ordinary shares) at US$3.16 per ADS, raising approximately US$4.1 million in gross proceeds. The offering also includes concurrent private placement of unregistered warrants to purchase additional ADSs, plus a separate Australian private placement and Share Purchase Plan. This is a material dilutive equity issuance by a clinical-stage biopharmaceutical company raising capital through registered and unregistered securities offerings.
View raw filing on EDGAR →Enlivex entered into a Securities Purchase Agreement on July 27, 2026, to issue $400 million of ordinary shares and pre-funded warrants in a private placement to an institutional investor (Rain Foundation), with an optional put right for an additional $400 million. This is an unregistered equity issuance under Section 4(a)(2) / Regulation D, structured as a PIPE-like transaction with cryptocurrency payment options and immediate warrant exercisability at $0.001 per share. The scale ($400M+ potential) and dilutive warrant structure (24.9% beneficial ownership cap, no expiration) represent material capital raising and shareholder dilution.
View raw filing on EDGAR →LiveOne agreed to issue 70,000 shares of common stock at $7.50 per share to Music Story SAS as payment for licensing fees and prepayment under an extended license agreement. The shares are issued pursuant to an effective S-3 registration statement with no cash proceeds to the company, representing a dilutive equity issuance that would materially affect shareholder ownership and the total mix of information available to investors.
View raw filing on EDGAR →This press release announces a registered direct offering of 20 million Class A Ordinary Shares at $0.20 per share (or pre-funded warrants), generating approximately $4 million in gross proceeds. The offering represents a significant dilutive equity issuance to institutional investors under a shelf registration statement. This is a material capital-raising event that would affect a reasonable investor's assessment of share dilution and the company's financial position.
View raw filing on EDGAR →This exhibit is a Securities Purchase Agreement for the issuance of 15,000,000 Class A ordinary shares at $0.276 per share to non-US persons under Regulation S and Section 4(a)(2) exemptions. The agreement documents an unregistered private placement of equity securities, which is a dilutive issuance material to investors assessing the registrant's capital structure and ownership dilution.
View raw filing on EDGAR →Ridgetech entered into a sales agreement on July 28, 2026 with Pacific Century Securities, LLC to offer and sell ordinary shares with an aggregate offering price of $184.7 million under an at-the-market (ATM) offering program. This is a dilutive equity issuance that replaces a prior ATM program (terminated July 11, 2026 with AC Sunshine Securities). The magnitude ($184.7M) and structure (unregistered continuous offering) are material to investors assessing capital structure and shareholder dilution.
View raw filing on EDGAR →Market Technology Acquisition Corp completed an unregistered private placement of 712,500 units (comprising Class A Ordinary Shares and redeemable Warrants) to the Sponsor and BTIG, LLC for $7.125 million, simultaneously with the IPO closing, exempted from registration under Section 4(a)(2) of the Securities Act of 1933.
View raw filing on EDGAR →The Company completed an unregistered sale of warrants (equity securities) pursuant to Section 4(a)(2) of the Securities Act to an accredited investor (the Subordinated Lender), diluting existing shareholders.
View raw filing on EDGAR →The filing discloses an unregistered private placement under Item 3.02, with the Company issuing 4,340 shares of Series B Preferred Stock and 284,156 Warrants for approximately $3.472 million in cash on July 27, 2026. This is a dilutive equity issuance relying on Section 4(a)(2) and Regulation D exemptions, representing the second closing under a Securities Purchase Agreement. The issuance of convertible preferred stock and warrants is material to investors assessing capital structure and ownership dilution.
View raw filing on EDGAR →The filing discloses an unregistered sale of 11,470,000 shares of Common Stock to Yorkville Advisors (YA II PN, Ltd.) between May 14 and July 24, 2026, pursuant to a Standby Equity Purchase Agreement (SEPA), generating approximately $3.6M in gross proceeds. The shares were issued under Section 4(a)(2) and Regulation D Rule 506(b) exemptions, and the transaction materially dilutes existing shareholders while providing the company with capital. This is a classic dilutive issuance disclosure under Item 3.02.
View raw filing on EDGAR →Anfield Energy closed a non-brokered private placement on January 12, 2026, issuing 1,345,292 common shares at US$4.46 per share for US$6,000,000 and 896,861 subscription receipts to insider Uranium Energy for US$4,000,000, totaling US$10,000,000 in gross proceeds under the Listed Issuer Financing Exemption. The transaction includes insider participation and materially affects the company's ownership structure and capital position.
View raw filing on EDGAR →Welltower entered into an at-the-market (ATM) equity distribution agreement on July 28, 2026, authorizing the issuance and sale of up to $7.5 billion in common stock through multiple sales agents. The filing also discloses a resale prospectus supplement for 261,753 shares issued as consideration for a lease amendment. ATM offerings represent a dilutive issuance of equity securities that would materially affect investor assessment of share dilution and capital structure, fitting the dilutive_issuance category.
View raw filing on EDGAR →Kinetic Seas conducted an unregistered sale of equity securities relying on Section 4(a)(2) and Rule 506 exemptions as part of the Securities Purchase Agreement, representing a material private placement to a private investor.
View raw filing on EDGAR →Carlyle Credit Solutions completed an unregistered sale of 2,904,955 shares of Class I common stock for $52.3 million in aggregate consideration under Section 4(a)(2) and Regulation D exemptions, increasing outstanding shares from approximately 95.5 million to 98.4 million.
View raw filing on EDGAR →The company disclosed an ongoing 'New Continuous Offering' of unregistered Class I Common Stock shares on a continuous basis, with 67.4 million shares issued for $1.3 billion in total consideration and stated intent to continue selling shares monthly.
View raw filing on EDGAR →Core Scientific issued a warrant to AMD to purchase up to 30 million shares of common stock at $23.47 per share, with approximately 6.5 million shares vesting immediately upon execution of leases on July 27, 2026, in reliance on Section 4(a)(2) of the Securities Act.
View raw filing on EDGAR →5C Lending Partners Corp. completed an unregistered private placement of approximately 3.7 million shares of common stock for $90 million in gross proceeds on July 24, 2026, pursuant to subscription agreements with investors, exempt from Securities Act registration under Section 4(a)(2) and Regulation D/S.
View raw filing on EDGAR →SmartKem disclosed multiple unregistered private placements of convertible preferred stock and warrants totaling approximately $7.0 million in proceeds across four closings (March 30, June 22, July 16, and July 24, 2026), issued under Section 4(a)(2) and Regulation D exemptions with significant dilution potential.
View raw filing on EDGAR →C3is Inc. announced the pricing of an underwritten public offering of 11,535,000 units at $0.52 per unit, generating approximately $6.0 million in gross proceeds. Each unit includes one common share (or pre-funded warrant) and one Class F warrant, with the warrants featuring a zero cash exercise option that could double the number of shares issuable. This is a material dilutive equity issuance that would significantly affect a reasonable investor's assessment of ownership dilution and capital structure.
View raw filing on EDGAR →Codexis completed a public offering of 16,666,667 shares of common stock at $1.50 per share, raising approximately $23.1 million in net proceeds. This is a material dilutive equity issuance disclosed under Item 8.01, representing a significant capital raise and shareholder dilution event that would affect a reasonable investor's assessment of the company's capitalization and ownership structure.
View raw filing on EDGAR →Apollo Infrastructure Company LLC issued and sold approximately $42.3 million in unregistered equity securities across multiple share classes (Series I and Series II A-II, E, F-I, and I Shares) to third-party investors as of July 1, 2026, under Section 4(a)(2) and Regulations D and S exemptions.
View raw filing on EDGAR →The press release announces a concurrent registered direct offering of 1,281,646 ADSs (384.5 million ordinary shares) at US$3.16 per ADS raising approximately US$4.1 million, plus unregistered warrants and an Australian private placement and share purchase plan raising up to A$12.7 million (US$8.9 million). This is a material dilutive equity issuance totaling approximately US$12.9 million in gross proceeds, typical of capital-raising activity by clinical-stage biopharmaceutical companies and clearly material to investors assessing ownership dilution and cash position.
View raw filing on EDGAR →The 6-K discloses entry into a Securities Purchase Agreement on July 23, 2026 for a registered direct offering of 300,000 Class A Ordinary Shares and pre-funded warrants to purchase 4,245,455 additional Class A Ordinary Shares at $1.10 per share (plus $0.001 exercise price for warrants). The offering closed July 24, 2026, raising approximately $4.5 million in net proceeds. This is a dilutive equity issuance that would materially affect shareholder ownership and is a classic capital-raising event requiring disclosure under Item 3.02 equivalent for foreign issuers.
View raw filing on EDGAR →This is a Securities Purchase Agreement dated July 20, 2026, in which Magic Empire Global Limited agrees to issue and sell Class A ordinary shares for an aggregate purchase price of US$5,000,000 to non-U.S. persons under Regulation S. The agreement specifies issuance of shares at US$0.25 per share (21.46% of the prior trading day's closing price), representing a material private placement of equity securities. This is a classic dilutive issuance under Regulation S, a private placement to foreign investors that would materially affect capitalization and shareholder interests.
View raw filing on EDGAR →The filing discloses conversion of a $703,385 loan (principal plus accrued interest) into 146,539 shares of common stock at $4.80 per share under a Loan Conversion Agreement. Item 3.02 explicitly confirms this is an unregistered sale of equity securities issued in reliance on Regulation S. This is a dilutive issuance that increases share count and would materially affect existing shareholders' ownership percentages.
View raw filing on EDGAR →The filing discloses an Exchange Agreement dated July 22, 2026, under which an investor may exchange a $900,000 promissory note (the "Partitioned Note") for shares of common stock at a price determined by recent Nasdaq closing prices. This is a classic convertible debt instrument with an embedded equity conversion feature, structured as an unregistered private placement under Section 4(a)(2) and Section 3(a)(9) of the Securities Act. The disclosure explicitly addresses Item 3.02 (Unregistered Sales of Equity Securities), confirming the dilutive equity issuance component. The beneficial ownership limitation (9.99%) and the mechanics of tranched issuance are typical of dilutive equity raises by smaller public companies.
View raw filing on EDGAR →The filing discloses entry into an amendment to an equity distribution agreement that removes the fixed aggregate dollar limitation on sales, allowing future offers and sales of Common Stock to be limited solely by the amount registered under the effective registration statement. This is a material dilutive issuance under Item 1.01, as it establishes an at-the-market (ATM) or continuous offering program with no cap, creating significant potential dilution to existing shareholders.
View raw filing on EDGAR →Ocean Power Technologies entered into an at-the-market (ATM) offering agreement with H.C. Wainwright & Co. on July 27, 2026, authorizing the sale of up to $20 million in common stock. This is a classic dilutive equity issuance disclosed under Item 1.01 (Entry into a Material Definitive Agreement). ATM offerings are a primary capital-raising mechanism for small- and mid-cap companies and materially affect existing shareholders through dilution.
View raw filing on EDGAR →The filing discloses a Series A Convertible Preferred Stock issuance to LU2 Holdings LLC (Item 1.01, referenced in Items 2.03 and 3.02), accompanied by common stock purchase warrants and a registration rights agreement. While Item 1.02 addresses termination of an ATM agreement, the substantive material event is the creation of convertible preferred equity and warrants—a dilutive capital raise typical of small-cap financing. The exhibits confirm a Securities Purchase Agreement dated July 21, 2026, and warrant issuances, signaling a significant equity financing transaction that would materially affect shareholders.
View raw filing on EDGAR →Polar Power entered into a Committed Equity Facility (CEF) with Roth Principal Investments allowing the Company to sell up to $25 million of newly issued common stock at the Company's discretion over 36 months. The filing explicitly states that "sales of common stock under the facility, if any, are expected to be made at prices based on the prevailing market price" and "such sales...may be dilutive to the Company's existing stockholders." This is a classic at-the-market (ATM) or similar equity facility arrangement that creates a dilutive issuance mechanism.
View raw filing on EDGAR →HPS Corporate Capital Solutions Fund disclosed an unregistered sale of approximately $9.79 million in common shares of beneficial interest across Class I and Class D shares to accredited investors and non-U.S. persons, pursuant to subscription agreements and exempt under Section 4(a)(2) and Regulation D/S.
View raw filing on EDGAR →The filing discloses an unregistered private placement of 217,193 shares of Series A Convertible Preferred Stock under Rule 506(b) of Regulation D, generating $2,137,000 in aggregate proceeds during July 14–26, 2026. This is a classic dilutive equity issuance to accredited investors exempt from registration, with 12.8 million shares of the preferred stock now outstanding. The convertible nature and substantial capital raise make this material to investors assessing the registrant's capital structure and ownership dilution.
View raw filing on EDGAR →The filing discloses multiple unregistered sales of equity securities under Section 4(a)(2) of the Securities Act, including 111,981 Class I shares issued to the Adviser as management fees ($1,160,684), 6,840 Class I shares to a feeder vehicle ($71,975), 124,965 Class I shares to Brookfield and affiliates ($1,295,263), and 19,370 Class E shares to Brookfield and affiliates ($200,599). These private placements and reinvestment plan issuances are dilutive to existing shareholders and material to investor assessment of capital structure and ownership.
View raw filing on EDGAR →The Fund entered into Amendment No. 3 to a sales agreement authorizing the offer and sale of up to 22,000,000 shares of common stock through an at-the-market offering, materially expanding its capacity to raise capital through equity issuance.
View raw filing on EDGAR →Vivakor converted approximately $2.25 million in principal from convertible notes into approximately 2.45 million shares of common stock across three separate financing arrangements between July 21–27, 2026, issued without restrictive legends pursuant to Section 4(a)(2) exemptions, representing substantial dilution to existing shareholders.
View raw filing on EDGAR →Lord Abbett Private Credit Fund issued approximately 426,589 common shares for $10.6 million to shareholders pursuant to subscription agreements, relying on Section 4(a)(2) and Regulation D exemptions from Securities Act registration.
View raw filing on EDGAR →The fund completed an unregistered sale of approximately 263,173 common shares for $6.5 million to accredited investors pursuant to subscription agreements, relying on Section 4(a)(2) and Regulation D exemptions.
View raw filing on EDGAR →BlackRock Private Credit Fund issued 676,246.312 Institutional Class Shares for $15,887,460.36 to feeder vehicles in an unregistered sale exempt under Section 4(a)(2) and Regulation S, increasing share count and diluting existing shareholders.
View raw filing on EDGAR →Rubico announced termination of a $30 million equity line of credit with B. Riley Principal Capital II, LLC, under which the Company had sold approximately $27.1 million of common shares. The disclosure centers on the substantial utilization of the equity issuance program ($27.1M of $30M available), which represents a material dilutive capital-raising activity.
View raw filing on EDGAR →