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.
6-K
Dilutive issuance
confidence 95%
filed 2026-07-31
EX-99.1
Anfield Energy closed an underwritten public offering of 1,715,000 common shares at US$4.00 per share for aggregate gross proceeds of US$6.9 million. This is a registered equity issuance that dilutes existing shareholders. The participation of strategic investor Uranium Energy Corp. (625,000 shares for US$2.5 million) is explicitly noted as a related-party transaction under MI 61-101, and the company relied on exemptions from formal valuation and minority shareholder approval requirements. This material capital raise would affect a reasonable investor's assessment of ownership dilution and the company's financing strategy.
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8-K
Dilutive issuance
confidence 72%
filed 2026-07-31
Item 3.03
Citizens Financial Group issued 6.750% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series J with a $1,000 liquidation preference on July 30, 2026, materially modifying the rights of common and junior preferred shareholders through dividend restrictions and payment limitations.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 1.01
Inovio entered into an underwriting agreement on July 29, 2026 to issue 21,052,632 shares of common stock and warrants to purchase 42,105,264 additional shares in a registered public offering at $0.95 per share, with expected gross proceeds of approximately $20.0 million and net proceeds of approximately $18.3 million. The offering was priced on July 29, 2026 with expected closing on July 31, 2026.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 3.02
Galera completed a private placement of Series C Non-Voting Convertible Preferred Stock to qualified institutional buyers and accredited investors, raising approximately $350.0 million in gross proceeds under Section 4(a)(2) exemption from registration.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Item 8.01
BigBear.ai entered into an Open Market Sale Agreement with Jefferies LLC to sell up to 100,000,000 shares of common stock through an at-the-market offering under a Form S-3 registration statement. This is a dilutive equity issuance that could substantially increase share count and is material to investors assessing ownership dilution and capital structure.
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6-K
Dilutive issuance
confidence 75%
filed 2026-07-31
The 6-K discloses that NewGen issued Class A shares in connection with strategic share purchase agreements to acquire a 3% equity interest in K25.ai. The issuance increased total outstanding Class A shares to 5,919,948, representing a dilutive equity issuance. While the filing does not explicitly state the shares were unregistered, the context of a strategic acquisition agreement and the absence of registration details suggest this is a private placement or similar dilutive issuance material to shareholders.
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6-K
Dilutive issuance
confidence 92%
filed 2026-07-31
WF Holding entered into a standby equity purchase agreement on July 30, 2026, committing to issue up to $30 million of ordinary shares to an institutional investor, plus an immediate issuance of 750,000 shares as consideration. This is a classic PIPE-like arrangement (private placement of equity) where the company retains discretion over timing and amount but has committed to a substantial equity facility. The dilutive nature and capital-raising purpose are unmistakable, and the $30 million commitment amount is material to a small-cap issuer.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-31
EX-99.1
NewcelX announced a private placement of 347,134 common shares and warrants at $4.033 per share (20% premium to market), raising $1.4 million in unregistered equity securities under Section 4(a)(2) and Regulation D. This is a classic dilutive equity issuance by a clinical-stage biopharmaceutical company raising capital, material to investors assessing ownership dilution and the company's capital structure.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Item 8.01
The Company increased the maximum aggregate offering price under an At The Market (ATM) offering agreement by $5,257,000 in additional common stock, with approximately $13.6 million already sold to date. ATM offerings are classic dilutive equity issuances used by smaller-cap companies to raise capital, and the magnitude here (combined ~$18.8 million) is material to a company of this size.
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6-K
Dilutive issuance
confidence 85%
filed 2026-07-31
The 6-K discloses an amendment to a Capital on Demand™ Sales Agreement with JonesTrading, updating the registration statement reference to Form F-3 (File No. 333-293060) effective July 31, 2026, permitting the Company to offer and sell up to $3,789,822 in ordinary shares. This is a dilutive equity issuance arrangement under an ATM (at-the-market) offering program, a material capital-raising activity typical of small-cap biotech firms. The Company has already sold 6,762,825 shares for ~$6.7 million under the prior agreement, demonstrating active use of the facility.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-31
EX-99.1
The press release announces the initial closing of a convertible promissory note offering ($1.25 million principal) convertible into Class A ordinary shares, plus accompanying warrants, for aggregate gross proceeds of $1.15 million. This is a private placement of convertible securities with significant dilutive potential to existing shareholders. The structure—convertible notes plus warrants—is characteristic of a dilutive equity issuance, and the registration rights agreement requiring an F-1/F-3 filing confirms the securities are intended for eventual public resale, making this a material capital-raising event.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Item 3.02
Profusa issued 201,120 shares of common stock and 52,903.566 shares of Series A Preferred Stock (convertible into approximately 52.9 million common shares at a 1,000:1 ratio) to G3 stockholders as consideration for the option agreement, in transactions exempt from registration under Section 4(a)(2) of the Securities Act. The issuance has a significant dilutive effect on existing stockholders.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 3.02
The convertible notes offering includes a conversion feature with a maximum of 32,258,064 shares of common stock potentially issuable upon conversion at a conversion rate of 268.8172 shares per $1,000 principal, representing a material dilutive issuance of unregistered securities sold pursuant to Section 4(a)(2) of the Securities Act.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
The filing discloses an unregistered private placement of 31,037,830 shares of common stock at $1.25 per share for gross proceeds of $38.8 million, issued to controlling shareholders under Section 4(a)(2) and Regulation D exemptions. This is a classic dilutive equity issuance that materially affects shareholder ownership and capital structure, with the shares subject to a one-year lock-up period.
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8-K
Dilutive issuance
confidence 94%
filed 2026-07-31
Item 1.01
Marpai entered into securities purchase agreements on July 29, 2026, to sell 12,100 shares of newly designated Series A Preferred Stock at $1,000 per share for aggregate gross proceeds of approximately $12.1 million to accredited investors led by Mitchell Companies. The Preferred Stock is convertible into common stock at a conversion price of $1.00 per share, with automatic conversion upon a qualified public offering or 60% holder vote, creating significant dilution potential for existing common shareholders.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Item 8.01
Interactive Brokers took down 2,499,567 shares of common stock from its shelf Registration Statement on Form S-3 via a Prospectus Supplement under Rule 424(b)(5). This is a registered public offering of equity securities that will dilute existing shareholders. The specific share count and reference to the shelf takedown mechanism indicate a material capital-raising transaction.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-31
Item 8.01
Interactive Brokers filed a Prospectus Supplement under Rule 424(b)(5) to register up to 920,000 shares of common stock from its shelf Registration Statement on Form S-3. This is a registered offering of equity securities that will dilute existing shareholders. The filing of a prospectus supplement with a specific share count and legal opinion supporting validity indicates a material equity issuance event.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Item 3.02
Catheter Precision closed a Series C-4 Convertible Preferred Stock offering on July 30, 2026, issuing 2,821 shares for $2.821 million in gross proceeds under Section 4(a)(2) and Regulation D Rule 506(b) exemptions. Conversion of the Series C-4 Preferred Stock into Common Stock will result in dilution of existing Common Stock holders, with the preferred shares carrying senior ranking with respect to dividends and liquidation preferences.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 3.02
The Company exchanged 2,074 shares of Series B Preferred Stock (aggregate stated value $2,074,000) for 674,923 shares of common stock pursuant to unregistered exchange agreements with Streeterville Capital. This is a dilutive issuance of common stock conducted under Section 3(a)(9) exemption, representing a substantial increase in common share count that would materially affect existing shareholders' ownership percentages and voting power.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-31
EX-99.1
This is an underwriting agreement for a public offering of 1,491,305 common shares at US$3.76 per share (with a 6% underwriting discount), plus an over-allotment option for up to 223,695 additional shares. The agreement explicitly references a Form F-10 registration statement and prospectus supplement filed with the SEC, confirming this is a registered public offering. This constitutes a dilutive issuance of equity securities that would materially affect a reasonable investor's assessment of ownership dilution and capital structure.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Beyond Air entered into a securities purchase agreement on July 29, 2026, to issue 167,011 shares of common stock, 1,638,835 pre-funded warrants, and 3,611,692 common stock purchase warrants (Series A and B combined) in a private placement expected to raise approximately $10.2 million in gross proceeds upfront, with potential for up to $30.1 million if all warrants are exercised. This is a classic dilutive private placement with warrants, materially affecting shareholder equity and voting power.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
Co-Diagnostics entered into an inducement agreement on July 30, 2026, whereby warrant holders exercised existing warrants for approximately $2.67 million in gross proceeds, and the Company issued new warrants to purchase 3,404,724 additional shares at $1.56 per share. This is a dilutive equity issuance structured as a warrant exchange that increases outstanding shares from 5,277,846 to 6,980,208 (32% dilution) and requires future stockholder approval. The transaction is material to investors as it substantially dilutes existing shareholders and raises capital through equity rather than debt.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
The filing discloses entry into private placement agreements for the unregistered sale of 677,084 shares of common stock at $4.80 per share for approximately $3.25 million in aggregate gross proceeds. Items 1.01 and 3.02 explicitly describe the issuance as unregistered equity securities expected to be issued under Regulation S, which is a classic dilutive issuance. The involvement of related parties (the CEO's brothers) and the use of proceeds for general corporate purposes and potential strategic investments further support materiality to investors.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-31
Clean Energy Technologies entered into a securities purchase agreement with 1800 Diagonal Lending LLC to issue a convertible promissory note with principal of $147,840 for net funding of $125,000. The note is convertible into common stock at 85% of the lowest closing bid price, with conversion restrictions tied to beneficial ownership thresholds and Nasdaq Rule 5635(d) shareholder approval requirements. Item 3.02 explicitly discloses this as an unregistered sale of equity securities under Section 4(a)(2), and the convertible feature creates dilutive equity exposure typical of PIPE-like financing arrangements at small-cap issuers.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-31
The filing discloses unregistered sales of equity securities under Item 3.02, including issuance of pre-funded warrants to purchase 12,131,770 shares (representing a significant dilution) and 123,537 shares of common stock to service providers. The pre-funded warrants have an exercise price of $0.0001 per share and are contingent on stockholder approval for issuance in excess of 19.99% of outstanding common stock, indicating substantial dilutive potential. This is a classic private placement structure typical of small-cap equity raises.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-31
Item 8.01
The Item 8.01 disclosure centers on two material events: (1) a $54.6M ten-year contract award (operational/strategic), and (2) a warrant inducement transaction involving $4.5M in gross proceeds and issuance of 5,012,159 new unregistered warrants at 150% of exercised warrants. The warrant issuance is a dilutive equity transaction requiring shareholder approval, fitting the dilutive_issuance category. While the contract award is also material, the warrant transaction is the more legally and financially significant disclosure requiring 8-K Item 8.01 treatment as an "other event."
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-31
Item 8.01
Healthcare Realty Trust filed a new automatic shelf registration statement and prospectus supplement on July 31, 2026, establishing an at-the-market (ATM) equity offering program with an aggregate gross sales price of up to $1,000,000,000 in Class A common stock. The filing of an ATM prospectus supplement with a substantial offering capacity represents a material dilutive issuance event, as it creates the mechanism for future equity sales that could dilute existing shareholders. The $1 billion offering capacity is material to a REIT of this size.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 3.02
The Company completed a private placement of 386,500 units at $10.00 per unit ($3.865 million gross proceeds) to the sponsor Pelican II Capital Solutions Limited and EarlyBirdCapital, Inc., pursuant to Section 4(a)(2) exemption, concurrent with the IPO closing.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-31
Item 3.02
The Fund completed an unregistered private placement of limited partnership units totaling approximately $17.85 million to third-party investors on July 1, 2026, structured across multiple unit classes and series, exempt from Securities Act registration under Section 4(a)(2) and Regulation D.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-30
Item 7.01
Sky Quarry disclosed completion of an at-the-market (ATM) equity offering program under which it issued approximately 4.4 million shares of common stock and raised approximately $13.5 million in net proceeds between April and June 2026. The disclosure details the sales agreement with Cantor Fitzgerald and the subsequent amended agreement with Muriel Siebert & Co., and specifies the number of shares sold and proceeds generated under each arrangement. This is a material dilutive issuance of equity securities that would affect a reasonable investor's assessment of ownership dilution and the company's capital structure.
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8-K
Dilutive issuance
confidence 94%
filed 2026-07-30
Item 1.01
NanoViricides completed a registered direct offering on July 27, 2026, selling 2,416,339 shares of common stock at $1.53 per share, pre-funded warrants, and common warrants to purchase 2,516,339 additional shares for approximately $3.8 million in gross proceeds. The offering was announced on July 24, 2026, pursuant to an effective Form S-3 shelf registration statement and includes a 60-day lock-up on further issuances.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-30
Item 3.02
The Company issued unregistered Common Stock pursuant to the Letter Agreement, relying on Section 4(a)(2) exemption from Securities Act registration. The shares are subject to restrictive legends and represent a material dilutive issuance affecting the Company's capital structure and ownership.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-30
Item 8.01
Yarrow Bioscience entered into an exchange agreement on July 29, 2026, whereby an existing stockholder exchanged 133,290 shares of common stock for pre-funded warrants to purchase 133,290 shares at $0.0001 per share. The transaction results in the issuance of unregistered securities (pre-funded warrants) relying on Section 3(a)(9) exemption, and materially increases dilution: post-exchange, the company will have 2,669,788 shares outstanding but pre-funded warrants to purchase 25,914,530 additional shares. This is a classic dilutive issuance that would materially affect a reasonable investor's assessment of ownership and voting power.
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6-K
Dilutive issuance
confidence 85%
filed 2026-07-30
EX-99.1
NetClass Technology Inc agreed to grant 320,000 Class A ordinary shares to China Outdoor Media Development Limited as consideration for outdoor advertising services, with issuance expected by end of July 2026. This unregistered equity issuance is material to existing shareholders' ownership and voting interests.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-30
EX-99.1
This press release announces the pricing of an underwritten public offering of 1,491,305 common shares at US$4.00 per share for gross proceeds of US$6.0 million, with an additional over-allotment option for 223,695 shares. This is a registered equity issuance that will dilute existing shareholders' ownership and is material to investors assessing the company's capital structure and financing activities.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-30
The 6-K discloses the closing of a registered direct offering of 66,666,667 ordinary shares for approximately $30 million gross proceeds on July 29, 2026. This is a material equity issuance that dilutes existing shareholders and raises capital for the company's commercialization efforts. The offering was conducted pursuant to an effective Form F-3 registration statement, making it a registered (not unregistered) offering, but it remains a material capital-raising event that would affect a reasonable investor's assessment of ownership dilution and the company's financial position.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-30
Item 3.02
The Company sold 113,268.541 Class I common shares for approximately $2.3 million in an unregistered offering exempt under Section 4(a)(2) and Regulation D/S, representing a material capital raise that increases share count and dilutes existing shareholders.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-30
Item 8.01
The Company is conducting a continuous private placement of Common Shares under Section 4(a)(2) and Regulation D, with approximately $1.1 million in subscriptions received on July 1, 2026, and an intent to continue monthly offerings at NAV.
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8-K
Dilutive issuance
confidence 85%
filed 2026-07-30
Item 8.01
The Company is conducting a continuous private placement of Common Shares under Section 4(a)(2) and Regulation D, with approximately $7.1 million in subscriptions received on July 1, 2026, and an intention to continue selling shares monthly at NAV.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-30
The 6-K discloses a private placement of units consisting of Class A ordinary shares and warrants for aggregate gross proceeds of approximately US$10 million, entered into on July 29, 2026. This is an unregistered equity issuance with dilutive characteristics (warrants exercisable at US$4.40 per share), fitting the definition of a dilutive_issuance. The materiality is clear given the size of the offering and the warrant component that creates future dilution.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-30
Item 3.02
Game Your Game Inc. completed the second closing of an unregistered sale of 8,000 shares of Series A convertible preferred stock to Streeterville Capital for $8,000,000 under Section 4(a)(2) and Regulation D Rule 506(b). The preferred shares are convertible into common stock at $8.00 per share and carry seniority over common stock with covenants restricting company actions without Required Holder consent, materially subordinating existing shareholders' rights and creating significant dilution.
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8-K
Dilutive issuance
confidence 94%
filed 2026-07-30
Item 3.02
LogicMark entered into a Securities Purchase Agreement on July 28, 2026 to sell 250,000 shares of Series J Convertible Preferred Stock at $1.00 per share in a private placement closed July 30, 2026. The Series J Preferred Shares are convertible into common stock at a conversion price equal to 50% of the lowest traded price during the 30 trading days prior to conversion notice, creating significant dilution potential for existing shareholders.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-30
Item 3.02
Partners Group Lending Fund, LLC issued 131,244 Class M units for $196,013 pursuant to Section 4(a)(2) and Regulation D exemptions to accredited investors, representing an unregistered equity issuance that dilutes existing unitholders.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-30
EX-99.1
Anfield Energy announces the pricing of an underwritten public offering of 1,491,305 common shares at US$4.00 per share for aggregate gross proceeds of US$6.0 million, with an over-allotment option for an additional 223,695 shares. This is a registered public offering of equity securities that will dilute existing shareholders' ownership and is material to investors assessing the company's capital structure and financing activities.
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8-K
Dilutive issuance
confidence 75%
filed 2026-07-30
The filing discloses entry into a $1,000,000 convertible promissory note with Investments AKA, LLC (owned by Andre Agassi, the company's largest beneficial stockholder) under Item 1.01 and Item 3.02. The note will automatically convert into equity securities upon a future equity financing of at least $3,000,000, and the securities were issued without registration under Section 4(a)(2) and Rule 506(b). This is a dilutive unregistered equity issuance that raises capital and creates future dilution upon conversion, fitting the dilutive_issuance category.
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8-K
Dilutive issuance
confidence 95%
filed 2026-07-30
Item 3.02
The Company sold approximately 1,612,698 units of LLC interests for $31.7 million pursuant to subscription agreements and drawdown notices, with the issuance exempt from Securities Act registration under Section 4(a)(2) and Regulation D.
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6-K
Dilutive issuance
confidence 91%
filed 2026-07-30
EX-99.1
Bitzero Holdings Inc. closed a US$25 million private placement of 5,828,342 special warrants at US$4.25 per warrant under Section 4(a)(2) of the Securities Act and Regulation D. The special warrants automatically convert into common shares and additional warrants, with warrant holders entitled to acquire common shares at US$5.00 per share for five years. The proceeds are intended for debt repayment, product development, acquisitions, and working capital.
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6-K
Dilutive issuance
confidence 95%
filed 2026-07-29
EX-99.1
Bitzero announced a private placement of 5,828,342 special warrants at US$4.25 per warrant for aggregate gross proceeds of approximately US$25 million. Each special warrant automatically converts into one common share and one common share purchase warrant, creating significant dilution to existing shareholders. The securities are being offered under Section 4(a)(2) of the U.S. Securities Act and Rule 506(b) of Regulation D as an unregistered private placement, which is the hallmark of a dilutive issuance.
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6-K
Dilutive issuance
confidence 92%
filed 2026-07-29
EX-99.1
Liberty Defense issued 23,306 common shares at $4.55 per share to settle CAD$117,000 of indebtedness with a service provider. This is an unregistered equity issuance (shares subject to a four-month statutory hold period and explicitly noted as not registered under the U.S. Securities Act of 1933) that dilutes existing shareholders. The transaction converts debt to equity, which is material to investors assessing capital structure and ownership dilution.
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8-K
Dilutive issuance
confidence 92%
filed 2026-07-29
Item 3.02
BNB Plus Corp. issued 200,000 shares of Series B-1 Convertible Preferred Stock in an unregistered private placement relying on Section 4(a)(2) of the Securities Act as part of the settlement with Cypress parties.
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