Filings Radar

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.

Beneficient (BENFW)

8-K Dilutive issuance confidence 92% filed 2026-07-13

The filing discloses an unregistered sale of equity securities under Item 3.02: Beneficient issued 744,455 shares of Series B-11 Resettable Convertible Preferred Stock (convertible into up to 4,077,642 shares of Class A Common Stock) in exchange for a $7.44 million limited partner interest in an investment fund. The issuance was made in reliance on Section 4(a)(2) and Regulation D exemptions, and the press release notes that stockholder approval will be sought for issuances exceeding Nasdaq's Exchange Cap, indicating material dilution concerns typical of dilutive private placements.

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DATA I/O CORP (DAIO)

8-K Dilutive issuance confidence 85% filed 2026-07-13 Item 2.04

Shareholders approved authorization for the Company to issue 20% or more of outstanding common stock at prices below NASDAQ minimum, and automatic conversion of convertible debentures totaling $6,825,400 principal plus interest into 6,841.33 shares of Series B Convertible Preferred Stock was triggered, materially affecting ownership structure and voting power.

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Future Vision II Acquisition Corp. (FVNNR)

8-K Dilutive issuance confidence 75% filed 2026-07-13 Item 3.02

Future Vision II Acquisition Corp. disclosed an unregistered sale of equity securities in the form of Units issuable upon conversion of a promissory note held by the Sponsor, subject to transfer restrictions until completion of the business combination and carrying registration rights.

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AIR T INC (AIRTP)

8-K Dilutive issuance confidence 90% filed 2026-07-10 Item 1.01

Air T, Inc. entered into an At the Market Offering Agreement with Ascendiant Capital Markets to offer and sell up to $8,000,000 of common stock under a registered shelf registration statement (Form S-3). The company filed a prospectus supplement to facilitate the ATM offering, which constitutes a material dilutive equity issuance.

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Freedom Holding Corp. (FRHC)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 3.02

Freedom Holding Corp. completed an unregistered sale of 2,374,356 shares of common stock for approximately US$300 million pursuant to Regulation S, an offshore exemption from Securities Act registration. This dilutive equity issuance raises substantial capital outside the U.S. market and is material to investors assessing ownership dilution and capital structure.

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Traws Pharma, Inc. (TRAW)

8-K Dilutive issuance confidence 92% filed 2026-07-10 Item 8.01

The filing discloses an At The Market (ATM) offering agreement entered into on March 10, 2025, under which Traws Pharma may offer and sell up to $5,575,709 of common stock shares through Citizens JMP Securities pursuant to an effective Form S-3 shelf registration and prospectus supplement dated July 10, 2026. This is a classic dilutive equity issuance that would materially affect existing shareholders through potential dilution and is a key capital-raising mechanism commonly disclosed under Item 8.01 or Item 3.02.

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Columbus Circle Capital Corp III

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 3.02

Simultaneously with the IPO closing, the Sponsor and Representatives purchased 665,000 units (consisting of Class A ordinary shares and warrants) for $6.65 million in an unregistered private placement exempt from registration under Section 4(a)(2) of the Securities Act. This transaction represents significant dilution to public shareholders in the newly public blank-check company.

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Cue Biopharma, Inc. (CUE)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 1.01

Cue Biopharma entered into a Securities Purchase Agreement on July 9, 2026, to issue 1,418,071 shares of common stock at $33.21 per share and pre-funded warrants to purchase 87,500 additional shares in a private placement, raising approximately $50.0 million from accredited investors including Cormorant Asset Management and Columbia Threadneedle Investments under Section 4(a)(2) and Rule 506 exemptions.

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La Rosa Holdings Corp. (LRHC)

8-K Dilutive issuance confidence 93% filed 2026-07-10 Item 1.01

La Rosa Holdings entered into a Securities Purchase Agreement on July 10, 2026, to issue 250 shares of Series E Convertible Preferred Stock at $1,000 per share to an institutional investor under Rule 506(b) of Regulation D. The Series E Preferred Stock carries conversion rights into common stock at a conversion price of $1.58 per share with anti-dilution provisions, materially affecting existing shareholders through conversion and dilution mechanics.

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CYABRA, INC. (CYAB)

8-K Dilutive issuance confidence 94% filed 2026-07-10 Item 1.01

Cyabra completed a $6.0 million private placement on July 9, 2026, issuing 1,175,090 common shares, pre-funded warrants to purchase 12,643,680 shares, and Series A and B warrants to purchase 13,818,770 shares each, together with conversion of 35.6 million preferred shares into common stock equivalents and exchange of $10.66 million in Series C preferred stock for private placement securities. The transaction substantially dilutes existing shareholders through unregistered equity issuance under Section 4(a)(2) and Regulation D, with significant warrant overhang representing a material capital structure adjustment.

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Brenmiller Energy Ltd. (BNRG)

6-K Dilutive issuance confidence 92% filed 2026-07-10

The 6-K discloses a $1 million unregistered securities issuance under Section 4(a)(2) and Regulation D Rule 506(b), consisting of 1,000 convertible preferred shares and 1,089,918 ordinary warrants. This is a dilutive private placement to a single investor (Alpha Capital Anstalt) that will increase outstanding share count and dilute existing shareholders upon conversion and warrant exercise. The filing explicitly notes anti-dilution adjustments affecting previously issued preferred shares, indicating material capital structure impact.

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VisionSys AI Inc (VSA)

6-K Dilutive issuance confidence 95% filed 2026-07-10 EX-99.1

This exhibit is a Securities Purchase Agreement dated July 10, 2026, under which VisionSys AI Inc is offering up to $91,750,000 of Ordinary Shares (represented by ADSs) at USD 0.000734 per share to multiple purchasers. The agreement explicitly relies on Section 4(a)(2) of the Securities Act and Regulation S exemptions from registration, indicating an unregistered private placement. This is a material dilutive issuance of equity securities to raise capital outside the registered public market.

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Helport AI Ltd (HPAIW)

6-K Dilutive issuance confidence 95% filed 2026-07-10

Helport AI entered into an at-the-market (ATM) sales agreement with Lake Street Capital Markets on July 10, 2026, permitting the company to offer and sell up to $9,550,000 of ordinary shares. This is a dilutive equity issuance under Rule 415(a)(4) of the Securities Act, structured as an ATM offering. The agreement grants the sales agent a 3.0% commission and customary indemnification rights, and the shares are registered under Form F-3 (Registration Number 333-294622). Such capital-raising activities are material to investors assessing the registrant's financing strategy and potential shareholder dilution.

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Peraso Inc. (PRSO)

8-K Dilutive issuance confidence 85% filed 2026-07-10 Item 1.01

The filing discloses entry into a letter agreement modifying a Common Stock Purchase Agreement with Roth Principal Investments dated June 30, 2026. The adjustment of the purchase price discount to 5.0% of VWAP for pre- and post-market purchases indicates a private equity investment involving issuance of common stock at a discount to market price. This is a classic dilutive issuance structure typical of PIPE or equity financing arrangements, material to investors assessing capital structure and shareholder dilution.

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Viking Acquisition Corp. II

8-K Dilutive issuance confidence 75% filed 2026-07-10

The filing discloses the consummation of Viking Acquisition Corp. II's initial public offering on July 6, 2026, involving the issuance of 23,000,000 units at $10.00 per unit ($230 million gross proceeds) and 610,000 private placement units ($6.1 million gross proceeds). While this is technically an IPO rather than a private placement, the core event is the creation of new equity securities (units, ordinary shares, and warrants) that dilute existing shareholders. The private placement component (610,000 units to the Sponsor and underwriter Cohen) is explicitly unregistered under Section 4(a)(2) of the Securities Act, fitting the dilutive_issuance category. The IPO itself, though registered, represents a material capital-raising event through equity issuance.

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Silo Pharma, Inc. (SILO)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 1.01

Silo Pharma entered into securities purchase agreements on July 9, 2026, for a private placement of 619,965 shares of common stock (or pre-funded warrants), Series A-3 and A-4 warrants, raising approximately $4 million upfront with potential additional proceeds of ~$7.7 million upon warrant exercise. The unregistered securities were issued under Section 4(a)(2) and Regulation D exemptions, with a registration rights agreement for resale.

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Edible Garden AG Inc (EDBLW)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 3.02

The Company exchanged 1,134 shares of Series B Preferred Stock (aggregate stated value $1,134,000) for 8,203,075 shares of common stock in unregistered transactions with Streeterville Capital, LLC on July 8-9, 2026, conducted under Section 3(a)(9) exemption. This is a classic dilutive equity issuance that materially increases common share count and would significantly affect a reasonable investor's assessment of ownership dilution and capital structure.

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JONES SODA CO. (JSDA)

8-K Dilutive issuance confidence 95% filed 2026-07-10

Jones Soda issued 7.5 million units at $0.33 per unit for $2.5 million in aggregate gross proceeds, with each unit comprising one common share and one-half warrant. The filing explicitly discloses this under Item 1.01 (Entry into a Material Definitive Agreement) and Item 3.02 (Unregistered Sales of Equity Securities), and the units were sold to accredited investors under Rule 506(b) and to non-U.S. persons under Regulation S—classic private placement mechanics. The company also announced a concurrent non-brokered offering of up to 2.3 million additional units for $765,000. This is a dilutive equity issuance raising capital through unregistered securities.

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Avricore Health Inc. (AVCRF)

6-K Dilutive issuance confidence 75% filed 2026-07-10 EX-99.6

This exhibit is Form 45-106F1, a Canadian "Report of Exempt Distribution" template used to disclose private placements and exempt offerings of securities. The form's structure and instructions indicate it is filed to report distributions of securities (shares, notes, warrants, etc.) made under exemptions from prospectus requirements in Canadian securities law. While the exhibit shown is the blank form template rather than a completed report with specific transaction details, its presence as an exhibit to a 6-K filing by Avricore Health indicates the company has conducted or is reporting an exempt distribution—a dilutive issuance of equity or debt securities outside registered public offerings. This is material to investors as it affects share dilution and capital structure.

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AMASS BRANDS (AMSS)

8-K Dilutive issuance confidence 75% filed 2026-07-10 Item 1.01

The Warrant Amendment materially reduces the exercise price from $16.00 to $1.50 per share for a 30-day period, creating a significant dilutive incentive for the investor to exercise and acquire common stock at a substantially discounted price. This amendment to an existing warrant arrangement effectively facilitates a dilutive equity issuance, as the reduced exercise price makes exercise highly attractive and increases the likelihood of share dilution to existing shareholders.

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Ocean Thermal Energy Corp (CPWR)

8-K Dilutive issuance confidence 88% filed 2026-07-10 Item 3.02

Ocean Thermal Energy Corp. authorized and issued Series E Preferred Stock, a convertible security, to raise capital. Two shares were sold to private investors for $20,000 in aggregate under Section 4(a)(2) and Regulation D exemptions, with authorization for up to 150 shares totaling $1.5 million. The preferred shares are convertible into common stock upon specified triggering events, materially diluting existing shareholders' ownership.

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SPLASH BEVERAGE GROUP, INC. (SBEVW)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 3.02

The filing discloses an unregistered sale of 9,232,047 shares of common stock pursuant to a Securities Purchase Agreement with C/M Capital Master Fund, LP, generating $1,265,063 in gross proceeds. The transaction was conducted under Section 4(a)(2) and Rule 506(b) exemptions, with the purchaser's resales subsequently registered on Form S-1. This is a classic dilutive equity issuance that would materially affect a reasonable investor's assessment of share ownership and capital structure.

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Origin Materials, Inc. (ORGNW)

8-K Dilutive issuance confidence 85% filed 2026-07-10 Item 3.02

Origin Materials issued one share of Series A Junior Preferred Stock to General Counsel Joshua Lee for $0.01 per share in an unregistered transaction. The issuance represents a material capital structure change, particularly given the Company's prior announcement of a Plan of Dissolution, and the preferred stock carries liquidation preferences senior to common stock.

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Vivakor, Inc. (VIVK)

8-K Dilutive issuance confidence 95% filed 2026-07-10 Item 3.02

Vivakor issued 3,740,586 shares of restricted common stock to Series A Preferred Stock holders as a dividend payment, including 1,445,349 shares to entities controlled by the CEO. The unregistered issuance is exempt under Section 4(a)(2) and materially dilutes existing shareholders.

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THUNDER MOUNTAIN GOLD INC (THMG)

8-K Dilutive issuance confidence 90% filed 2026-07-09 Item 8.01

Thunder Mountain Gold announced a non-brokered private placement of up to 9,143,000 units (each comprising one common share and one-half warrant) at US$0.70 per unit, raising approximately US$6.4 million in gross proceeds under Regulation D, together with a concurrent debt-for-equity settlement involving issuance of 1,578,036 common shares at the same price to settle US$1.1 million in outstanding compensation and debt including a related-party transaction with the CEO.

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Rivian Automotive, Inc. / DE (RIVN)

8-K Dilutive issuance confidence 95% filed 2026-07-09 Item 8.01

Rivian entered into an underwriting agreement on July 7, 2026 to issue 75 million shares of Class A common stock at $15.50 per share, with underwriters exercising a full 11.25 million share overallotment option on July 8, 2026. The offering generated approximately $1.32 billion in net proceeds for general corporate purposes and DOE loan facility equity contributions. This is a material registered public offering of equity securities that dilutes existing shareholders and raises substantial capital.

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FUELCELL ENERGY INC (FCELB)

8-K Dilutive issuance confidence 95% filed 2026-07-09 Item 7.01

FuelCell Energy announced an underwritten public offering of 10,714,286 shares of common stock at $21.00 per share, generating gross proceeds of $225 million. This is a registered direct equity issuance that dilutes existing shareholders. The company intends to use proceeds for capital expenditures, working capital, and general corporate purposes. The magnitude ($225 million) and dilutive nature of the offering make it material to investors assessing the registrant's capital structure and ownership.

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Baosheng Media Group Holdings Ltd (BAOS)

6-K Dilutive issuance confidence 95% filed 2026-07-09

The Company entered into a subscription agreement on July 9, 2026 to issue 1,280,000 ordinary shares at $0.52 per share for $665,600 to an existing shareholder (ANRUITAI INVESTMENT LIMITED). The shares are being issued in an unregistered offshore transaction under Regulation S, which is a classic private placement (PIPE). This dilutive issuance is material as it increases outstanding shares from approximately 31.8 million to 33.1 million and raises capital for the registrant.

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IPERIONX Ltd (IPX)

6-K Dilutive issuance confidence 95% filed 2026-07-09 EX-99.1

IperionX announced the pricing of a public offering of 2,275,000 ADSs (representing 22,750,000 ordinary shares) at $21.98 per ADS for approximately $50 million in gross proceeds. This is a registered public offering of equity securities that will dilute existing shareholders. The disclosure explicitly states the offering is being made pursuant to a shelf registration statement on Form F-3, making this a registered dilutive issuance material to investors assessing ownership and capital structure.

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Inventiva S.A. (IVEVF)

6-K Dilutive issuance confidence 92% filed 2026-07-09 EX-99.1

The press release announces the issuance of approximately 15.7 million new warrants (New EIB Warrants) to the European Investment Bank at €0.01 per warrant, representing approximately 6.5% of the Company's current share capital on a non-diluted basis. This is a dilutive equity issuance that would materially affect shareholder ownership and voting rights. The transaction is part of a broader refinancing and capital structure optimization, and the warrants are exercisable from August 30, 2026 through January 4, 2036, creating future dilution potential.

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NOVONIX Ltd (NVNXF)

6-K Dilutive issuance confidence 85% filed 2026-07-09 EX-99.1

This announcement discloses a Share Purchase Plan (SPP) — an equity offering to shareholders — with an updated timetable following ASX waiver approvals. SPPs are a form of direct equity issuance that dilutes existing shareholders. The announcement confirms the Company has received waivers from ASX Listing Rules 7.1 and 10.11 and provides revised closing and allotment dates, indicating a material capital-raising activity that would affect investor assessment of share dilution and capital structure.

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Primech Holdings Ltd (PMEC)

6-K Dilutive issuance confidence 75% filed 2026-07-09 EX-99.1

The Company amended a securities purchase agreement and convertible promissory note with Welle Environmental, revising anti-dilution provisions to establish a US$1.30 per-share floor price for equity and convertible securities issuances, with limited exceptions. This amendment reflects negotiation of dilution protections for the investor and indicates an underlying dilutive equity or convertible issuance transaction that materially affects shareholder interests.

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Freedom Metals Acquisition Corp. (FDMM)

8-K Dilutive issuance confidence 85% filed 2026-07-09 Item 1.01

Freedom Metals Acquisition Corp. consummated its initial public offering on July 9, 2026, issuing 27,500,000 units at $10.00 per unit for gross proceeds of $275 million, together with a concurrent private placement of 825,000 units to the Sponsor, Cohen, and CS at the same price for $8.25 million in gross proceeds.

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Osprey Acquisition Corp. III

8-K Dilutive issuance confidence 85% filed 2026-07-09 Item 8.01

Osprey Acquisition Corp. III consummated an initial public offering of 30,015,000 units at $10.00 per unit on July 2, 2026, generating $300,150,000 in gross proceeds, plus a simultaneous private placement of 747,000 units for $7,470,000. This is a material capital-raising event involving the issuance of equity securities (Class A ordinary shares and warrants) to public and private investors. While this is technically a SPAC IPO rather than a traditional dilutive issuance to existing shareholders, the event represents a substantial unregistered or newly-registered equity issuance that materially affects the company's capitalization and is reportable under Item 8.01.

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Intercont (Cayman) Ltd (NCT)

6-K Dilutive issuance confidence 95% filed 2026-07-09 EX-99.1

This press release announces the pricing of a public offering of 8,000,000 units at $0.79 per unit, generating approximately $6.32 million in gross proceeds. Each unit comprises one Class A ordinary share and one warrant, representing a dilutive equity issuance. The offering is registered on Form F-1 and is material to investors as it significantly increases share count and dilutes existing shareholders.

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Dreamland Ltd (TDIC)

6-K Dilutive issuance confidence 95% filed 2026-07-09

Dreamland Limited entered into a securities purchase agreement on July 7, 2026, to issue 580,000 Class A ordinary shares and 72,000 Class B ordinary shares to Ms. Seto Wai Yue (a director and CEO) for US$2,445,000 in aggregate gross proceeds. The shares are unregistered and issued in reliance on Regulation S as an offshore transaction to a non-U.S. person. This is a classic private placement of equity securities by a foreign private issuer, materially dilutive to existing shareholders and raising capital through an unregistered issuance.

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Newton Golf Company, Inc. (NWTG)

8-K Dilutive issuance confidence 85% filed 2026-07-09

Newton Golf Company exchanged approximately $2.3 million of existing convertible promissory notes for 24,092.61 shares of newly designated Series A Convertible Preferred Stock on July 6, 2026. The Series A Preferred Stock is convertible into Common Stock at $1.00 per share, with forced conversion rights if the stock price reaches $3.00 for 10 consecutive trading days. This represents a dilutive equity issuance that increases the company's share count and potential dilution to existing shareholders, characteristic of a debt-for-equity exchange that raises no new cash but restructures existing obligations into equity form.

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Crypto Co (CRCW)

8-K Dilutive issuance confidence 95% filed 2026-07-09

The filing discloses an unregistered private placement of 8,000,000 shares of common stock to Sinco International Investments, Inc. for $25,000 cash under Section 4(a)(2) and Rule 506(b), explicitly covered under Item 3.02 (Unregistered Sales of Equity Securities). This represents a highly dilutive issuance at a minimal valuation ($0.003125 per share), which would materially affect shareholder equity and voting power.

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Netcapital Inc. (NCPLW)

8-K Dilutive issuance confidence 95% filed 2026-07-09

The filing discloses an Equity Purchase Agreement with Hudson Global Ventures, LLC granting the investor the right to purchase up to $15,000,000 of common stock through put notices, plus a warrant to purchase 1,000,000 shares at $0.50 per share. Item 3.02 explicitly confirms unregistered sales of equity securities under Section 4(a)(2) and Regulation D. This is a classic dilutive private placement with a PIPE-like structure, material to investors assessing capital structure and ownership dilution.

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Bone Biologics Corp (BBLGW)

8-K Dilutive issuance confidence 95% filed 2026-07-09 Item 1.01

Bone Biologics priced a private offering on July 7, 2026, selling pre-funded warrants and Series F and G warrants to purchase 2,112,677 shares of common stock at a combined purchase price of $1.419 per unit, generating approximately $2.7 million in net proceeds with potential additional gross proceeds of approximately $6 million upon full exercise of the warrants. The securities were issued without registration under Section 4(a)(2) of the Securities Act as a private placement to an accredited investor.

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Rackspace Technology, Inc. (RXT)

8-K Dilutive issuance confidence 85% filed 2026-07-09 Item 1.01

Rackspace entered into an at-the-market (ATM) equity distribution agreement with Goldman Sachs on July 9, 2026, authorizing the sale of up to $250 million in common stock to accelerate Enterprise AI Growth and fund the company's next phase of growth.

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Innovative Eyewear Inc (LUCYW)

8-K Dilutive issuance confidence 92% filed 2026-07-09 Item 3.02

Innovative Eyewear entered into an inducement letter agreement whereby existing warrant holders exercised 2,200,544 warrants at a reduced price ($1.35 vs. original $2.60), generating approximately $3.0 million in gross proceeds. In consideration, the Company issued 6,601,632 new unregistered Series J warrants in a private placement, representing a classic dilutive warrant-for-warrant exchange with potential additional proceeds of ~$7.25 million if fully exercised and creating significant dilution to existing shareholders.

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Nauticus Robotics, Inc. (KITTW)

8-K Dilutive issuance confidence 75% filed 2026-07-09 Item 5.03

Nauticus Robotics implemented a Securities Purchase Agreement from February 6, 2026, issuing 50,000 shares of Series D Convertible Preferred Stock and common stock purchase warrants to Master Investment Group. The Series D Preferred Stock carries conversion rights into common stock, cumulative 10% dividends, and liquidation preferences, materially diluting existing shareholders' ownership percentages and voting power upon conversion.

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Blaize Holdings, Inc. (BZAIW)

8-K Dilutive issuance confidence 95% filed 2026-07-09 Item 3.02

Blaize Holdings agreed to issue 2,000,000 shares of common stock to Bess Ventures as consideration for a settlement agreement, relying on Section 4(a)(2) and Regulation D Rule 506(b) exemptions for the unregistered private placement. This substantial equity issuance is dilutive to existing shareholders and material to the company's capital structure.

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Brookfield Private Equity Fund LP

8-K Dilutive issuance confidence 95% filed 2026-07-08 Item 3.02

Brookfield Private Equity Fund LP sold approximately $4.5 million in unregistered limited partnership units (Class S and Class I) on June 1, 2026, pursuant to a continuous private offering exempt under Section 4(a)(2) and Regulation D, diluting existing unitholders' ownership interests.

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908 Devices Inc. (MASS)

8-K Dilutive issuance confidence 75% filed 2026-07-08 Item 8.01

908 Devices issued 3,213,583 shares of common stock on July 8, 2026, in satisfaction of earnout consideration obligations under the RedWave acquisition agreement dated April 29, 2024. While this is technically a contingent issuance tied to revenue performance rather than a traditional private placement, it represents a material dilutive equity issuance that would affect shareholder ownership and is disclosed under Item 8.01 as a material event. The issuance satisfies the company's full earnout obligation and represents approximately 3.2 million shares issued to acquisition sellers.

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Ares Acquisition Corp III

8-K Dilutive issuance confidence 75% filed 2026-07-08 Item 8.01

Ares Acquisition Corp III completed an IPO on July 1, 2026, issuing 39.5 million units at $10.00 per unit (generating $395 million in gross proceeds) and simultaneously completed a private placement of 7.47 million warrants to the Sponsor for $11.2 million. While this is technically a public offering rather than a private placement, the concurrent private placement of warrants to the Sponsor at a discounted price ($1.50 per warrant vs. $1.00 implied in the public units) represents dilutive equity issuance activity material to investors assessing the company's capital structure and shareholder dilution.

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Goldman Sachs Real Estate Finance Trust Inc

8-K Dilutive issuance confidence 95% filed 2026-07-08 Item 3.02

Goldman Sachs Real Estate Finance Trust Inc completed an unregistered private offering of Class I and Class S common stock, raising approximately $30.8 million in aggregate consideration from accredited investors pursuant to Section 4(a)(2) and Regulation D exemptions.

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NOVONIX Ltd (NVNXF)

6-K Dilutive issuance confidence 92% filed 2026-07-08 EX-99.1

NOVONIX announced ASX approval of a Share Purchase Plan (SPP) permitting issuance of new shares to eligible shareholders at $0.16 per share, representing a 31.2% discount to the 5-day VWAP. The announcement discloses the mechanics of an equity issuance at a material discount without shareholder approval (via ASX waivers), with expected dilution of approximately 2.17% and a cap of 30% of outstanding shares. This is a dilutive equity issuance comparable to a private placement or PIPE structure.

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FORTRESS CREDIT REALTY INCOME TRUST

8-K Dilutive issuance confidence 95% filed 2026-07-08 Item 3.02

Fortress Credit Realty Income Trust completed an unregistered sale of 644,560 common shares across multiple share classes for approximately $12.9 million in gross proceeds, conducted pursuant to Section 4(a)(2), Regulation D, and/or Regulation S exemptions.

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