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.
PIMCO Asset-Based Lending Co LLC completed an unregistered sale of LLC interests totaling approximately $52.5 million across multiple share classes to third-party investors on July 1, 2026, exempt under Section 4(a)(2) and Regulations D and S. This dilutive issuance materially affects existing shareholders' ownership percentages.
View raw filing on EDGAR →The Company filed a prospectus supplement on August 3, 2026 under its at-the-market (ATM) offering program with Cantor Fitzgerald, authorizing the offer and sale of up to $200,000,000 of common stock. This is a dilutive equity issuance under an ATM facility, which is material to investors as it signals potential capital raising and shareholder dilution. The filing of the prospectus supplement activates the offering authority and represents a material capital markets event.
View raw filing on EDGAR →Obsidian Therapeutics completed an unregistered private placement of $350 million in equity securities concurrent with the merger closing, with investors including Balyasny Asset Management, Caligan Partners, and Eventide Asset Management acquiring approximately 47.2% of the combined company's outstanding common stock.
View raw filing on EDGAR →Jersey Mike's completed an IPO on July 31, 2026, issuing 43,478,261 shares of Class A Common Stock at $21.85 per share, raising approximately $950 million gross, with $301 million of net proceeds used to retire debt.
View raw filing on EDGAR →Park Ha Biological Technology entered into a securities purchase agreement on August 3, 2026, to issue 10,000,000 Class A ordinary shares plus warrants to purchase 2,000,000 additional shares to non-U.S. investors for approximately US$1.8 million in gross proceeds. The securities were offered and sold in offshore transactions in reliance on Regulation S, a classic private placement structure. This is a dilutive equity issuance that raises capital and increases share count materially.
View raw filing on EDGAR →This is an ASX application for quotation of 408,839,531 ordinary fully paid shares issued on 3 August 2026 as Tranche 1 of an Australian placement at AUD 0.015 per share. The document references a prior Appendix 3B announcement dated 24 July 2026 describing a "Proposed issue of securities" placement. This represents a material dilutive equity issuance raising approximately AUD 6.1 million, with additional tranches and warrants yet to be issued to complete the transaction, typical of a capital raise by a smaller biotech company.
View raw filing on EDGAR →La Rosa entered into a Securities Purchase Agreement on July 31, 2026, to issue 150 shares of Series E Convertible Preferred Stock at $1,000 per share for $150,000 in gross proceeds. This private placement of convertible preferred equity securities to an institutional investor is dilutive to existing shareholders.
View raw filing on EDGAR →Bluerock Acquisition Corp. disclosed unregistered sales of equity securities in connection with PIPE Investments, with $30 million of committed PIPE financing from institutional investors relying on Section 4(a)(2) and Regulation D exemptions as part of the merger transaction.
View raw filing on EDGAR →The filing discloses a reverse stock split (1-for-8) approved by shareholders and the Board, effective August 6, 2026. More significantly, it reveals concurrent dilutive issuances: a private placement of 10,000,000 Class A shares closed on August 3, 2026, and 2,400,000 Class A shares issued under the 2026 Share Incentive Plan (Form S-8 filed same date), plus up to 2,000,000 additional shares upon warrant exercise. These equity issuances, particularly the private placement and warrant dilution, are material capital events that would affect investor assessment of ownership and voting power.
View raw filing on EDGAR →U Power Limited entered into subscription agreements on August 3, 2026, to issue 9,756,100 Class A ordinary shares at $1.64 per share for aggregate proceeds of $16.0 million to four non-U.S. purchasers under Regulation S. This is an unregistered private placement of equity securities that dilutes existing shareholders and raises material capital for the company's hydrogen energy and data center initiatives in Thailand.
View raw filing on EDGAR →Churchill Capital Corp XIII completed a private placement of 350,000 units to the Sponsor at $10.00 per unit ($3.5 million gross proceeds) pursuant to Section 4(a)(2) exemption from registration, concurrent with the IPO closing.
View raw filing on EDGAR →The press release announces a private placement of 1,750,000 ADSs at $2.00 per ADS with accompanying Series E and Series F warrants, generating $3.5 million upfront with up to $7 million in potential additional proceeds. This is an unregistered equity issuance under Section 4(a)(2) and Regulation D, which is dilutive to existing shareholders and material to investor assessment of capital structure and ownership.
View raw filing on EDGAR →NewcelX disclosed entry into definitive securities purchase agreements on July 31, 2026, for a private placement of 347,134 common shares and common warrants at $4.033 per share, expected to raise $1.4 million in gross proceeds with potential additional $1.5 million from warrant exercise. The securities are being offered under Section 4(a)(2) and Regulation D Rule 506(b) exemptions to accredited investors, and the company committed to file a registration statement for resale within 45 days. This is a classic dilutive equity issuance material to investors assessing ownership and capital structure.
View raw filing on EDGAR →Alzamend Neuro entered into a Securities Purchase Agreement with Ault Lending to sell up to $25 million in Series D convertible preferred stock ($7.5 million closed initially) under Section 4(a)(2) exemption. The preferred shares are convertible into common stock at a conversion price subject to downward adjustment with anti-dilution provisions, resulting in substantial common stock dilution upon conversion, particularly given the 80% lookback conversion pricing mechanism.
View raw filing on EDGAR →The filing discloses a strategic equity investment by the U.S. Department of War of approximately US$35.6 million in Trilogy Metals, with a letter of intent signed in October 2025 remaining in effect. The press release explicitly includes a "U.S. Securities Act Disclaimer" stating the securities "have not been registered under the Securities Act of 1933" and are being offered in a transaction "not involving a public offering," which is characteristic of a private placement or unregistered equity issuance. This represents a material dilutive capital raise that would affect investor assessment of ownership and capitalization.
View raw filing on EDGAR →GameStop entered into privately negotiated exchange agreements to exchange approximately $1.4 billion in aggregate principal amount of convertible senior notes (2030 and 2032 Notes) for shares of Class A common stock in an unregistered private placement to accredited investors and qualified institutional buyers. The company will receive no cash proceeds, and the transaction materially dilutes existing shareholders' ownership percentages through the issuance of an unspecified number of shares.
View raw filing on EDGAR →Moleculin Biotech entered into a placement agency agreement with Roth Capital Partners for a public offering of 12.4 million shares of common stock (or pre-funded warrants) and 37.1 million common stock purchase warrants at $0.75 per share, raising approximately $9.3 million gross proceeds. This is a dilutive equity issuance that materially increases the share count and dilutes existing shareholders, with the company restricting future issuances for 45–180 days post-closing and insiders subject to 60-day lock-ups.
View raw filing on EDGAR →The filing discloses a non-brokered private placement of 33.4 million Series A-2 Preferred Shares, comprised of 20.8 million shares issued for US$5.2 million in new cash and 12.6 million shares issued in exchange for cancellation of Series A-1 shares. The unregistered securities were issued pursuant to exemptions from Securities Act registration requirements (Item 3.02), and the company has raised approximately US$14.5 million in aggregate gross proceeds across all closings. This is a classic dilutive equity issuance to raise capital.
View raw filing on EDGAR →The filing discloses an unregistered private placement of 5,474,053 shares of common stock to OPKO Health at $0.9134 per share for $5.0 million gross proceeds, exempt under Section 4(a)(2) and Regulation D. This is a classic dilutive equity issuance that would materially affect a reasonable investor's assessment of ownership dilution and capital structure, particularly given the significant share count increase and the involvement of a related party (Dr. Phillip Frost, who is co-founder and principal stockholder of Cocrystal).
View raw filing on EDGAR →The filing discloses a warrant inducement transaction in which Cycurion issued 5,012,159 unregistered New Warrants (representing 150% of exercised Existing Warrants) in a private placement to an accredited investor in exchange for the immediate exercise of existing warrants for $4.5 million in gross proceeds. This is a classic dilutive equity issuance under Item 1.01 and Item 3.02, involving unregistered securities sold in reliance on Section 4(a)(2) and Regulation D, which materially increases shareholder dilution.
View raw filing on EDGAR →The filing discloses recent sales of common stock under a previously disclosed at-the-market (ATM) offering, which triggered a downward adjustment of the exercise price of outstanding Series B Warrants from an unstated prior level to $1.2202. ATM offerings are a form of dilutive equity issuance commonly disclosed under Item 3.02, and the warrant repricing mechanism indicates material dilution to existing security holders. While the disclosure is brief and filed under Item 8.01, the substance is a dilutive equity capital raise.
View raw filing on EDGAR →The filing discloses an unregistered sale of equity securities under Item 3.02, specifically a private placement of preferred stock to accredited investors pursuant to Rule 506(b) of Regulation D. During the period July 15–August 2, 2026, the Company issued 175,129 shares of Series 2025 Preferred Stock for $1.73 million in aggregate proceeds, with 12.2 million shares outstanding as of the filing date. This is a classic dilutive issuance—a private placement raising capital through equity—and is material to investors assessing the Company's capital structure and ownership dilution.
View raw filing on EDGAR →ZJK Industrial entered into a sales agreement on August 3, 2026 with Chaince Securities to conduct an at-the-market (ATM) offering of up to $9,800,000 of Class A Ordinary Shares. This is a registered direct equity issuance that will dilute existing shareholders and raise capital for the company. ATM offerings are a form of dilutive equity issuance and are material to investors assessing the registrant's capital structure and shareholder value.
View raw filing on EDGAR →Sphere 3D entered into an Amended and Restated Sales Agreement with A.G.P. and Maxim Group LLC on July 31, 2026, to conduct at-the-market offerings of up to $10,300,000 in common shares. The company terminated its prior ATM offering agreement under which it had issued 2,172,789 common shares for approximately $5.1 million in gross proceeds.
View raw filing on EDGAR →The 6-K discloses issuance of a Senior Convertible Promissory Note in the principal amount of RMB 15,000,000 (approximately US$2,050,000) with conversion rights into ordinary shares at US$1.50 per share. This is a convertible debt instrument that creates dilutive equity issuance potential, structured as a private placement exempt from registration under the Securities Act of 1933. The conversion feature and equity dilution to existing shareholders make this a material dilutive issuance event.
View raw filing on EDGAR →Recon Technology announced a $100 million At-the-Market (ATM) equity offering program under which it may sell Class A ordinary shares to the public through Pacific Century Securities, LLC. ATM offerings are unregistered continuous equity issuances that are dilutive to existing shareholders. The $100 million size and explicit use of proceeds for working capital, capital expenditures, and potential acquisitions make this material to investors assessing capital structure and ownership dilution.
View raw filing on EDGAR →QUALCOMM issued 17,826,566 shares of common stock as consideration for the acquisition of Modular Inc in a private placement relying on Section 4(a)(2) of the Securities Act and Rule 506 of Regulation D. The filing of a prospectus supplement covering resale of these shares by selling stockholders signals a dilutive equity issuance. This is material as it represents a significant equity dilution to existing shareholders and relates to the previously announced Modular acquisition consideration.
View raw filing on EDGAR →Northwest Biotherapeutics entered into a $4.9 million convertible promissory note with Yorkville Advisors convertible at a discount to market price, plus a standby equity subscription agreement for up to $50 million of common shares and a warrant for $2 million of shares. These dilutive financing instruments materially affect shareholder ownership.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →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.
View raw filing on EDGAR →