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What covered companies filed with the SEC, day by day.
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Transglobal Management Group, Inc. · “On October 2, 2026, Transglobal Management Group, Inc. (the “Company”) entered into a Control Share Purchase Agreement (the “Purchase Agreement”) with Marc Angell and Jacquie Angell (collectively, the “Sellers”) and Third Life World, LLC, a Nevada limited liability company (“Buyer”).”¶1
OpenWorld, Inc. · “On October 2, 2026, OpenWorld, Inc. (the “Company”) dismissed MaloneBailey, LLP (“MaloneBailey”) as its independent registered public accounting firm.”¶1
Vireo Growth Inc. · “As described in Item 1.01, the Borrowers, each an indirect subsidiary of the Company, incurred a direct financial obligation under the Needham Loan in the aggregate principal amount of $60,000,000.”¶1
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Buyer acquired from Marc Angell all 200 outstanding Series A Preferred Stock shares for an aggregate purchase price of $140,000, representing 80% of the Company's aggregate voting power.¶1¶2
The transaction gave Buyer voting control and resulted in a change in control of the Company, with Buyer controlled by its managing member, Jorge Guinovart.¶2¶3
The Company issued eight shares of Series B Preferred Stock to the Sellers, convertible in the aggregate into Common Stock equal to 4% of outstanding Common Stock following conversion.¶4¶5¶6
The Purchase Agreement provides for Marc Angell's consulting fees of $5,000 per month for an initial three-month term and a one-time consulting bonus of $115,000.
The Company believes that in December 2020 a $9,000,000 transaction with Datassure was recorded as revenue and cash although the funds were held in a restricted escrow account, and the Global Gaming acquisition cost was overstated to $10,572,674 in June 2021.¶1¶2
The Company's previously filed annual financial statements for the years ended December 31, 2021 and December 31, 2022, and the quarterly statements for the first three quarters of 2022, should no longer be relied upon and will be restated by amendment.¶3
The Company will correct its annual financial statements for the years ended December 31, 2023, 2024 and 2025, along with the related quarterly statements, to reduce amortization expense and eliminate previously recorded impairment expense for Global Gaming.¶4¶5
Komissarov was sentenced on June 24, 2026 to three years in prison, while Clemenson and Dickinson pleaded guilty on May 22, 2025 and both await sentencing.¶6
On October 5, 2026, the Audit Committee approved the dismissal of WithumSmith+Brown, PC as the Company's independent registered public accounting firm, effective immediately.¶1¶2¶3
On October 5, 2026, the Audit Committee approved the engagement of MPB Global LLP as the Company's new registered public accounting firm for the fiscal year ending December 31, 2026, effective immediately.¶4
WithumSmith+Brown's report on the Company's fiscal 2025 consolidated financial statements contained no adverse opinion or disclaimer, and the filing reports no disagreements with WithumSmith+Brown, apart from material weaknesses in internal control disclosed in the 2025 Form 10-K.¶5¶6
The Company requested that WithumSmith+Brown furnish a letter stating whether it agrees with the statements in the report, and the letter dated October 8, 2026 is attached as Exhibit 16.1.¶7
On October 2, 2026, OpenWorld, Inc. dismissed MaloneBailey, LLP as its independent registered public accounting firm, with the decision approved by the Audit Committee of the Board of Directors.¶1
MaloneBailey's reports on the fiscal 2025 and 2024 consolidated financial statements contained no adverse opinion or disclaimer, and the filing reports no disagreements or reportable events.¶2¶3¶4
On October 2, 2026, the Audit Committee approved the engagement of RSM Cayman Ltd. as the independent registered public accounting firm for the fiscal year ending December 31, 2026.¶5
Werner Enterprises entered into a $1.1 billion unsecured credit facility on October 5, 2026, replacing its previous $1.075 billion unsecured credit facility dated December 20, 2022.¶1
On October 5, 2026, the Company borrowed $465 million at a weighted average interest rate of 5.54%, based on SOFR plus a margin of 1.50%, under the 2026 Credit Agreement, which matures October 5, 2031.¶1
The Company paid off and terminated the 2022 Credit Agreement, which had $428 million outstanding, using $431.7 million of borrowings under the 2026 Credit Agreement.¶2¶3
As of October 5, 2026, the Company's outstanding debt totaled $840 million, and its remaining borrowing capacity was $603.1 million.¶4
The Needham Loan refinanced the Seller Note, which was repaid in full, and IIP-NY is no longer a lender to NY PropCo.¶2¶3
The Borrowers paid the Lender a fully earned, non-refundable commitment fee of $900,000, equal to 1.50% of the $60,000,000 loan commitment.¶4
The Needham Loan is secured by mortgages on the Perth Property and the Palatka Property, with liens senior to the $41,000,000 original principal amount Second Lien Debt owed to Chicago Atlantic.¶5¶6¶7
John Mazarakis, a director and Chief Executive Officer of the Company, is a partner of an affiliate of the Second Lien Agent and recused himself from the board vote approving the Needham Loan.¶7
Effective October 6, 2026, the Company and Computershare Trust Company, N.A., as rights agent, entered into an Amendment to the Rights Agreement dated as of August 20, 2026.¶1¶2
The Amendment accelerated the expiration of the rights to the close of business on October 6, 2026, and all outstanding rights expired and the Rights Agreement terminated.¶2
No shares of Series A Junior Participating Preferred Stock were issued or outstanding when the Amendment was entered into.¶2
On October 7, 2026, the Company filed a Certificate of Elimination with the Secretary of State of Delaware eliminating the Preferred Shares and returning them to authorized but unissued and undesignated preferred stock.¶3
Shimmick Construction Company, Inc., a wholly-owned subsidiary of Shimmick Corporation, entered into a Loan and Security Agreement with Sixty-First Commercial Finance, LLC on October 2, 2026, providing a borrowing capacity of $14.3 million.¶1
The Promissory Note matures on October 2, 2031 and accrues interest at 9.31% per annum, with a default rate of the lesser of 15.0% per annum and the maximum allowable rate.¶2
The Borrower granted the lender a security interest in specified equipment and related collateral, and the Company and a wholly-owned subsidiary each entered into a guaranty agreement in favor of the lender.¶3¶4
On the Closing Date, the Company fully repaid all amounts outstanding under and terminated its loan agreement with Ansley Park Capital LLC dated March 12, 2025.¶5
The Company also amended its revolving credit facility with Alter Domus (US) LLC and its credit agreement with ACF FINCO I LP to replace references to the previous loan agreement with references to the new Loan Agreement.¶6
On October 7, 2026, X4 Pharmaceuticals and its subsidiary X4 Therapeutics entered into a Loan and Security Agreement with K2 HealthVentures LLC providing term loans of up to $150.0 million, with $80.0 million funded at closing.¶2
The Borrowers used part of the first tranche proceeds to repay the Hercules Loan Agreement in full, with a total payoff amount of approximately $78.7 million, including $75.0 million of outstanding principal.¶3¶4
The Term Loans bear cash interest at the greater of 8.55% or the Wall Street Journal prime rate plus 1.55%, plus 1.0% per annum paid-in-kind interest, and mature on October 1, 2030.¶5¶6
Lenders may convert up to $15.0 million of Term Loan principal into common stock at a conversion price of $3.2341 per share, issued in reliance on Section 4(a)(2) of the Securities Act.¶7¶8
NextNRG effected its reincorporation from Delaware to Nevada on October 7, 2026, and adopted new Nevada bylaws.¶2¶3¶1
Each outstanding common share of the Delaware corporation converted into one share of common stock of the Nevada corporation.¶4
The amended agreement, effective September 30, 2026, terminates on the later of obtaining required stockholder approvals other than Split Authorization and December 31, 2028, subject to exceptions.¶5
Upon a Mandatory Redemption Event, Series C Preferred holders may require the Company to redeem their shares in cash at 125% of stated value, accrued unpaid dividends and other amounts owed.¶6
The Board approved a 1-for-8 reverse stock split of the Company's common stock, and on October 7, 2026 the Company filed a Certificate of Change with the Nevada Secretary of State to effectuate it.¶1¶2¶3
The Reverse Stock Split becomes effective at 12:01 a.m., Pacific Time, on October 12, 2026, with Common Stock trading on Nasdaq under the existing symbol DFLI and a new CUSIP number of 26145B 601.¶1¶4
Each record stockholder's shares will convert into whole shares equal to pre-split shares divided by eight, and no fractional shares or cash will be paid, with fractional holders receiving one whole share.¶5¶6
Authorized Common Stock will decrease from 400,000,000 shares to 50,000,000 shares, and outstanding warrants will each become exercisable for one eighth of a share of Common Stock.¶7¶8
Blue Star Foods Corp. filed a Certificate of Amendment on October 5, 2026 to effect a 1-for-1,600 reverse stock split of its common stock, effective at 12:01 a.m. Eastern Time on October 8, 2026.¶2¶3
FINRA processed the corporate action under FINRA Rule 6490, with a Daily List announcement date of October 7, 2026 and a market effective date of October 8, 2026.¶4
The pre-split total shares outstanding are 171,980,101, and the post-split total shares outstanding are expected to be 107,488 after fractional-share treatment, under which no fractional shares will be issued.¶1¶5
The new CUSIP number for the post-split Common Stock will be 09606H507, replacing 09606H309, and the par value remains $0.0001 per share.¶6
Stockholders approved an amendment to the Company's Amended and Restated Articles of Incorporation at a special meeting held on August 11, 2026, to effect a 5,000-for-1 reverse stock split of common stock.¶2
The Company filed a Certificate of Change with the Nevada Secretary of State on September 18, 2026, and the Reverse Stock Split became effective on October 2, 2026.¶1
Each stockholder's shares automatically converted into whole shares equal to pre-split shares divided by 5,000, with no fractional shares or cash paid in lieu; one whole share was issued for any fractional entitlement.¶3
The common stock will trade on a split-adjusted basis under the symbol TLSS, and the CUSIP number will change to 89388L207.¶4
On October 7, 2026, Vivos Inc entered into a Stock Purchase and Exchange Agreement with a Board member, who agreed to purchase 250,000 shares of Series D Preferred for $250,000 and exchange 385,302 Series C Preferred shares for 385,302 Series D Preferred shares.¶1¶2
The Share Exchange was consummated on October 7, 2026, leaving no Series C Preferred outstanding and 635,302 shares of Series D Preferred outstanding with a conversion price of $.08 per share.¶2
The Series D Preferred shares issued under the Exchange Agreement are exempt from Securities Act registration under Section 4(a)(2) and/or Rule 506(b) of Regulation D.¶3
On October 8, 2026, the Company filed a Certificate of Elimination of the Series C Convertible Preferred Stock with the Delaware Secretary of State, when no Series C Preferred shares were outstanding.¶4¶5
