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10-Q late filing
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All Companies
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Create: Portfolio | Alert |
All | News | Filings
| Date Filed | Symbol | Type | Description |
| 10/05/2023 |
******
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 09/27/2023 |
FNCB
|
8-K
| Quarterly results |
| 06/16/2023 |
GRWG
|
8-K/A
| Amended existing or entered into new employment agreement with an officer |
| 06/16/2023 |
SURF
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"Agreement and Plan of Merger, by and among Surface Oncology, Inc., Coherus BioSciences, Inc., Crimson Merger Sub I, Inc. and Crimson Merger Sub II, LLC, (Form of CVR Agreement included as Exhibit A thereto)",
"Form of Executive Agreement Amendment",
"Form of C-Suite Executive Agreement Amendment",
"Form of Retention Agreement",
"Coherus to Acquire Surface Oncology" |
|
| 05/19/2023 |
BTN
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"UNDERWRITING AGREEMENT between STRONG GLOBAL ENTERTAINMENT, INC. and THINKEQUITY LLC as Representative of the Several Underwriters STRONG GLOBAL ENTERTAINMENT, INC. UNDERWRITING AGREEMENT New York, New York May 15, 2023 ThinkEquity LLC As Representative of the several Underwriters named on Schedule 1 attached hereto 17 State Street,41st Fl 10004",
"SCHEDULE A TRANSFERRED ASSETS The Transferred Assets consists of all of the property and assets of Strong/MDI Screen Systems Inc. , including for greater certainty its Intellectual Property, property and assets, real and personal and movable and immovable, wherever located, that relate to, or are used or held for use in, the Entertainment Business including, but not limited to, the following: . Intellectual Property and Intangibles Patents [***] Trademarks [***] Software [***] Open Source Component [***] Know-How [***] Other Intellectual Property [***] . Permits and Licenses [***] . Employee Benefit Plans [***] . Property, Plant and Equipment [***] . Financing Agreements [***] . Sales and Marketing Agreements [***] . Government Contract [***] . Material and other Contracts [***] . Working ...",
"[Pursuant to Item 601 of Regulation S-K, schedules and attachments to this exhibit have been omitted. A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon request.] CONFIRMATORY OF OWNERSHIP AND OWNERSHIP ASSIGNMENT OF INTELLECTUAL PROPERTY WHEAEAS STRONG/MDI SCREEN SYSTEMS INC., a company existing under the laws of Québec with an address at 1440 Rue Raoul-Charette, Joliette, QC J6E 8S7 , is or was the owner of all right, title and interest in and to certain intellectual property consisting of and including: a. inventions or improvements or designs, or other innovations, including trade secrets and confidential information , b. trademarks, tradenames, domain names, social media handles and/or other indicia of goodwill , and/or c. certain works ,...",
"FORM OF PATENT ASSIGNMENT",
"FORM OF PATENT ASSIGNMENT",
"[Pursuant to Item 601 of Regulation S-K, schedules and attachments to this exhibit have been omitted. A copy of any omitted schedule or exhibit will be furnished supplementally to the SEC upon request.] MANAGEMENT SERVICES AGREEMENT by and between FG GROUP HOLDINGS INC. and STRONG GLOBAL ENTERTAINMENT, INC. Dated as of May 18, 2023",
"LEASE 1440, Raoul-Charette Street, City of Joliette, Province of Québec, J6E 8S7 BETWEEN: STRONG/MDI SCREEN SYSTEMS INC., legal person, duly incorporated under the laws of the Province of Québec, having its head office at 1440, Raoul-Charette Street, City of Joliette, Province of Québec, J6E 8S7, herein acting and represented by Todd Major, its Treasurer and Secretary, duly authorized for the purposes hereof as he so declares; AND: STRONG/MDI SCREEN SYSTEMS, INC., legal person, duly incorporated under the laws of the Province of British Columbia, having its head office at 2300-550 Burrard Street, City of Vancouver, Province of British Columbia, V6C 2B5, herein acting and represented by Mark Roberson, its Chief Executive Officer, duly authorized for the purposes hereof ...",
"SHARE TRANSFER AGREEMENT",
"STS",
"THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT is made and entered into as of May 18, 2023, by and between FG Group Holdings Inc., a Nevada corporation f/k/a Ballantyne Strong, Inc., a Delaware corporation , and Mark D. Roberson, a North Carolina resident ." |
|
| 04/04/2023 |
KIRK
|
8-K
| Amended existing or entered into new employment agreement with an officer, Quarterly results|
Docs:
|
"THIRD AMENDED AND RESTATED CREDIT AGREEMENT Dated as of March 31, 2023 among KIRKLAND’S STORES, INC., as the Lead Borrower For The Borrowers Named Herein The Guarantors Named Herein BANK OF AMERICA, N.A. as Administrative Agent, Collateral Agent, Swing Line Lender and L/C Issuer and The Other Lenders Party Hereto",
"KIRKLAND’S, INC. 5310 Maryland Way Brentwood, TN 37027 April 3, 2023 Via Hand Delivery Steve C. Woodward",
"KIRKLAND'S INC. By: /s/ Steven C. Woodward Title: Chief Executive Officer AMY SULLIVAN /s/ Amy Sullivan 10",
"AMENDMENT NO. 1 TO AMY SULLIVAN EMPLOYMENT AGREEMENT This Amendment No. 1 to Employment Agreement, dated as of April 3, 2023 is by and between Kirkland’s, Inc., a Tennessee corporation having its corporate headquarters at 5310 Maryland Way, Brentwood, Tennessee 37027 and Amy Sullivan . W I T N E S S E T H: WHEREAS, the Company and Executive entered into that certain Employment Agreement dated as of July 14, 2022 , pursuant to which, among other things, the Company agreed to employ the Executive as its Chief Merchandising and Stores Officer; WHEREAS, the Company has now decided to promote the Executive to the new position of President and Chief Operating Officer, and the Company and Executive have agreed to this amendment to the Agreement to reflect such promotion, all to be effective on Ap...",
"KIRKLAND'S, INC. By: /s/ W. Michael Madden Title: Chief Financial Officer ANN JOYCE By: /s/ Ann Joyce 4",
"KIRKLAND’S HOME REPORTS FOURTH QUARTER AND FISCAL YEAR 2022 RESULTS Generated Operating Cash Flow of $40.1 Million and Made $45.0 Million of Debt Repayments in the Fourth Quarter Entered into Amended Credit Agreement to Increase Revolving Credit Line to $90 Million and Extend Maturity Date by Five Years NASHVILLE, Tenn. — Kirkland’s, Inc. , a specialty retailer of home décor and furnishings, announced financial results for the 13-week and 52-week periods ended January 28, 2023. Fourth Quarter 2022 Summary • Net sales were $162.5 million, with comparable sales decreasing 6.1%. • Gross profit margin of 24.8%. • GAAP net loss of $3.8 million, or a loss of $0.30 per diluted share, and adjusted net loss of $1.1 million, or an adjusted loss of $0.09 per diluted share....",
"KIRKLAND’S HOME ANNOUNCES CEO RETIREMENT AND INTERIM TRANSITION PLAN NASHVILLE, Tenn. — Kirkland’s, Inc. , a specialty retailer of home décor and furnishings, has announced that President and Chief Executive Officer Steve “Woody” Woodward will be retiring, effective May 31, 2023. The Company’s board of directors is in the process of evaluating its options for a permanent successor. Ann Joyce, who currently serves as a board member for Kirkland’s Home, will be stepping into the role of Interim CEO until a successor is named. Joyce brings an extensive background in the retail industry, having served in various executive and senior-level positions for notable companies such as Chico’s FAS , Aeropostale and Ralph Lauren. Kirkland’s Home also announced that Amy Sullivan, th..." |
|
| 03/13/2023 |
PRVB
|
8-K
| Amended existing or entered into new employment agreement with an officer, Appointed a new director|
Docs:
|
"Execution Version AGREEMENT AND PLAN OF MERGER among SANOFI S.A., ZEST ACQUISITION SUB, INC. and PROVENTION BIO, INC. Dated as of March 12, 2023",
"AMENDED AND RESTATED BYLAWS OF PROVENTION BIO, INC.",
"SECOND AMENDMENT TO FIRST AMENDED EMPLOYMENT AGREEMENT",
"SECOND AMENDMENT TO EMPLOYMENT AGREEMENT",
"SECOND AMENDMENT TO FIRST AMENDED EMPLOYMENT AGREEMENT",
"Sandrine Guendoul" |
|
| 03/06/2023 |
TCRR
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"Exhibit 2.1    EXECUTION VERSION   AGREEMENT AND PLAN OF MERGER   BY AND AmONG   Adaptimmune therapeutics plc,   cm Merger sub, Inc.   AND   tcr 2 therapeutics inc.",
"Agreement”) is made and entered into as of March 5, 2023 , by and among Adaptimmune Therapeutics PLC , a public company limited by shares incorporated in England and Wales, TCR 2 Therapeutics Inc. , a Delaware corporation and [STOCKHOLDER] . Each of Parent, the Company and the Stockholder are sometimes referred to as a “Party” and collectively as the “Parties",
"VOTING AND SUPPORT AGREEMENT   This Voting and Support Agreement is made and entered into as of March 5, 2023 , by and among  Adaptimmune Therapeutics PLC , a public company limited by shares incorporated in England and Wales,  TCR 2 Therapeutics Inc. , a Delaware corporation and  [SHAREHOLDER] . Each of Parent, the Company and the Shareholder are sometimes referred to as a “Party” and collectively as the “Parties”. Capitalized terms used but not defined herein have the meanings ascribed to such terms in the Merger Agreement .   RECITALS   A.              Concurrently with the execution and delivery of this Agreement, Parent, the Company and CM Merger Sub, Inc...",
"FIRST AMENDMENT TO EMPLOYMENT AGREEMENT",
"Adaptimmune and TCR² Therapeutics Announce Strategic Combination to Create a Preeminent Cell Therapy Company for Solid Tumors Compelling clinical data with clear paths to products and multiple near-term value-creating catalysts Complementary technology platforms designed to treat solid tumors which represents a substantial market opportunity largely unaddressed by cell therapies Following closing of the transaction, cash runway extended into 2026 Following the all-stock transaction, currently expected to close in Q2 2023, Adaptimmune shareholders will own ~75% and TCR² Therapeutics stockholders will own ~25% of the combined company Companies to host a joint Webcast today, March 6, 2023, at 8:00 a.m. EST",
"of Section 27 A of the Securities Act of 1933",
"significant operational advantages" |
|
| 01/20/2023 |
ABCP
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 12/14/2022 |
******
|
8-K
| Quarterly results |
| 12/05/2022 |
******
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"Forward Purchase Agreement Confirmation Amendment by and among Vellar Opportunity fund SPV LLC – Series 9, PropTech Investment Corporation II and RW National Holdings, LLC",
"Amendment, Assignment and Novation Agreement by and among Vellar Opportunity Fund SPV LLC – Series 9, Polar Multi-Strategy Master Fund, PropTech Investment Corporation II, and RW National Holdings, LLC, as of November 23, 2022",
"Amendment to that certain Amendment, Assignment and Novation Agreement by and among Vellar Opportunity Fund SPV LLC – Series 9, Polar Multi-Strategy Master Fund, PropTech Investment Corporation II and RW National Holdings, LLC as of November 29, 2022",
"Assignment and Novation Agreement by and among Vellar Opportunity Fund SPV LLC – Series 9, Meteora Special Opportunity Fund I, LP, Meteora Select Trading Opportunities Master, LP, and Meteora Capital Partners, LP, PropTech Investment Corporation II, and RW National Holdings, LLC, as of November 21, 2022",
"Second Amended and Restated Certificate of Incorporation of Appreciate Holdings, Inc",
"Amended and Restated Bylaws of Appreciate Holdings, Inc",
"Amended and Restated Limited Liability Company Agreement of Appreciate Intermediate Holdings, LLC",
"Form of Specimen Class A Common Stock Certificate",
"Form of Specimen Class B Common Stock Certificate",
"Form of Specimen Warrant Certificate" |
|
| 12/01/2022 |
******
|
8-K
| Quarterly results |
| 10/13/2022 |
BNKL
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"SECOND AMENDMENT TO EMPLOYMENT AGREEMENT This Second Amendment to the Employment Agreement dated as of the Start Date , as amended pursuant to that First Amendment to Employment Agreement dated October 15, 2021 , by and between Bionik Laboratories Corp., a Delaware corporation, and Richard Russo, is made as of the 6th day of October, 2022 , by and between the Company and the Employee . RECITALS WHEREAS, the Company and the Employee are parties to the Agreement; and WHEREAS, the Company and the Employee desire to amend the Agreement as more particularly set forth herein; and WHEREAS, Section 6.6 of the Agreement provides, in part, that no amendment to the Agreement shall be valid or binding unless set forth in writing and duly executed by both of the parties thereto. NOW, THEREFORE, in cons...",
"EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT, is made as of the Start Date , by and between BIONIK LABORATORIES CORP., a Delaware corporation , and Dan Gonsalves . RECITALS WHEREAS, the Company, directly or through its subsidiaries, is engaged in the business of medical device research, development and production; and WHEREAS, the Company and the Employee have agreed to enter into an employment relationship upon the terms and subject to the conditions hereinafter set forth. NOW THEREFORE, in consideration of the mutual covenants and promises herein contained and other good and valuable consideration, the parties agree as follows: ARTICLE 1- EMPLOYMENT AND DUTIES 1.1 Appointment . Subject to the terms and conditions of this Agreement, the Company hereby agrees to employ the employee, and ...",
"Bionik Laboratories Appoints Richard Russo, Jr. as Chief Executive Officer and Dan Gonsalves as Chief Financial Officer" |
|
| 10/06/2022 |
ORTX
|
8-K
| Quarterly results |
| 09/23/2022 |
PLSE
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 08/26/2022 |
WISA
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"WISA TECHNOLOGIES, INC. Form of Senior Secured Convertible Promissory Note due August 15, 2024 Note No. 08152022 $3,600,000 Dated: August 15, 2022 For value received, WISA TECHNOLOGIES, INC., a Delaware corporation , hereby promises to pay to the order of [_____], a Delaware limited partnership , in accordance with the terms hereinafter provided, the principal amount of THREE MILLION SIX HUNDRED THOUSAND DOLLARS . All payments under or pursuant to this Senior Secured Convertible Promissory Note shall be made in United States Dollars in immediately available funds to the Holder at the address of the Holder set forth in the Purchase Agreement or at such other place as the Holder may designate from time to time in writing to the Maker or by wire transfer of funds to the Holder’ s account, ins...",
"RECITALS",
"RECITALS",
"RECITALS" |
|
| 08/24/2022 |
BLIN
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 08/22/2022 |
******
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 08/22/2022 |
CLSH
|
8-K
| Quarterly results |
| 07/26/2022 |
GALT
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"Form of Warrant",
"Line of Credit Letter Agreement, by and between Richard E. Uihlein and the Company",
"Form of Convertible Promissory Note",
"Employment Amendment",
"2023 Deferred Stock Unit Agreement",
"2020 Deferred Stock Unit Amendment",
"NORCROSS, Ga., July 26, 2022" |
|
| 06/30/2022 |
INVU
|
8-K
| Quarterly results |
| 06/29/2022 |
BKTI
|
8-K
| Quarterly results |
| 05/25/2022 |
******
|
8-K
| Quarterly results |
| 04/11/2022 |
******
|
8-K
| Amended existing or entered into new employment agreement with an officer, Director compensation was amended/approved|
Docs:
|
"Memorandum and Articles of Association of MoonLake Immunotherapeutics",
"Amended and Restated Shareholders’ Agreement, by and among MoonLake Immunotherapeutics, MoonLake Immunotherapeutics AG and the investors signatory thereto",
"Amended and Restated Registration Rights Agreement, by and among the MoonLake Immunotherapeutics, Helix Holdings LLC and the holders signatory thereto",
"Form of Subscription Agreement",
"MOONLAKE IMMUNOTHERAPEUTICS 2022 EQUITY INCENTIVE PLAN",
"Letter Agreement, among Helix Acquisition Corp., Helix Holdings LLC and each of the officers and directors of Helix (incorporated by reference to of Helix’s Form 8-K, filed with the SEC on October 22, 2020)",
"Code of Business Conduct and Ethics",
"Subsidiaries of MoonLake Immunotherapeutics",
"MoonLake Immunotherapeutics AG Announces Closing of Business Combination with Helix Acquisition Corp.",
"MoonLake Immunotherapeutics unaudited pro forma condensed combined balance sheet as of December 31, 2021 and the unaudited pro forma condensed combined statement of operations for the year ended December 31, 2021" |
|
| 04/05/2022 |
******
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 03/10/2022 |
OPES
|
8-K
| Amended existing or entered into new employment agreement with an officer, Credit agreement amendment|
Docs:
|
"UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549",
"Twelfth Amendment to Credit Agreement and Joinder, by and among BurgerFi International, Inc., BurgerFi International, Inc.’s subsidiaries, Plastic Tripod, Inc., the subsidiary guarantors party thereto, Regions Bank, as administrative agent for the lenders, collateral agent for the lenders, a lender, swingline lender and issuance bank, Cadence Bank, as a lender, Webster Bank, National Association, as a lender, Synovus Bank, as a lender, CP7 Warming Back, LP as a lender and the other lenders party from time to time thereto",
"RECITALS",
"RECITALS" |
|
| 02/01/2022 |
PWVI
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 01/25/2022 |
XDSL
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"MPHASE TECHNOLOGIES, INC. AUDIT COMMITTEE CHARTER",
"MPHASE TECHNOLOGIES, INC. COMPENSATION COMMITTEE CHARTER",
"CORPORATE GOVERNANCE AND NOMINATING COMMITTEE CHARTER",
"Exchange Act",
"Cover Page Interactive Data File (embedded within the Inline XBRL document)",
"mPHASE TECHNOLOGIES, INC. 9841 Washingtonian Boulevard, #200 Gaithersburg, MD 20878 Date: January ___, 2022 This letter is to confirm the terms of your appointment as a Non-Executive Director of mPhase Technologies, Inc. . Overall, in terms of time commitment, your attendance is expected at all Board of Directors meetings, meetings of the audit, compensation and nomination committees of the Board and the General Meetings . In addition, you will be expected to devote appropriate preparation time ahead of each meeting. By accepting this appointment, you have confirmed that you are able to allocate sufficient time to meet the expectations of this position. For and in consideration of the services to be performed by you, the Company agrees to compensate you as follows: 1.1 Fee. An annual fee i...",
"Investor Contact:" |
|
| 12/21/2021 |
VGR
|
8-K
| Amended existing or entered into new employment agreement with an officer|
Docs:
|
"Distribution Agreement, between Vector Group Ltd. and Douglas Elliman Inc",
"Employee Matters Agreement, between Vector Group Ltd. and Douglas Elliman Inc",
"Transition Services Agreement, between Vector Group Ltd. and Douglas Elliman Inc",
"Tax Disaffiliation Agreement, between Vector Group Ltd. and Douglas Elliman Inc",
"Executive Letter Agreement, between Vector Group Ltd. and Howard M. Lorber",
"Executive Letter Agreement, between Vector Group Ltd. and Richard J. Lampen",
"Executive Letter Agreement, between Vector Group Ltd. and J. Bryant Kirkland III",
"Executive Letter Agreement, between Vector Group Ltd. and Marc N. Bell",
"Second Amendment to Employment Agreement, between Vector Group Ltd. and J. Bryant Kirkland III",
"Form of Aircraft Lease Agreement" |
|
| 11/30/2021 |
SING
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 11/24/2021 |
IGMB
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 11/23/2021 |
PYDS
|
8-K
| Amended existing or entered into new employment agreement with an officer |
| 11/19/2021 |
SLP
|
8-K
| Amended existing or entered into new employment agreement with an officer, Appointed a new director|
Docs:
|
"FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement is made as of November 19, 2021 , by and between Simulations Plus, Inc. and Shawn O’ Connor , and shall amend that certain Employment Agreement dated September 3, 2020 between the Company and Employee. WHEREAS, the parties desire to amend the Agreement to make the clarifications and changes to the Agreement as provided, below. NOW, THEREFORE, in consideration of these premises, the mutual covenants and agreements of the parties hereunder, and for other good and valuable consideration the sufficiency and receipt of which are hereby acknowledged, the parties hereto hereby agree as follows: 1. Performance Bonus . Section 4.3 of the Agreement shall be amended, superseded and replaced in its entirety by the following...",
"PRESENTATION FOR INVESTOR CONFERENCE" |
|
| 11/03/2021 |
CIVI
|
8-K
| Amended existing or entered into new employment agreement with an officer, Appointed COO|
Docs:
|
"Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation of Bonanza Creek Energy, Inc",
"Fifth Amended and Restated Bylaws of Civitas Resources, Inc",
"Certificate of Elimination of Series A Junior Participating Preferred Stock of Civitas Resources, Inc",
"First Supplemental Indenture, by and among Civitas Resources, Inc., Computershare Trust Company, N.A., as trustee, and certain guarantor parties thereto",
"Second Supplemental Indenture, by and among Civitas Resources, Inc., U.S. Bank National Association, as trustee, and certain guarantor parties thereto",
"WARRANT AGREEMENT between CIVITAS RESOURCES, INC. BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., as Warrant Agent Dated as of November 1, 2021 Tranche A Warrants to Purchase Common Stock",
"WARRANT AGREEMENT between CIVITAS RESOURCES, INC. BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., as Warrant Agent Dated as of November 1, 2021 Tranche B Warrants to Purchase Common Stock",
"AMENDED AND RESTATED CREDIT AGREEMENT",
"Registration Rights Agreement, between Civitas Resources, Inc., and the persons identified on Schedule I thereto",
"Board Observer and Confidentiality Agreement, between Civitas Resources, Inc. and CPPIB Crestone Peak Resources Canada Inc" |
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