Daily Dilution Report - Feb 6, 2026
All Events
$CDIX (MC: $27M)
- Here is an analysis of the SEC filing for Cardiff Lexington Corp ($CDIX) extracting all stock dilution events and their details:
- Direct Offerings / Registered Direct
- Type: Public Offering (Current S-1)
- Shares Offered: 1,200,000 shares of common stock
- Price Per Share: $5.00 (assumed public offering price)
- Underwriter: R.F. Lafferty & Co., Inc.
- Type: Over-Allotment Option
- Shares Offered: Up to 180,000 additional shares of common stock
- Price Per Share: $5.00 (assumed public offering price)
- Underwriter: R.F. Lafferty & Co., Inc.
- Type: Direct Issuance for Services (Greentree Financial Group, Inc.)
- Shares Issued: 200,000 shares of common stock
- (+221 more items; see filing)
$CLBR (MC: $736M)
- Here's an analysis of the provided SEC filing for Colombier Acquisition Corp. III ($CLBR) and the extraction of stock dilution events:
- Type of instrument: Units (Public Offering)
- Dollar amounts: $299,000,000
- Share counts: 29,900,000 units
- Prices per share: $10.00 per unit
- Key terms: Each unit consists of one Class A ordinary share and one-eighth of one redeemable warrant. Consummated on February 5, 2026. Includes full exercise of underwriters' over-allotment option (3,900,000 units).
- Type of instrument: Warrants (Public Offering - Underlying Component of Units)
- Exercise price: $11.50 per share
- Number of shares: Each whole warrant is exercisable for one Class A ordinary share. (The filing does not specify the total number of warrants issued as part of the units, only that each unit has 1/8th of a warrant. Therefore, the potential dilution from warrants is tied to the number of units issued.)
- Expiration: Not specified in this filing.
- Key terms: Redeemable warrants.
- Type of instrument: Units (Private Placement)
- (+32 more items; see filing)
$BSTT
- Here's an analysis of the provided SEC filing for Blackstone Real Estate Income Trust, Inc. ($BSTT) to extract stock dilution events:
- Item 3.02. Unregistered Sales of Equity Securities.
- Type of instrument: Direct Offerings / Registered Direct
- Shares offered: 565,571 Class S-2 Shares
- Price per share: The purchase price was equal to the net asset value per Class S-2 share as of December 31, 2025, plus applicable upfront selling commissions. The aggregate consideration indicates a price of approximately $14.13 per share ($7,990,770 / 565,571 shares).
- Dollar amounts: $7,990,770 (aggregate consideration)
- Key terms: Unregistered shares sold under Section 4(a)(2) and Regulation D of the Securities Act of 1933 to accredited investors. Upfront selling commissions of approximately $37,653 were included in the aggregate consideration and retained by, or reallowed to, participating broker-dealers.
- NONE
$MBLY (MC: $6.8B)
- Here's an analysis of the provided SEC filing for Mobileye Global Inc. ($MBLY) and the extraction of stock dilution events:
- Item 3.02. Unregistered Sales of Equity Securities.
- Type of instrument: Acquisition of Mentee Robotics Ltd. using stock consideration
- Shares offered: 26,279,824 shares of Class A common stock
- Dollar amounts (total consideration): $900,000,000 (consisting of $611,914,666 in cash and the value of the stock consideration)
- Key terms: Shares issued in reliance on Section 4(a)(2) of the Securities Act of 1933, Rule 506 of Regulation D, and Regulation S. The number of shares was based on a recalculation related to the volume weighted average of the closing sale prices for the Class A Stock over the thirty (30) Trading Days ending immediately prior to the Signing Date (January 5, 2026).
- Other Dilution Instruments:
$MCFT (MC: $401M)
- Merger Consideration (Stock Consideration)
- Type of instrument: Stock Consideration for Marine Products Acquisition
- Details: Each share of Marine Products common stock will be converted into the right to receive 0.232 shares of MasterCraft common stock.
- Treatment of Marine Products Equity Awards (RSAs and PSUs)
- Type of instrument: Vesting and conversion of Marine Products equity awards
- Details: Marine Products Restricted Stock Awards (RSAs) and Performance Stock Units (PSUs) will vest and convert into MasterCraft equity awards. Specific share counts and conversion ratios for these awards are not detailed in this filing but represent potential future issuance of MasterCraft shares.
- Stock Compensation Plans (Implied)
- Type of instrument: Stock Compensation Plan (Implied, specific plan not named but referred to in equity award treatment)
- Details: The treatment of RSAs and PSUs implies the existence of an equity compensation plan that will result in the issuance of MasterCraft stock. The filing mentions "Assumed RSAs" converting into "MasterCraft RSAs," indicating an ongoing or expanded equity compensation program. Specific shares reserved are not detailed in this filing.
$VIVK (MC: $352,511)
- Here's an analysis of the provided SEC filing for Vivakor, Inc. ($VIVK) and the extraction of stock dilution events:
- Analysis of Dilution Events:
- The filing primarily discusses a Forbearance and Note Payment Amendment Agreement related to a previously issued convertible promissory note. While this agreement doesn't directly issue new shares or establish a new dilution mechanism in the same way as a new ATM program or a direct offering, it does contain provisions that could lead to dilution under certain circumstances.
- Extracted Dilution Instruments:
- Type of instrument: Convertible Promissory Note (Second Note)
- Principal amount: $5,940,000
- Lender: J.J. Astor & Co.
- Original Issuance Date: July 9, 2025
- Amended Maturity Date: January 1, 2027
- Key Terms: The Company has the ability to pay the amended payment terms (weekly payments starting April 6, 2026, increasing over time) in shares of common stock if certain conditions are met. This is a potential dilution event.
- Penalty for Non-Compliance: If the Company fails to comply with the Agreement, the outstanding principal amount plus accrued interest will increase to 110% of the then Outstanding Principal Amount, and the balance becomes immediately due and payable. While this is a penalty, it doesn't directly represent a new dilution instrument, but rather an increased debt burden that could necessitate future dilution to repay.
- Type of instrument: Potential Stock Issuance for Debt Repayment (as per Agreement)
- (+3 more items; see filing)
$PAYD (MC: $24M)
- Here's an analysis of the provided SEC filing for PAID INC. ($PAYD) to extract stock dilution events:
- Item 1.01. Entry Into a Material Definitive Agreement
- Type of instrument: Restricted Common Stock (issuance for debt repayment)
- Dollar amounts: $102,000 (indebtedness to be repaid)
- Key terms: Shares of restricted common stock of the Company, based on the 30-day prior average.
- Type of instrument: Convertible Note (payment obligation)
- Dollar amounts: $75,000 (convertible note to be paid off)
- Key terms: To be paid off within 120 days of closing. (Note: The filing does not specify the conversion price or maturity of this note, only that it needs to be paid off).
- Type of instrument: Earnout (potential future equity issuance based on performance)
- Dollar amounts: 8.5% of net revenue plus 40% of the net income.
- Key terms: For each of the 12 months ended December 31, 2026 and 2027. Earnout cash payments will be due on April 15, 2027 and April 15, 2028 respectively. Payments are subject to offset against indemnity claims and liabilities not expressly assumed. (Note: This is an earnout obligation, not a direct issuance of stock or a traditional dilution instrument in itself, but it represents a future financial commitment that *could* be settled with equity or impact future cash flows available for operations or debt repayment, potentially leading to dilution later if not managed).
- Analysis Summary:
- (+6 more items; see filing)
$MPX (MC: $289M)
- This filing describes a merger between Marine Products Corporation ($MPX) and MasterCraft Boat Holdings, Inc. This merger itself is a significant event for existing shareholders as their shares will be exchanged for a combination of MasterCraft stock and cash. However, the filing does not explicitly detail ongoing or future stock dilution events in the forms of warrants, convertible notes, ATM programs, equity lines, direct offerings, or PIPE deals.
- The closest to potential dilution that is described is the Treatment of Marine Products Equity Awards. However, this is a conversion of existing awards as part of the merger, not a new issuance of equity that would dilute existing shareholders in the typical sense of ongoing dilutive financing.
- Therefore, based on the provided filing, the answer is:
- NONE
$FLNT (MC: $68M)
- The filing primarily describes the sale of a subsidiary (Winopoly, LLC) by Inbox Pal, LLC, an indirect subsidiary of Fluent, Inc. The transaction involves the sale of membership interests for $3.0 million, payable via a secured promissory note. This is a divestiture, not a dilutive issuance of stock.
- While Exhibit 1.1 is referenced as an "At-the-Market Issuance Sales Agreement," the filing itself does not provide any details about that agreement, nor does it indicate that any shares were actually issued under such an agreement as of the filing date. Therefore, based *solely* on the provided text of the 8-K, no dilution events can be extracted.
- NONE
$PED (MC: $56M)
- Here's an analysis of the provided SEC filing for PEDEVCO CORP ($PED) to extract stock dilution events:
- The filing discusses a Draw Down of $5 million under an Amended and Restated Credit Agreement. While this is a financial obligation, it is debt financing and does not directly result in the issuance of new equity or a change in the number of outstanding shares of common stock for the purpose of dilution as defined by the typical instruments listed.
- The filing also mentions the issuance of "Series A Convertible Preferred Stock" on October 31, 2025, in the amount of 17,013,637 shares. However, this event is described as occurring in a *previous* filing (November 3, 2025, Form 8-K) and is incorporated by reference. This filing itself does not detail the conversion terms or the mechanics of how this preferred stock would lead to common stock dilution.
- Based *solely* on the provided text of this February 2, 2026 Form 8-K:
- NONE
$STGW (MC: $1.2B)
- Here's an analysis of the provided SEC filing for Stagwell Inc. ($STGW) to extract stock dilution events:
- Analysis of SEC Filing (Form 8-K dated February 5, 2026)
- The filing describes an acquisition where Stagwell Inc. issued shares of its Class A common stock. While this issuance represents a dilution event by increasing the number of outstanding shares, the filing does not explicitly detail *future* potential dilution instruments like warrants, convertible notes, etc.
- Here's what is directly extractable as a dilution event from this filing:
- Type of instrument: Unregistered Sale of Equity Securities (Acquisition Issuance)
- Dollar amounts: $5,625,000 (value of shares issued at closing)
- Share counts: 863,624 shares
- Prices per share: Not explicitly stated for the 863,624 shares, as it's part of an asset purchase agreement. The value of the shares issued ($5,625,000) divided by the shares issued (863,624) implies an average price of approximately $6.51 per share, but this is a derived figure.
- Key terms: Issued to the Sellers of the Acquiree Company as partial payment for substantially all assets. Exempt from registration under Section 4(a)(2) of the Securities Act of 1933.
- Potential Future Dilution (Contingent Obligations):
- The filing also mentions contingent obligations that *could* lead to future dilution if the company elects to pay in stock:
- Type of instrument: Contingent Obligation to issue Stock (Potential Future Acquisition Payment)
- (+23 more items; see filing)
$BDX (MC: $58.9B)
- Here's an analysis of the provided SEC filing for BECTON DICKINSON & CO ($BDX) to extract stock dilution events, based on the categories you specified:
- Type of instrument: Convertible Preferred Stock
- Series Name: Series D Junior Participating Redeemable Preferred Stock
- Liquidation Preference: Not explicitly stated in this filing. The Certificate of Designation (Exhibit 3.1) would contain this information, but it's not directly presented here.
- Conversion Ratio: 1 share of Series D Preferred Stock for every 10,000 shares of Company Common Stock.
- Dollar Amounts: Not applicable for liquidation preference in this excerpt.
- Share Counts: 27.5159 Preferred Shares issued.
- Key Terms: Issued in exchange for Company Common Stock held by employee benefit plan trusts to prevent them from receiving SpinCo Common Stock in a distribution. Redeemable for Company Common Stock.
- Analysis Summary:
- The filing describes the issuance of "Series D Junior Participating Redeemable Preferred Stock" by Becton, Dickinson and Company. While this issuance is presented as a way to manage the distribution of shares in a Reverse Morris Trust transaction and prevent certain trusts from receiving spun-off company stock, it *is* a form of equity issuance that could lead to dilution when redeemed. The key details are the conversion ratio (1 preferred for 10,000 common) and the number of preferred shares issued (27.5159). The exact terms of liquidation preference and redemption value are not detailed in this specific excerpt but would be in the referenced Certificate of Designation.
- Type of instrument: Convertible Preferred Stock
- Series Name: Series D Junior Participating Redeemable Preferred Stock
- (+6 more items; see filing)
$LEE (MC: $35M)
- Type of instrument: PIPE Deal
- Shares offered: 15,384,615 shares (Base PIPE Common Shares)
- Shares offered: 615,385 shares (Fee Reimbursement Shares)
- Total shares offered: 16,000,000 shares (15,384,615 + 615,385)
- Price per share: $3.25
- Investors: David Hoffmann (Anchor Investor) and certain additional investors (Other Investors)
- Type of instrument: Direct Offering / Registered Direct (Note: While this is a private placement and not a *registered* direct offering in the typical sense, it involves the direct sale of equity and is hence categorized here for clarity on dilution impact.)
- Shares offered: 15,384,615 shares (Base PIPE Common Shares)
- Shares offered: 615,385 shares (Fee Reimbursement Shares)
- Total shares offered: 16,000,000 shares (15,384,615 + 615,385)
- Price per share: $3.25
- Investors: David Hoffmann (Anchor Investor) and certain additional investors (Other Investors)
- (+7 more items; see filing)
$IRME (MC: $77,239)
- Here is an analysis of the provided SEC filing for IR-Med, Inc. ($IRME) and the extraction of stock dilution events:
- Item 1.01 Entry into a Material Definitive Agreement.
- Type of instrument: Warrants
- Number of shares: Up to 7,035,322 shares of Common Stock
- Exercise price: $0.03 per share
- Expiration: Five years from the initial exercise date
- Key terms: Exercisable immediately. Issued in connection with a private placement offering.
- Type of instrument: Private Placement Offering (Sale of Common Stock)
- Shares offered: 14,070,644 shares of Common Stock
- Price per share: $0.0031 per share
- Total proceeds: $43,619
- Key terms: Offered to certain investors. Exempt from registration under Section 4(a)(2) and/or Rule 506(b) and/or Regulation S.
- (+31 more items; see filing)
$NG (MC: $3.4B)
- Type of instrument: Common Shares (Offered Shares)
- Dollar amounts: $310,200,000 (gross proceeds)
- Share counts: 31,020,000 shares
- Prices per share: $10.00
- Key terms: This was a "bought deal" private placement under an underwriting agreement with BMO Nesbitt Burns Inc., RBC Dominion Securities Inc., and Scotia Capital Inc. It included 1,020,000 shares purchased under the underwriters' over-allotment option. The company paid a 5.0% cash commission to the underwriters.
- Type of instrument: Underwriters' Over-allotment Option (partially exercised)
- Dollar amounts: Included within the gross proceeds of $310,200,000
- Share counts: 1,020,000 shares
- Prices per share: $10.00 (implied, as part of the Offering)
- Key terms: This option allowed the underwriters to purchase additional shares, up to a certain percentage, to cover oversubscriptions.
$SMSI (MC: $10M)
- Type of instrument: Warrants
- Exercise price: $0.68
- Number of shares: Not explicitly stated as a fixed number, but tied to the loan amount and warrant purchase price. The filing states "an amount equal to $0.125 per Warrant Share for each Warrant issued." and "approximately $185,021 for the purchase of the accompanying Warrant". This implies that approximately $185,021 / $0.125 = 1,480,168 Warrant Shares could be issued.
- Expiration: Five years from the initial exercise date (exercise can begin 6 months after issuance). The specific Warrant issued on February 3, 2026, is exercisable during the period beginning August 3, 2026 and ending August 3, 2031.
- Key terms: Issued in connection with a loan from Smith Living Trust. Exercisable at the greater of $0.68 or market price on date of Note Agreement or issuance. Company to file registration statement for Warrant Shares. Exempt from registration under Section 4(a)(2) and Rule 506.
- Dollar amounts: Approximately $185,021 for the purchase of the Warrant.
- Counterparty: Smith Living Trust (for which William W. Smith, Jr. and Dieva L. Smith serve as co-trustees).
- Type of instrument: Unregistered Sales of Equity Securities (Warrants)
- Exercise price: $0.68
- Number of shares: See above. The potential number of shares to be issued upon exercise of warrants is approximately 1,480,168.
- Expiration: Five years from the initial exercise date. The specific Warrant issued on February 3, 2026, is exercisable during the period beginning August 3, 2026 and ending August 3, 2031.
- Key terms: Issued to Smith Living Trust. Exercisable at the greater of $0.68 or market price on date of Note Agreement or issuance. Company to file registration statement for Warrant Shares. Exempt from registration under Section 4(a)(2) and Rule 506.
- (+2 more items; see filing)
$ARTL (MC: $3M)
- Type of instrument: Equity Line / ELOC
- Commitment amount: $25,000,000
- Counterparty: Square Gate Capital Master Fund, LLC – Series 5
- Key terms: Commitment shares of 292,398 shares issued to Square Gate, valued at $500,000. Option to increase commitment by an additional $25,000,000. Company has the right, but not the obligation, to direct purchases. Purchases are at a discount (95% of VWAP or lowest traded price). Exchange Cap of 19.99% of outstanding shares applies until stockholder approval or average sale price of $1.71 is met. Beneficial ownership limit of 4.99% per transaction.
- Type of instrument: Warrants
- Series name: Pre-funded Warrant (as indicated by Exhibit 4.1)
- Key terms: While the filing states "shares and/or as pre-funded warrants" for the Commitment Shares, the specific terms (exercise price, number of shares issuable upon exercise, expiration) of these pre-funded warrants are not detailed within this Form 8-K. They are referenced as an exhibit.
- Type of instrument: Direct Offerings / Registered Direct
- Key terms: The Equity Purchase Agreement with Square Gate, structured as an equity line, allows for the sale of shares under Section 4(a)(2) of the Securities Act and Rule 506(b) of Regulation D, which are unregistered offerings. The details of specific "Regular Put Amounts" and "Intraday Put Shares" represent potential direct offerings at a discount.
- Type of instrument: Stock Compensation Plans
- Key terms: The filing does not explicitly mention any new or existing stock compensation plans and the shares reserved under them.
- NONE
$ORCL (MC: $392.0B)
- Here is the analysis of the provided SEC filing for Oracle Corporation ($ORCL) for stock dilution events, based on the specific categories you requested:
- Type of instrument: Convertible Preferred Stock
- Series name: 6.50% Series D Mandatory Convertible Preferred Stock
- Liquidation preference: $100,000.00 per share
- Number of depositary shares offered: 100,000,000 depositary shares
- Conversion ratio (minimum): 499.8126 shares of Common Stock per share of Mandatory Convertible Preferred Stock (which translates to 0.2499 shares of Common Stock per Depositary Share)
- Conversion ratio (maximum): 624.7657 shares of Common Stock per share of Mandatory Convertible Preferred Stock (which translates to 0.3124 shares of Common Stock per Depositary Share)
- Conversion trigger: Automatic conversion on the second business day immediately following the last trading day of the Final Averaging Period (ending January 15, 2029).
- Underwriter(s): BofA Securities, Inc., Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Goldman Sachs & Co. LLC, HSBC Securities (USA) Inc. and J.P. Morgan Securities LLC (as representatives of the several underwriters)
- Date of agreement: February 2, 2026
- Closing date: February 5, 2026
- Key terms: Accumulated dividends at 6.50% per annum. Mandatory conversion into Common Stock based on a volume-weighted average price over a specified period. Holders may also elect to convert under certain conditions.
- (+5 more items; see filing)
$INDO (MC: $50M)
- Here's an analysis of the provided SEC filing and the extraction of stock dilution events:
- Type of instrument: ATM (At-the-Market) Programs
- Dollar amounts: Up to $7,900,000
- Underwriter: H.C. Wainwright & Co., LLC
- Key terms: Offer and sale of ordinary shares pursuant to the At the Market Offering Agreement dated as of July 22, 2022 (as amended on March 22, 2024). This prospectus supplement registers the offer and sale of *up to an additional* $7,900,000 of Ordinary Shares. Includes $637.01 of Ordinary Shares from the Third ATM Prospectus Supplement that were unsold prior to the date hereof.
- Type of instrument: ATM (At-the-Market) Programs
- Dollar amounts: $6,213,569.45
- Underwriter: Not explicitly named for these past sales, but implied to be H.C. Wainwright & Co., LLC based on the ATM Agreement.
- Key terms: Amount of Ordinary Shares sold during the 12 calendar months prior to and including February 5, 2026, pursuant to General Instruction I.B.5 on Form F-3.
- Type of instrument: ATM (At-the-Market) Programs
- Dollar amounts: Approximately $7,922,577
- Underwriter: Not explicitly named for this calculated amount, but implied to be H.C. Wainwright & Co., LLC.
- (+11 more items; see filing)
$IPSC (MC: $146M)
- This filing outlines a Private Placement involving the issuance of shares of common stock and warrants. These are considered potential future dilution events upon exercise.
- Type of instrument: Private Placement
- Date of agreement: January 7, 2026
- Total shares offered: 176,086,947 shares of common stock
- PIPE Common Shares: 92,030,595 shares
- Pre-Funded Warrant Shares: 25,360,704 shares (issuable upon exercise of Pre-Funded Warrants)
- Common Warrant Shares: 58,695,648 shares (issuable upon exercise of Common Warrants)
- Purchase price for PIPE Common Shares and accompanying Common Warrant: $1.15 per share
- Purchase price for Pre-Funded Warrant and accompanying Common Warrant: $1.1499 per Pre-Funded Warrant
- Aggregate gross proceeds: $135,000,000
- Net proceeds to the company: $126,700,000
- Type of instrument: Pre-Funded Warrants
- (+23 more items; see filing)
$AREB (MC: $21,985)
- Here is an analysis of the SEC filing for AMERICAN REBEL HOLDINGS, INC. ($AREB) and the extraction of stock dilution events:
- Type of instrument: Exchange Agreements (Streeterville Capital, LLC)
- Dollar amounts: $330,070 (Partitioned Notes)
- Share counts: 253,900 shares of common stock
- Key terms: Exchange of Partitioned Notes for common stock
- Type of instrument: OID Promissory Notes Conversion
- Dollar amounts: $450,000 (principal amount)
- Share counts: 60,000 shares of Series D Convertible Preferred Stock
- Key terms: Conversion into Series D Convertible Preferred Stock
- Type of instrument: Reverse Stock Split
- Key terms: 1-for-20 reverse stock split of common stock (This is a consolidation of shares, not a dilution event in terms of new shares issued, but it significantly impacts share counts and per-share metrics).
- Type of instrument: Series D Convertible Preferred Stock Conversion
- (+34 more items; see filing)
$IPOD (MC: $148M)
- This Form 8-K filing for Dune Acquisition Corp II ($IPOD) details a change in sponsorship and leadership, but it does *not* describe any events that directly cause stock dilution in the forms of warrants, convertible notes, convertible preferred stock, ATM programs, Equity Lines, Direct Offerings, PIPE deals, or stock compensation plans.
- The core event described is the Purchase and Sponsor Handover Agreement where a "New Sponsor" (Collective Acquisition Sponsor LLC) is purchasing existing shares and private placement warrants from the "Sponsor" (Dune Acquisition Holdings II LLC). This is a change in ownership of existing securities and does not create new shares or fundamentally alter the existing capital structure in a dilutive manner.
- Therefore, the output is:
- NONE
$FDX (MC: $85.9B)
- Analysis of Dilution Events in the Provided SEC Filing:
- This filing primarily reports on the issuance of senior notes by a subsidiary of FedEx and a planned spin-off. While these are significant financial events, they do not directly represent stock dilution events as typically defined (i.e., issuance of new equity securities that would dilute existing shareholders' ownership percentage).
- Senior Notes Issuance: The filing details the issuance of $1,000,000,000 aggregate principal amount of 4.300% Senior Notes due 2029, $1,000,000,000 aggregate principal amount of 4.650% Senior Notes due 2031, $700,000,000 aggregate principal amount of 4.950% Senior Notes due 2033, and $1,000,000,000 aggregate principal amount of 5.250% Senior Notes due 2036 by FedEx Freight Holding Company, Inc. These are debt instruments and do not directly dilute existing common stock shareholders.
- Planned Spin-Off: The filing mentions a "Spin-Off" in which the Company will distribute to its stockholders at least 80.1% of the common stock of the Issuer (FedEx Freight Holding Company, Inc.). A spin-off itself is not typically considered a dilution event for the *parent* company's stock. Instead, it creates a new, separate publicly traded entity. Shareholders of the parent company receive shares in the new spun-off entity. The number of shares of the parent company's stock outstanding does not change due to the spin-off itself.
- Conclusion on Dilution Events:
- NONE
$DSS (MC: $8M)
- Here's an analysis of the provided SEC filing for DSS, INC. ($DSS) to extract stock dilution events:
- Type of instrument: Direct Offering / Registered Direct
- Shares offered: 900,000 shares
- Price per share: $1.00 per share (public offering price)
- Underwriter: Aegis Capital Corp.
- Net offering proceeds to the Company: Approximately $0.7 million
- Purpose: General corporate and working capital needs.
- Type of instrument: Option for Over-allotment (Over-allotment Option)
- Shares offered: Up to 135,000 additional shares
- Price per share: On the same terms and conditions as the primary offering ($1.00 per share, less underwriting discounts and commissions)
- Counterparty: Aegis Capital Corp. (the underwriter)
- Expiration: 45-day option from the date of the Offering.
- (+6 more items; see filing)
$FET (MC: $542M)
- The filing details an amendment to a Credit Agreement, which primarily concerns:
- Extension of the maturity date.
- Revision of interest rate margins.
- Increase of a letter of credit sublimit.
- These are all related to debt financing and do not involve the issuance of new equity that would dilute existing shareholders.
$KGS (MC: $4.1B)
- Here's an analysis of the provided SEC filing for Kodiak Gas Services, Inc. ($KGS) to extract stock dilution events based on your criteria:
- Type of instrument: Stock Consideration (part of acquisition)
- Dollar amounts: $100,000,000 (value of the stock consideration)
- Share counts: 2,401,278 shares of Common Stock
- Prices per share: Not explicitly stated as a per-share price, but implied by the total value and share count ($100,000,000 / 2,401,278 shares ≈ $41.64 per share). This is the value attributed to the stock being issued as part of the acquisition.
- Key terms: Issued to Sellers (Mustang PRS, LLC and Louisiana Machinery Company, L.L.C.) as part of the Membership Interest Purchase Agreement for Distributed Power Solutions, LLC. Subject to a 180-day lock-up period.
- Type of instrument: Forward-Looking Statements - Mention of Dilution
- Dollar amounts: NONE
- Share counts: NONE
- Prices per share: NONE
- Key terms: Explicitly mentions "dilution caused by the Company’s issuance of additional shares of Common Stock in connection with the Acquisition" as a risk factor. This is a discussion of potential dilution, not a specific executed dilution event.
- Analysis of Dilution Instruments:
- (+9 more items; see filing)
$FFAI (MC: $75M)
- Here's an analysis of the provided SEC filing for FARADAY FUTURE INTELLIGENT ELECTRIC INC. ($FFAI) to extract stock dilution events:
- Item 1.01 Entry into a Material Definitive Agreement.
- Type of instrument: Direct Offering / Registered Direct (Securities Purchase Agreement)
- Dollar amounts: $10,000,000 (Subscription Amount)
- Share counts: Subject Shares (number to be determined based on closing price)
- Prices per share: 100% of the closing price of Class A Common Stock immediately prior to the closing date (Initial Price)
- Key terms:
- Counterparty: An accredited investor (the Investor)
- Related Party: AIxCrypto Holdings Inc. (“AIxC”), a subsidiary owned and controlled by the Company, will provide the Subscription Amount to the Investor.
- True-Up Issuance: Provision for issuing additional shares ("True-Up Shares") if the Company sells shares or convertible securities at a lower price per share than the Effective Per Share Price.
- Expiration Date: The earlier of the six (6) month anniversary of the Closing Date or the date the Registration Statement is declared effective by the SEC.
- Dilutive Issuance: Defined as granting, issuing, or selling (or agreeing to grant, issue, or sell) any shares of Class A Common Stock or securities convertible into, or exercisable or exchangeable for Class A Common Stock for consideration per share less than the Effective Per Share Price.
- (+18 more items; see filing)
$TVCN
- Initial Public Offering (IPO):
- Type of instrument: Common Stock Offering
- Shares offered: 3,750,000 shares
- Price per share: $4.00
- Key terms: Underwriter is Craft Capital Management, LLC.
- Over-allotment Option:
- Type of instrument: Option to purchase Common Stock
- Shares: 562,500 additional shares (15% of shares sold in offering)
- Price per share: $4.00 (initial public offering price less underwriting discounts and commissions)
- Key terms: Exercisable for 45 days after closing of offering.
- Representative's Warrants:
- Type of instrument: Warrants
- (+313 more items; see filing)
$CARR (MC: $53.1B)
- Type of instrument: Shares of Common Stock registered for resale by a stockholder
- Dollar amounts: Not applicable (this filing is for resale, not an offering by the company that would generate proceeds for the company)
- Share counts: 50,074,109 shares
- Prices per share: Not applicable (price will be determined by the stockholder at the time of sale)
- Key terms: Shares acquired as consideration for the acquisition of the climate solutions business of Viessmann Generations Group GmbH & Co. KG. These shares are being registered for resale pursuant to an Investor Rights Agreement.
- The filing also mentions a past event that involved the issuance of stock, which could be considered a source of potential future dilution if those shares were to be sold:
- Type of instrument: Acquisition Shares issued in connection with the acquisition of the VCS Business
- Dollar amounts: $51.20 per share (purchase price)
- Share counts: 58,608,959 shares
- Prices per share: $51.20
- Key terms: Issued to an affiliate of the Stockholder as consideration for the acquisition of the climate solutions business of Viessmann Generations Group GmbH & Co. KG.
- Additionally, there was a stock repurchase, which *reduces* outstanding shares and therefore is the opposite of dilution, but it's a related transaction:
- (+19 more items; see filing)
$NINEQ
- The filing primarily discusses the company's voluntary Chapter 11 bankruptcy filing, the entry into a Debtor-in-Possession (DIP) loan facility, and the subsequent delisting from the NYSE. While these events have significant financial implications and will impact the company's capital structure, they do not directly detail the issuance of the specific dilution instruments you've listed with concrete numbers of shares or exercise prices at this juncture in the filing.
- Therefore, the output is:
- NONE
$SMTK (MC: $2M)
- Type of instrument: Debt Conversion Agreement (issuance of Common Stock and Pre-Funded Warrants)
- Dollar amount: $2,016,821 (value of debt satisfied)
- Shares issued directly: 385,130 shares of Common Stock
- Price per share for direct stock issuance: $2.75
- Pre-funded warrants: To purchase 348,260 shares of Common Stock
- Exercise price of Pre-Funded Warrants: $0.0001 per share
- Expiration of Pre-Funded Warrants: Immediately exercisable at any time until exercised in full.
- Key terms: Issued to a Creditor in satisfaction of debt owed by SmartKem Limited. Beneficial ownership limitation of 4.99% (can be increased to 9.99% with notice).
- Type of instrument: Unregistered Sales of Equity Securities (Pre-funded Warrants)
- Shares potentially issuable upon exercise of Pre-Funded Warrants: 348,260 shares of Common Stock
- Exercise price of Pre-Funded Warrants: $0.0001 per share
- Expiration of Pre-Funded Warrants: Immediately exercisable at any time until exercised in full.
- (+2 more items; see filing)
$REEMF (MC: $408M)
- Type of instrument: Subscription Rights Offering
- Shares offered: Up to 129,033,678 Common Shares
- Price per share: $0.24 per share
- Record Date: January 30, 2026
- Exercise period: Beginning on or about February 6, 2026, expiring 5:00 p.m. Eastern Time, on March 4, 2026 (subject to extension until a date no later than March 6, 2026).
- Gross proceeds (if fully subscribed): Approximately $30,900,000
- Shares outstanding (before offering): 516,134,712 common shares (as of January 30, 2026)
- Shares outstanding (if fully subscribed): Approximately 645,168,390 common shares
- Type of instrument: Stock Compensation Plans (Outstanding Stock Options)
- Shares issuable upon exercise: An aggregate of 3,705,000 common shares (as of September 30, 2025)
- Exercise price: Not specified in this filing
- Expiration: Not specified in this filing
$STKL (MC: $755M)
- Type of instrument: Arrangement Agreement
- Description: The Arrangement Agreement details the acquisition of all issued and outstanding common shares of SunOpta Inc. by Pegasus BidCo B.V. (through its subsidiary Purchaser) for $6.50 in cash per common share. This transaction is a take-private transaction and while it involves the exchange of shares, it results in the delisting of SunOpta's common shares from public exchanges and the company ceasing to be a reporting issuer. This is not a dilution event in the traditional sense of issuing *new* shares that increase the total outstanding share count for public shareholders. Instead, it's the acquisition of all existing shares by a private entity.
- Consideration: $6.50 per common share
- Effect on Shares: All issued and outstanding Common Shares will be transferred to Purchaser.
- Maturity/Expiration: Expected to close in the second quarter of 2026.
- Key Terms: This is a cash-out transaction for existing shareholders.
- Type of instrument: Convertible Preferred Stock (Series B-1 Preferred Stock of SunOpta Foods, Inc.)
- Description: Each issued and outstanding share of Series B-1 Preferred Stock in SunOpta Foods, Inc. will be transferred to SunOpta Inc. in exchange for a number of SunOpta Inc. Common Shares. These resulting Common Shares will then be transferred to Purchaser for the cash consideration. This is an exchange mechanism within the acquisition, not an issuance of new equity to the public that would dilute existing public shareholders prior to the acquisition. The dilution effect, if any, is on the preferred shareholders' conversion into common shares, which are then bought out.
- Conversion Ratio: 405.9555467 Common Shares for each share of Series B-1 Preferred Stock.
- Effect on Shares: Resulting Common Shares will be transferred to Purchaser.
- Key Terms: Exchange of preferred stock for common stock, which is then acquired.
- Type of instrument: Equity Awards
- (+11 more items; see filing)
$CLGN (MC: $9M)
- Type of instrument: Ordinary Shares Offering
- Number of shares: 1,600,000 ordinary shares
- Price per share: $1.25
- Type of instrument: Series A Warrants (concurrent private placement)
- Number of shares purchasable: 1,600,000 ordinary shares
- Exercise price per share: $1.25
- Expiration: Five years after the effective date of a registration statement registering the shares issuable upon exercise.
- Type of instrument: Series B Warrants (concurrent private placement)
- Number of shares purchasable: 1,600,000 ordinary shares
- Exercise price per share: $1.25
- Expiration: Eighteen months after the effective date of a registration statement registering the shares issuable upon exercise.
- Type of instrument: Warrants issued to certain investors (June 2025)
- (+20 more items; see filing)
$IINN (MC: $17M)
- Warrants
- Type: Pre-Funded Warrants
- Shares to be Issued: Up to 2,785,715 Ordinary Shares
- Exercise Price: $0.0001 per Ordinary Share
- Key Terms: Immediately exercisable, may be exercised in full subject to a 9.99% beneficial ownership limitation.
- Warrants
- Type: Unregistered ordinary warrants (from Concurrent Private Placement)
- Shares to be Issued: Up to 6,785,715 Ordinary Shares
- Exercise Price: $0.70 per share
- Key Terms: Exercisable six months following their issuance, will expire five and a half years from issuance. Offered pursuant to Section 4(a)(2) and Rule 506(b).
- Warrants (Amended)
- Type: Amended warrants (previously issued in December 2023)
- (+59 more items; see filing)
$COCH (MC: $11M)
- Warrants
- Public Warrants:
- Number of shares: 14,166,666 shares
- Exercise price: $11.50 per share
- Expiration: September 29, 2028
- Redemption terms: Callable for $0.01 per Public Warrant if Common Stock equals or exceeds $18.00 per share; callable for $0.10 per Public Warrant if Common Stock equals or exceeds $10.00 per share (with cashless exercise option).
- Shortfall Warrants (Meteora Warrants):
- Number of shares: 3,874,394 shares (initially issued), 3,104,511 shares outstanding as of September 30, 2025
- Exercise price: Adjusted weekly to the volume weighted average price (VWAP) of Common Stock, not lower than $1.50 (amended from $4.00, then some tranches to $2.00, $3.00, then all remaining to $1.50).
- Expiration: December 31, 2025 (extended from June 30, 2024, then December 31, 2024).
- Counterparty: Meteora Special Opportunity Fund I, LP, Meteora Capital Partners, LP, Meteora Select Trading Opportunities Master, LP, Meteora Strategic Capital, LLC.
- Exercise event: In October 2025, 1,969,012 Shortfall Warrants were exercised at $1.50 per share for $2,954,000 cash proceeds.
- (+118 more items; see filing)
$ATPC (MC: $2M)
- The following are the stock dilution events identified in the provided SEC filing for Agape ATP Corp ($ATPC):
- Type of instrument: Warrants
- Dollar amounts: Up to $200,000,000 (total potential offering size includes warrants)
- Key terms: May be offered independently or together with common stock and/or preferred stock. Prospectus supplement will detail specific terms.
- Type of instrument: Preferred Stock
- Dollar amounts: Up to $200,000,000 (total potential offering size includes preferred stock)
- Key terms: Authorized capital stock consists of 200,000,000 shares of preferred stock. Board of Directors can issue preferred stock with various rights which could adversely affect common stock holders.
- Type of instrument: Units
- Dollar amounts: Up to $200,000,000 (total potential offering size includes units)
- Key terms: May be comprised of any combination of common stock, preferred stock, and warrants. Prospectus supplement will describe terms.
- Type of instrument: Direct Offerings / Registered Direct
- Dollar amounts: Up to $200,000,000 (total potential offering size)
- (+13 more items; see filing)