Generated November 13, 2026 at 8:32 PM ET
· Covers November 13 trading day
· 10 of 287 ready 8-Ks selected
· AI-assisted overview
Several of the day's filings concerned listing-standard failures: CN Healthy Food Tech Group received a second Nasdaq delisting determination tied to a CSRC letter, PSQ Holdings was delisted by NYSE over a sub-$15M market cap, and NextNRG was suspended from Nasdaq after a Hearings Panel denial. ESS Tech filed a voluntary Chapter 7 petition and ceased operations, stating it is unlikely common stockholders will receive any distribution. Deal news included INNOVATE's completed DBMG sale and $325M note redemption, WinVest's terminated combination with Embed Financial, and RAIN's agreement to merge with Tensor Networks at a $180M valuation with Tensor holders owning roughly 90% of the combined company. Elsewhere, Rezolute said its Phase 3 upLIFT study met the primary endpoint, Tonix filed a patent suit against Dr. Reddy's over a generic TONMYA ANDA, and Mobix Labs reported preliminary Q4 revenue growth alongside a 1-for-7 reverse split and the end of its SPD merger.
UCFI
CN Healthy Food Tech Group Corp.
regulatory
negative
materiality 0.90
November 13, 2026, 4:17 PM ET
Nasdaq issues second delisting determination against CN Healthy Food Tech after CSRC letter
- Nasdaq Staff issued a Nov 9, 2026 delisting determination under Rule 5101 and Misrepresentation Rules 5205(e)/5250(a)(1), citing a CSRC letter to the Staff dated Oct 30, 2026.
- CSRC allegations concern the status of the company's CSRC filing compliance, authenticity of materials previously provided to Nasdaq Staff, responsiveness to CSRC inquiries, and its PRC counsel.
- Company may submit written information to the Nasdaq Hearings Panel no later than Nov 16, 2026; the trading halt in UCFI and UCFIW remains in effect.
M&A
positive
materiality 0.95
November 13, 2026, 4:54 PM ET
INNOVATE closes DBMG sale to IES for ~$413M total cash and 430,974 IES shares; redeems $325M notes
- INNOVATE closed the DBMG sale to IES on Oct. 5, 2026, receiving ~$378M cash plus 430,974 IES shares and a $35M tax-election payment, ~$413M total cash.
- DBMG's $68.7M credit agreement was repaid and terminated; INNOVATE used $20.7M of DBMG proceeds to repay its MSD revolving line of credit.
- INNOVATE redeemed $325.0M principal of its 10.50% 2027 senior secured notes on Oct. 15 for $332.0M total, including $7.0M accrued interest.
regulatory
negative
materiality 0.88
November 13, 2026, 4:06 PM ET
PSQ Holdings delisted by NYSE over sub-$15M market cap; trading suspended, moved to Pink Market
- NYSE notified PSQ Holdings on Nov 9, 2026 that it will commence delisting proceedings; trading in Class A stock and warrants was suspended immediately.
- Delisting cites non-compliance with Section 802.01B, which requires average global market cap of at least $15 million over 30 consecutive trading days.
- Warrants (PSQH.WS, exercisable for 1/15 share at $172.50) were also deemed unsuitable for listing under Section 802.01D for 'abnormally low selling price.'
regulatory
negative
materiality 0.88
November 13, 2026, 4:05 PM ET
NextNRG suspended from Nasdaq Nov 12; stock now quoted on OTC Markets as NXXT
- Nasdaq Hearings Panel denied NextNRG's request to keep listing; trading suspended at the open on Nov 12, 2026, postponed one day from Nov 11.
- Postponement came because Nasdaq believed the Series C preferred conversion price was $1.35/share; the actual conversion price is $13.50/share.
- Prior notices: March 16, 2026 for failing the $1.00 minimum bid price rule and Oct 21, 2026 for missing the $35M market value of listed securities standard.
WINV
WinVest Acquisition Corp.
M&A
negative
materiality 0.85
November 13, 2026, 4:30 PM ET
WinVest Acquisition and Embed Financial terminate business combination agreement
- Termination and Release Agreement dated Nov. 9, 2026 mutually ends the amended business combination agreement signed May 26, 2026.
- Parties abandon the proposed merger and release claims tied to the transaction documents, with confidentiality agreements surviving.
- WinVest drew $30,000 on Nov. 10, 2026 under its $180,000 unsecured promissory note to sponsor WinVest SPAC LLC.
RAIN
Rain Enhancement Technologies Holdco, Inc.
M&A
neutral
materiality 0.85
November 13, 2026, 9:18 AM ET
RAIN to merge with Tensor Networks at $180M valuation; Tensor holders to own ~90% of combined company
- RAIN, Merger Sub and Tensor Networks signed a merger agreement on Nov. 12, 2026; Tensor would become a wholly owned RAIN subsidiary, with closing expected in February 2027.
- Exchange ratio values RAIN at $20M and Tensor Networks at $180M; Tensor pre-merger holders to own ~90% of combined company, RAIN shareholders ~10% fully diluted.
- Closing conditions include at least $25M gross cash from Financing less Tensor SAFEs; Tensor may raise up to $5M via SAFEs pre-close; no definitive financing agreements signed yet.
other material
negative
materiality 1.00
November 13, 2026, 4:05 PM ET
ESS Tech files Chapter 7, ceases operations; CEO Buckley and CFO Suhadolnik among all employees terminated
- On November 13, 2026 ESS Tech filed a voluntary Chapter 7 petition in the U.S. Bankruptcy Court for the District of Delaware after considering all strategic alternatives; operations ceased.
- A court-appointed Chapter 7 trustee assumes control of assets and liabilities, stripping the board and officers of authority; assets will be liquidated and claims paid per Bankruptcy Code priorities.
- Company states it is unlikely holders of its common stock will receive any payment or distribution; it warns post-petition trading is highly speculative with substantial risk of loss.
TNXP
Tonix Pharmaceuticals Holding Corp.
litigation
negative
materiality 0.60
November 13, 2026, 4:00 PM ET
Tonix sues Dr. Reddy's over TONMYA generic; ANDA filing triggers up to 30-month FDA approval stay
- Dr. Reddy's sent an Oct. 1, 2026 notice that it filed an ANDA with a Paragraph IV certification for generic TONMYA (cyclobenzaprine HCl) sublingual tablets, 2.8 mg.
- Tonix filed a patent infringement complaint Nov. 13, 2026 in the U.S. District Court for the District of New Jersey against Dr. Reddy's Laboratories Ltd. and Dr. Reddy's Laboratories, Inc.
- Complaint asserts Orange Book patents 9,636,408; 9,956,188; 10,117,936; and 10,864,175, and seeks FDA approval no earlier than the last patent's expiration.
other material
positive
materiality 0.85
November 13, 2026, 6:27 AM ET
Rezolute's Phase 3 upLIFT study of ersodetug in tumor hyperinsulinism hits primary endpoint
- 13 of 16 participants met the ≥50% GIR reduction responder criterion, including 12 with complete IV glucose discontinuation; threshold was ≥9 responders (≥56%).
- Primary endpoint achievement based on preliminary results from a November 5, 2026 data evaluation; topline and statistical analysis expected by mid-December 2026.
- One participant discontinued early to enter home hospice and died a week later from cancer progression; classified as a non-responder.
earnings
positive
materiality 0.70
November 13, 2026, 9:50 AM ET
Mobix Labs Q4 revenue jumps 129% to $1.81M; sets 1-for-7 reverse split, ends SPD merger
- Preliminary Q4 revenue ~$1.81M vs $789K in prior quarter (+129%), above $1.4M-$1.8M guidance; product revenue $1.43M (+171%), though total revenue fell ~4% YoY.
- GAAP gross margin expanded to 44.5% from 12.9%; gross profit $804K vs $102K; operating loss narrowed to $6.56M from $7.35M; net loss $9.09M vs $16.80M.
- FY2026 preliminary GAAP net loss was $41.86M, including $23.43M of charges: $12.30M stock-based compensation, $1.21M D&A and $9.91M note/preferred/warrant losses.