secwatch / observer

Listing & Compliance Notices

Exchange listing deficiency and compliance notices under 8-K Item 3.01.

8-K items 3.01 JSON
TMC TMC the metals Co Inc.

TMC the metals Co Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“January 6, 2025, TMC the metals company Inc. (the “Company”) received a written notice from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that the closing bid price of the Company’s common shares (the “Com”
NXTT Next Technology Holding Inc.

Next Technology Holding Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a), 5810(c)(2)(G)).

“January 7, 2025, Next Technology Holding Inc (formerly known as WeTrade Group Inc. (the “Company”)) received a written notice from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it was not in complianc”
BNKK BONK, INC.

BONK, INC. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 2, 2025, Safety Shot, Inc., (the “Company”) received a notice from The Nasdaq Stock Exchange (“Nasdaq”) that the closing bid price for our common stock had been below $1.00 per share for the previous 30 consecuti”
CODX Co-Diagnostics, Inc.

Co-Diagnostics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 10, 2025, Co-Diagnostics, Inc. (“CODX” or “the Company”) received a notice from Nasdaq Listing Qualifications department (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) stating that the closing bid price”
EVFM Evofem Biosciences, Inc.

Evofem Biosciences, Inc. received a otc deficiency notice notice regarding minimum bid price.

“January 6, 2025, Evofem Biosciences, Inc. (the “Company”) received a written notice (the “OTC Notice”) from the OTC Markets Group (“OTC”) notifying the Company that, because the closing bid price for the Company’s common”
MTNB Matinas BioPharma Holdings, Inc.

Matinas BioPharma Holdings, Inc. received a nyse_american deficiency notice notice regarding other.

“January 6, 2025, Matinas BioPharma Holdings, Inc. (the “Company”) received a deficiency letter (the “Notice”) from the NYSE American LLC (“NYSE American”) stating that the Company failed to hold an annual meeting of stoc”
IPDN Professional Diversity Network, Inc.

Professional Diversity Network, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 9, 2025, the Company received a letter from Nasdaq informing the Company that the Nasdaq Staff has determined that the Company had not regained compliance with Rule 5550(a)(2), stating that the Company did not sa”
NMTC NEUROONE MEDICAL TECHNOLOGIES Corp

NEUROONE MEDICAL TECHNOLOGIES Corp received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 8, 2025, the Company received a letter from the Staff indicating the Company’s continued non-compliance with the Minimum Bid Price Requirement. The letter further informed the Company that the Company’s common st”
CARM Carisma Therapeutics Inc.

Carisma Therapeutics Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“January 6, 2025, Carisma Therapeutics Inc. (the “Company”) received written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, based upo”
CETY Clean Energy Technologies, Inc.

Clean Energy Technologies, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a), 5810(c)(2)(G)).

“January 8, 2025, Clean Energy Technology, Inc., a Nevada corporation (the “ Company ”) received a letter from the staff of the Listing Qualifications Department (the “ Staff ”) of The Nasdaq Stock Market (“ Nasdaq ”) not”
DURECT CORP

DURECT CORP received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“January 9, 2025, DURECT Corporation, a Delaware Corporation (the “Company”), received a letter (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) informing the Company that, b”
PMN ProMIS Neurosciences Inc.

ProMIS Neurosciences Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 3, 2025, ProMIS Neurosciences Inc. (“Company”) received written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) stating that the Company’s common shares, no par value (the “Common Shares”) failed to comply with the $1 minimum bid price required for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Rule”) based upon the closing bid price of the Common Shares for the 30 consecutive trading days prior to the date of the Minimum Bid Price Notice from Nasdaq. The Notice has n”
SCNX Scienture Holdings, Inc.

Scienture Holdings, Inc. received a nasdaq deficiency notice notice regarding shareholders (rules 5620(a)).

“January 3, 2025, Scienture Holdings, Inc. (the “Company”) received a written notice from the Listing Qualifications department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with Nasdaq Listing Rule 5620(a), due to the Company not holding an annual meeting of stockholders in 2024 within one year of the Company’s 2023 fiscal year end. The Company has until February 18, 2025, which is 45 days from the date of the notice, to submit a plan to regain compliance and, if Nasdaq accepts the plan, it may grant up to 180 calendar days from the fiscal year end”
Syros Pharmaceuticals, Inc.

Syros Pharmaceuticals, Inc. received a nasdaq deficiency notice notice regarding market value (rules 5450(b)(2)(A), 5450(b)(2)(C)).

“January 6, 2025, Syros Pharmaceuticals, Inc. (“ Syros ”) received deficiency letters (the “ Notices ”) from the Listing Qualifications Department of the Nasdaq Stock Market, LLC (“ Nasdaq ”) notifying Syros that: • for the last 35 consecutive business days, the bid price for Syros’ common stock has closed below $1.00 per share, which is the minimum bid price required to maintain continued listing on the Nasdaq Global Select Market under Nasdaq Listing Rule 5450(a)(1) (the “ Minimum Bid Requirement ”); • for the last 30 consecutive business days, the Minimum Value of Listed Securities, as defin”
Syros Pharmaceuticals, Inc.

Syros Pharmaceuticals, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“January 6, 2025, Syros Pharmaceuticals, Inc. (“ Syros ”) received deficiency letters (the “ Notices ”) from the Listing Qualifications Department of the Nasdaq Stock Market, LLC (“ Nasdaq ”) notifying Syros that: • for the last 35 consecutive business days, the bid price for Syros’ common stock has closed below $1.00 per share, which is the minimum bid price required to maintain continued listing on the Nasdaq Global Select Market under Nasdaq Listing Rule 5450(a)(1) (the “ Minimum Bid Requirement ”); • for the last 30 consecutive business days, the Minimum Value of Listed Securities, as defin”
SLE Super League Enterprise, Inc.

Super League Enterprise, Inc. received a nasdaq deficiency notice notice regarding shareholders (rules 5620(a)).

“January 3, 2025, the Company received a letter (the “ Annual Meeting Letter ”) from Nasdaq indicating that the Company no longer complies with Listing Rule 5620(a) (the “ Annual Meeting Rule ”) since it did not hold an annual meeting of stockholders within twelve months of the end of the Company’s fiscal year ended December 31, 2023. The Bid Price Letter and the Annual Meeting Letter have no immediate effect on the listing of the Company's Common Stock on The Nasdaq Capital Market. The Company intends to monitor the closing bid price of its Common Stock. To regain compliance with Nasdaq Listin”
SLE Super League Enterprise, Inc.

Super League Enterprise, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 2, 2025, Super League Enterprise, Inc. (the “ Company ”) received a letter (the “ Bid Price Letter ”) from the Listing Qualifications Staff of The Nasdaq Stock Market, LLC (“ Nasdaq ”) indicating that, based upon the closing bid price of the Company’s common stock, par value $0.001 per share (“ Common Stock ”), for the last 30 consecutive business days, the Company is not currently in compliance with the requirement to maintain a minimum bid price of $1.00 per share for continued listing on the Nasdaq Capital Market, as set forth in Nasdaq Listing Rule 5550(a)(2). On January 3, 2025”
OZ Belpointe PREP, LLC

Belpointe PREP, LLC received a nyse_american deficiency notice notice regarding shareholders (rules 704).

“January 6, 2025, Belpointe PREP, LLC, a Delaware limited liability company (“Belpointe OZ, “we,” “us,” “our,” or the “Company”) received a letter from NYSE American LLC (“NYSE American”) indicating that, as a result of having not held its annual meeting of unitholders (the “Annual Meeting”) for the fiscal year ended December 31, 2023 by December 31, 2024, the Company is noncompliant with the continued listing standards set forth in Section 704 of the NYSE American Company Guide, and, consequently, the Company’s ticker symbol may include a below compliance (“.BC”) indicator until such time as t”
IPW iPower Inc.

iPower Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“”) stating that for the 30 consecutive business day period between November 15, 2024 to December 31, 2024, the Company’s common stock had failed to maintain a minimum closing bid price of $1.00 per share, as required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). Pursuant to Nasdaq Listing Rule 5810(c)(3)(A), the Company has an initial period of 180 calendar days, or until July 1, 2025 (the “Compliance Period”), to regain compliance with the Minimum Bid Price Requirement. To regain compliance, the closing bid”
KIDPIK CORP.

KIDPIK CORP. received a nasdaq delisting notice notice regarding stockholders equity (rules 5550(b)(1)).

“December 20, 2024, the Company received notice from The Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that the Nasdaq Hearings Panel (the “ Panel ”) had determined to delist the Company’s securities from Nasdaq based upon the Company’s non-compliance with Listing Rule 5550(b)(1), Nasdaq’s minimum shareholders’ equity rule (the “ Equity Rule ”). As a result of the Panel’s decision, Nasdaq suspended trading in the Company’s securities effective at the open of business on Thursday, December 26, 2024. Concurrent with the suspension of trading of its common stock on Nasdaq, the Company’s shares b”
COOT Australian Oilseeds Holdings Ltd

Australian Oilseeds Holdings Ltd received a nasdaq compliance regained notice regarding minimum bid price (rules 5450(a)(1)).

“January 3, 2025, the Listing Qualifications staff of The Nasdaq Stock Market (“Nasdaq”) sent a letter to Australian Oilseeds Holdings Limited (the “Company”) to notify the Company that Nasdaq has determined that for the last 15 consecutive business days, from December 11, 2024 to January 2, 2025, the closing bid price of the Company’s Ordinary Shares has been at $1.00 per share or greater. Accordingly, the Company has regained compliance with Listing Rule 5450(a)(1), and this matter, as previously reported on Form 6-K filed with the Securities and Exchange Commission on September 4, 2024, is n”
AEMD AETHLON MEDICAL INC

AETHLON MEDICAL INC received a nasdaq extension granted notice regarding minimum bid price (rules 5810(c)(3)(A)).

“In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company was provided 180 days, or until December 24, 2024, to regain compliance with the Minimum Bid Requirement.”
TITAN PHARMACEUTICALS INC

TITAN PHARMACEUTICALS INC received a nasdaq deficiency notice notice regarding shareholders (rules 5620(a), 5810(c)(2)(G)).

“January 3, 2025, Titan Pharmaceuticals, Inc. (the “Company”) received a notice (the “Notice”) from the Nasdaq Listing Qualifications Staff of The Nasdaq Capital Market (“Nasdaq”) that the Company is in noncompliance with Listing Rules 5620(a) and 5810(c)(2)(G) as a result of its failure to hold an annual shareholder meeting within twelve months of the December 31, 2023 fiscal year end. The Notice has no immediate effect on the Company’s listing on the Nasdaq Capital Market. The Company now has 45 days to submit a plan to regain compliance. If that plan is accepted by Nasdaq, then the Company m”
TITAN PHARMACEUTICALS INC

TITAN PHARMACEUTICALS INC received a nasdaq deficiency notice notice regarding shareholders (rules 5620(a), 5810(c)(2)(G)).

“January 3, 2025, Titan Pharmaceuticals, Inc. (the “Company”) received a notice (the “Notice”) from the Nasdaq Listing Qualifications Staff of The Nasdaq Capital Market (“Nasdaq”) that the Company is in noncompliance with”
AEMD AETHLON MEDICAL INC

AETHLON MEDICAL INC received a nasdaq extension granted notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“January 7, 2025, the Company received a letter from Nasdaq (the “Extension Notice”) advising that the Company has been granted a 180-day extension, or until June 23, 2025, to regain compliance with the Minimum Bid Price”
COOT Australian Oilseeds Holdings Ltd

Australian Oilseeds Holdings Ltd received a nasdaq compliance regained notice regarding minimum bid price (rules 5450(a)(1)).

“January 3, 2025, the Listing Qualifications staff of The Nasdaq Stock Market (“Nasdaq”) sent a letter to Australian Oilseeds Holdings Limited (the “Company”) to notify the Company that Nasdaq has determined that for the”
KIDPIK CORP.

KIDPIK CORP. received a nasdaq delisting notice notice regarding stockholders equity (rules 5550(b)(1)).

“December 20, 2024, the Company received notice from The Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that the Nasdaq Hearings Panel (the “ Panel ”) had determined to delist the Company’s securities from Nasdaq based u”
IPW iPower Inc.

iPower Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“.00 per share, as required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). Pursuant to Nasdaq Listing Rule 5810(c)(3)(A), the Company h”
OZ Belpointe PREP, LLC

Belpointe PREP, LLC received a nyse_american deficiency notice notice regarding other.

“January 6, 2025, Belpointe PREP, LLC, a Delaware limited liability company (“Belpointe OZ, “we,” “us,” “our,” or the “Company”) received a letter from NYSE American LLC (“NYSE American”) indicating that, as a result of h”
SLE Super League Enterprise, Inc.

Super League Enterprise, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).

“January 3, 2025, the Company received a letter (the “ Annual Meeting Letter ”) from Nasdaq indicating that the Company no longer complies with Listing Rule 5620(a) (the “ Annual Meeting Rule ”) since it did not hold an a”
SLE Super League Enterprise, Inc.

Super League Enterprise, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 2, 2025, Super League Enterprise, Inc. (the “ Company ”) received a letter (the “ Bid Price Letter ”) from the Listing Qualifications Staff of The Nasdaq Stock Market, LLC (“ Nasdaq ”) indicating that, based upon”
SCNX Scienture Holdings, Inc.

Scienture Holdings, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).

“January 3, 2025, Scienture Holdings, Inc. (the “Company”) received a written notice from the Listing Qualifications department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance w”
PMN ProMIS Neurosciences Inc.

ProMIS Neurosciences Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 3, 2025, ProMIS Neurosciences Inc. (“Company”) received written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) stating that the Company’s common shares”
LXRX LEXICON PHARMACEUTICALS, INC.

LEXICON PHARMACEUTICALS, INC. received a nasdaq extension granted notice regarding minimum bid price (rules 5810(c)(3)(A)).

“January 3, 2025, we received a letter (the “Notice”) from the Listing Qualifications staff of The NASDAQ Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of our common stock for the last 31 consecutive business days, we no longer meet the requirement to maintain a minimum bid price of $1 per share, as set forth in Nasdaq Listing Rule 5450(a)(1). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), we have been provided a period of 180 calendar days, or until July 2, 2025, in which to regain compliance. In order to regain compliance with the minimum bid price requi”
LXRX LEXICON PHARMACEUTICALS, INC.

LEXICON PHARMACEUTICALS, INC. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“January 3, 2025, we received a letter (the “Notice”) from the Listing Qualifications staff of The NASDAQ Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of our common stock for the last 31 consecutive business days, we no longer meet the requirement to maintain a minimum bid price of $1 per share, as set forth in Nasdaq Listing Rule 5450(a)(1). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), we have been provided a period of 180 calendar days, or until July 2, 2025, in which to regain compliance. In order to regain compliance with the minimum bid price requi”
ALOY REALLOYS INC.

REALLOYS INC. received a nasdaq noncompliance notice notice regarding board independence (rules 5605(b)(1), 5605(c)(2)(A), 5605(a)(2)).

“January 7, 2025, Blackboxstocks Inc. (the “Company”) notified the Nasdaq Stock Market LLC (“Nasdaq”) that the Company is currently not in compliance with Nasdaq’s annual meeting requirements as set forth in Nasdaq Listing Rule 5620(a). Nasdaq Listing Rule 5620(a) requires that each company listing common stock or preferred stock, and their equivalents, hold an annual meeting of stockholders within one year of the end of each fiscal year. As such, the Company was required to hold its 2024 annual meeting of the stockholders (the “2024 Annual Meeting”) on or before December 31, 2024. The Company”
ALOY REALLOYS INC.

REALLOYS INC. received a nasdaq noncompliance notice notice regarding other (rules 5620(a)).

“January 7, 2025, Blackboxstocks Inc. (the “Company”) notified the Nasdaq Stock Market LLC (“Nasdaq”) that the Company is currently not in compliance with Nasdaq’s annual meeting requirements as set forth in Nasdaq Listing Rule 5620(a). Nasdaq Listing Rule 5620(a) requires that each company listing common stock or preferred stock, and their equivalents, hold an annual meeting of stockholders within one year of the end of each fiscal year. As such, the Company was required to hold its 2024 annual meeting of the stockholders (the “2024 Annual Meeting”) on or before December 31, 2024. The Company”
SHPH Shuttle Pharmaceuticals Holdings, Inc.

Shuttle Pharmaceuticals Holdings, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“December 30, 2024 the Company’s common stock had failed to maintain a minimum closing bid price of $1.00 per share, as required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). Pursuant to Nasdaq Listing Rule 5810(c)(3)(A), the Company has an initial period of 180 calendar days, or until June 30, 2025 (the “Compliance Period”), to regain compliance with the Minimum Bid Price Requirement. To regain compliance, the closing bid price of the Company’s common stock must meet or exceed $1.00 per share for a minimum o”
SNSE Sensei Biotherapeutics, Inc.

Sensei Biotherapeutics, Inc. received a nasdaq extension granted notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“January 7, 2025 (the “Second Nasdaq Notice”), that the Company’s application to transfer to the Nasdaq Capital Market was approved and the Company is eligible for an additional 180 calendar day period, or until July 7, 2025 (the “Second Compliance Date”), to regain compliance with the minimum bid price requirement. At the opening of business on January 8, 2025, the Company’s common stock will be transferred to the Nasdaq Capital Market, which operates in substantially the same manner as the Nasdaq Global Select Market, where it continues to trade under the symbol “SNSE”. The Company intends to”
REVB REVELATION BIOSCIENCES, INC.

REVELATION BIOSCIENCES, INC. received a nasdaq compliance regained notice regarding stockholders equity (rules 5550(b)(1)).

“January 3, 2025, Revelation Biosciences, Inc. (the “Company”) received a decision letter issued by the Nasdaq Hearings Panel granting the Company’s request to continue its listing on The Nasdaq Stock Market, subject to e”
REVB REVELATION BIOSCIENCES, INC.

REVELATION BIOSCIENCES, INC. received a nasdaq extension granted notice regarding minimum bid price (rules 5550(a)(2)).

“January 3, 2025, Revelation Biosciences, Inc. (the “Company”) received a decision letter issued by the Nasdaq Hearings Panel granting the Company’s request to continue its listing on The Nasdaq Stock Market, subject to e”
SHPH Shuttle Pharmaceuticals Holdings, Inc.

Shuttle Pharmaceuticals Holdings, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“December 30, 2024 the Company’s common stock had failed to maintain a minimum closing bid price of $1.00 per share, as required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2”
ALOY REALLOYS INC.

REALLOYS INC. received a nasdaq deficiency notice notice regarding board independence (rules 5605(b)(1), 5605(c)(2)(A)).

“January 7, 2025, Blackboxstocks Inc. (the “Company”) notified the Nasdaq Stock Market LLC (“Nasdaq”) that the Company is currently not in compliance with Nasdaq’s annual meeting requirements as set forth in Nasdaq Listin”
ALOY REALLOYS INC.

REALLOYS INC. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).

“January 7, 2025, Blackboxstocks Inc. (the “Company”) notified the Nasdaq Stock Market LLC (“Nasdaq”) that the Company is currently not in compliance with Nasdaq’s annual meeting requirements as set forth in Nasdaq Listin”
LXRX LEXICON PHARMACEUTICALS, INC.

LEXICON PHARMACEUTICALS, INC. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“January 3, 2025, we received a letter (the “Notice”) from the Listing Qualifications staff of The NASDAQ Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of our common stock for the last 31 c”
LUNA INNOVATIONS INC

LUNA INNOVATIONS INC received a nasdaq deficiency notice notice regarding shareholders (rules 5620(a)).

“rs. On January 3, 2025, the Company also received a delinquency notification letter from Nasdaq stating that because the Company has not held an annual meeting of shareholders within twelve months of the Company’s fiscal year ended December 31, 2023, it is not in compliance with Nasdaq Listing Rule 5620(a), which requires listed companies hold an annual meeting of shareholders no later than one year after the end of the company’s fiscal year-end. As previously announced, the Company received earlier notices of non-compliance with respect to with Nasdaq Listing Rule 5250(c)(1) on November 14, 2”
LUNA INNOVATIONS INC

LUNA INNOVATIONS INC received a nasdaq delisting notice notice regarding late filing (rules 5250(c)(1)).

“rs. On January 3, 2025, the Company also received a delinquency notification letter from Nasdaq stating that because the Company has not held an annual meeting of shareholders within twelve months of the Company’s fiscal year ended December 31, 2023, it is not in compliance with Nasdaq Listing Rule 5620(a), which requires listed companies hold an annual meeting of shareholders no later than one year after the end of the company’s fiscal year-end. As previously announced, the Company received earlier notices of non-compliance with respect to with Nasdaq Listing Rule 5250(c)(1) on November 14, 2”
CETX CEMTREX INC

CEMTREX INC received a nasdaq noncompliance notice notice regarding stockholders equity (rules 5550(b)(1)).

“January 2, 2025, the Company received a letter from Nasdaq notifying the Company that based on the Company’s Form 10-K filed on December 30, 2024, evidencing stockholders’ equity of $4,710,677, Nasdaq has determined that the Company complies with the Minimum Stockholder’s Equity Requirement and this matter is now closed.”
BNAI Brand Engagement Network Inc.

Brand Engagement Network Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“ng the Company that, for the previous 30 consecutive business days, the closing bid price for the Company’s common stock, par value $0.0001 per share (the “Common Stock”), had been below the minimum $1.00 per share required for continued listing on The Nasdaq Global Market under Nasdaq Listing Rule 5450(a)(1) (the “Bid Price Requirement”). The Notice has no effect at this time on the Common Stock, which continues to trade on The Nasdaq Global Market under the symbol “BNAI”. In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has been provided an initial period of 180 calendar day”
Real Good Food Company, Inc.

Real Good Food Company, Inc. received a nasdaq delisting notice notice regarding late filing (rules 5250(c)(1)).

“January 3, 2025, The Real Good Food Company, Inc. (the “Company ”), received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) that it has determined to delist the Company’s common stock on Nasdaq. The delisting is a result of the Company’s failure to demonstrate compliance with Nasdaq Listing 5250(c)(1) for failure to file periodic financial reports. Trading in the Company’s common stock on Nasdaq will be suspended on January 7, 2025. As a result of the foregoing, the Company’s common stock is expected to commence trading on the Pink Open Market operated by the OTC Markets Group, Inc. (”OT”

Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.