Exchange listing deficiency and compliance notices under 8-K Item 3.01.
Enveric Biosciences, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“least $2,500,000 (the “Stockholders’ Equity Requirement”). The Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2023, reported stockholders’ equity of $2,435,646. As of the date of this Current Report on Form 8-K, the Company does not have a market value of listed securities of $35 million, or net income from continued operations of”
U S GLOBAL INVESTORS INC received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, U.S. Global Investors, Inc. (the “Company”) received a letter (the “Non-Compliance Letter”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, because the Company has not filed its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”) within the prescribed time period and was delinquent in its filing of its Form 10-K for the period ended June 30, 2023 (the “Form 10-K”), the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c”
OMNIQ Corp. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 21, 2023, OmniQ Corp. (the “Company”) received a notice (the “Notice”) from the staff of the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it was not in compliance with Nasdaq Listing Rule 5550(a)(2) (the “Rule”) because it failed to maintain a minimum bid price of $1.00 over the previous 32 consecutive business days dated October 6, 2023 to November 20, 2023. The Rules provide the company with a compliance period of 180 calendar days in which to regain compliance. If at any time during this 180-day period the clos”
Hempacco Co., Inc. received a nasdaq deficiency notice notice regarding audit committee (rules 5605).
“November 15, 2023, Hempacco Co., Inc. (the “ Company ”) received a written notice (the “ Notice ”) from the Listing Qualifications Department of The Nasdaq Stock Market (“ Nasdaq ”) indicating that the Company is not in compliance with Nasdaq’s audit committee requirements as set forth in Listing Rule 5605 (the “ Audit Committee Requirement ”). The Notice does not result in the immediate delisting of the Company’s common stock from The Nasdaq Capital Market. The Nasdaq listing rules require the Company to have an audit committee comprised of at least three independent directors, and as of Octo”
Motorsport Games Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“(the “Stockholders’ Equity Requirement”). In the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, the Company reported stockholders’ equity of $498,897, which was below the Stockholders’ Equity Requirement. Additionally, the Company did not meet either of the alternative Nasdaq continued listing standards under the Nasdaq Listing”
RYTHM, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“ents as of and for the quarterly periods ended March 31, 2022, June 30, 2022 and September 30, 2022 included in the Company’s Quarterly Reports on Form 10-Q for such periods in amended quarterly reports for the affected periods. As disclosed by the Company on its Notification of Late Filing on Form 12b-25 filed with the SEC on March 31, 2023, August 21, 2023, and November 15, 2023, the Company was unable to timely file the Form 10-K, the First Quarter Form 10-Q, the Second Quarter Form 10-Q and the Third Quarter Form 10-Q without unreasonable effort or expense. The November Nasdaq Notice noted”
ADVENT TECHNOLOGIES HOLDINGS, INC. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).
“May 24, 2023, Advent Technologies Holdings, Inc. (the “ Company ”) received a letter from the Listing Qualifications Staff (the “ Staff ”) of Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that the bid price of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”), had closed below $1.00 per share for 30 consecutive business days and, as a result, the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2), which sets forth the minimum bid price requirement for continued listing on the Nasdaq Capital Market (the “ Minimum Bid Requirement ”). This initial l”
Datavault AI Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 17, 2023, the Nasdaq Listing Qualifications staff (the “Staff”) notified WiSA Technologies, Inc. (the “Company”) that it was not in compliance with Nasdaq Listing Rule 5550(b)(1), which requires companies listed on the Nasdaq Capital Market (“Nasdaq”) to maintain a minimum of $2,500,000 in stockholders’ equity for continued listing (the “Stockholders’ Equity Requirement”). The Company reported stockholders’ equity (deficit) of ($885,000) in its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, and, as a result, did not satisfy the Stockholders’ Equity Requirement”
SenesTech, Inc. received a nasdaq deficiency notice notice regarding other (rules 5550(a)(4)).
“November 20, 2023, we received a letter from the listing qualifications staff (the “Staff”) of The Nasdaq Stock Market (“Nasdaq”) providing notification that we no longer meet the minimum 500,000 publicly held shares requirement pursuant to Nasdaq Listing Rule 5550(a)(4). As a result of our previously announced 1-for-12 reverse stock split of our common stock, the aggregate number of our outstanding shares of common stock was reduced from 5,899,060 shares on a pre-reverse-split basis to a total of 492,293 shares outstanding on a post-reverse split basis. In accordance with Nasdaq rules, we hav”
Chicken Soup for the Soul Entertainment, Inc. received a nasdaq noncompliance notice notice regarding late filing.
“November 21, 2023, Chicken Soup for the Soul Entertainment Inc. (the “ Company ”) received a written notice (the “ Notice ”) from the Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with Nasdaq’s continued listing standards because the Company did not timely file its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “ Quarterly Report ”). Under Nasdaq rules, the Company now has 60 calendar days (or until January 20, 2024) to submit a plan to regain compliance. If Nasdaq accepts the Company’s plan, Nasdaq can grant an exception of u”
ALPINE 4 HOLDINGS, INC. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“any”), received a notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of not having filed the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, with the SEC on time, the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) (the “Listing Rule”), which requires timely filing of all required periodic financial reports with the SEC. The Notice indicated that under Nasdaq Listing Rules, the Company has 60 calendar days to submit a plan to regain compliance with the Listing Rule. If Nasdaq accepts the Company’s p”
Rezolute, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 21, 2023, Rezolute, Inc. (the “ Company ”) received a written notice (the “ Notice ”) from the Listing Qualifications Department of Nasdaq Stock Market (“ Nasdaq ”) indicating that, because the closing bid price for the Company’s common stock has fallen below $1.00 per share for 30 consecutive trading days, the Company was no longer in compliance with the $1.00 Minimum Bid Price requirement set forth in Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market (the “ Bid Price Requirement ”). The Notice has no immediate effect on the listing of the Company’s co”
AIxCrypto Holdings, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 21, 2023, the Company also received a letter (the “Equity Deficiency Letter”) from Nasdaq notifying the Company that, based on the Company’s stockholders’ deficit of ($1,640,552) as of September 30, 2023, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023, it is no longer in compliance with the minimum stockholders’ equity requirement for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(1), which requires listed companies to maintain stockholders’ equity of at least $2.5 million (the “Minimum Sto”
AIxCrypto Holdings, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).
“November 21, 2023, the Company also received a letter (the “Equity Deficiency Letter”) from Nasdaq notifying the Company that, based on the Company’s stockholders’ deficit of ($1,640,552) as of September 30, 2023, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023, it is no longer in compliance with the minimum stockholders’ equity requirement for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(1), which requires listed companies to maintain stockholders’ equity of at least $2.5 million (the “Minimum Sto”
Evoke Pharma Inc received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 21, 2023, the Company received notice from Nasdaq that, due to the Company’s non-compliance with the Minimum Stockholders’ Equity Requirement, the Company was subject to delisting unless it timely requests a hearing before the Nasdaq Hearings Panel (the “Hearings Panel”). The Company plans to timely request a hearing before the Hearings Panel, which request will stay any further action by Nasdaq pending the conclusion of the hearing process. The Company is actively exploring options to regain compliance with Nasdaq listing requirements, including by raising additional capital; however”
COMSovereign Holding Corp. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, COMSovereign Holding Corp. (the “Company”) received notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Staff had determined that an additional basis exists to delist the Company’s securities because the Company has not yet filed its Form 10-Q for the period ending September 30, 2023. The Staff’s determination was based upon the Company’s continued non-compliance with the filing requirement set forth in Nasdaq Listing Rule 5250(c)(1) (the “Filing Requirement”) because the Company has not yet filed its Form”
BROADWAY FINANCIAL CORP \DE\ received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, Broadway Financial Corporation (the “Company”) received written notice (the “Notification Letter”) from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with the periodic financial reporting requirements set forth in Nasdaq Listing Rule 5250(c)(1) (“Rule 5250(c)(1)”) for continued listing on The Nasdaq Capital Market because its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”) was not filed within the time period prescribed by Securities and Exchange Commission rules. As previously reported o”
HALLMARK FINANCIAL SERVICES INC received a nasdaq noncompliance notice notice regarding stockholders equity (rules 5450(b)(1)(A)).
“November 16, 2023, Hallmark Financial Services, Inc. (the “Company”) was notified by Nasdaq Regulation that the Company no longer meets Rule 5450(b)(1)(A), which requires companies listed on the Nasdaq Global Market to maintain a minimum of $10,000,000 in stockholders’ equity for continued listing. Under Nasdaq Rules, the Company has 45 calendar days, or until January 2, 2024, to submit a plan to regain compliance, which if accepted by Nasdaq can provide the Company an extension of up to 180 days from the date of notice to cure such listing deficiency. The Company had previously received not”
CAPITAL CITY BANK GROUP INC received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 15, 2023, Capital City Bank Group, Inc. (the “Company”) received a notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) stating that, because the Company had not yet filed its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”), the Company is no longer in compliance with the continued listing requirements of Nasdaq Listing Rule 5250(c)(1), which requires listed companies to timely file all required periodic financial reports with the Securities and Exchange Commission. The Notice has no immediate effect on the listing or trading of ou”
Candel Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).
“November 15, 2023, Candel Therapeutics, Inc. (the “Company”) received a letter (the “Notice”) from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, for the previous 30 consecutive business days, the closing bid price for the Company’s common stock, par value $0.01 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, w”
Atlantic Coastal Acquisition Corp. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 20, 2023, Atlantic Coastal Acquisition Corp. (the “Company”) received notice (the “Notice”) from the Nasdaq Stock Market LLC (“Nasdaq”) that the Company was not in compliance with Nasdaq’s continued listing standards (the “Listing Rules”) as set forth in Listing Rule 5250(c)(1) given the Company’s failure to timely file its quarterly report on Form 10-Q for the quarter ended September 30, 2023 (the “Report”). The Notice states that the Company must provide a specific plan to achieve and sustain compliance with the Listing Rules by no later than December 5, 2023.. The Company expects t”
Near Intelligence, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, the Company received a written notice (the “Notice”) from the Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with Nasdaq’s Listing Rule 5250(c)(1) because the Company did not timely file its Quarterly Report. Under Nasdaq rules, the Company now has 60 calendar days (until January 14, 2024) to submit a plan to regain compliance. If Nasdaq accepts the Company’s plan, Nasdaq can grant an exception of up to 180 calendar days from the Quarterly Report’s original due date, which 180-day period would end on May 13, 2024, to regain compliance. T”
American Bitcoin Corp. received a nasdaq noncompliance notice notice regarding other.
“received a notice (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”) stating that the resignation of Barry Fishman from the Company’s Board of Directors (the “Board”) (as described in”
SOBR Safe, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 15, 2023, SOBR Safe, Inc. (the “Company”), received a deficiency letter from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market (“Nasdaq”) notifying the Company that, for the preceding 30 consecutive business days, the closing bid price of the Company’s common remained below the minimum $1.00 per share requirement for continued inclusion on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”). The notification has no immediate effect on the Company’s Nasdaq listing and the Company’s common stock will continue to”
Sonendo, Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).
“November 21, 2023, the Company received an additional notice from the NYSE that the Company was not in compliance with the continued listing standard set forth in Section 802.01B because the Company failed to maintain an average global market capitalization over a consecutive 30-day trading period of at least $15,000,000 under Section 802.01B. Accordingly, the NYSE determined to commence proceedings to delist the Common Stock. Trading of the Common Stock will be suspended effective at the opening of business Eastern Standard Time on November 22, 2023. The NYSE will apply to the Securities and”
Sonendo, Inc. received a nyse deficiency notice notice regarding market value (rules 802.01B).
“November 15, 2023, Sonendo, Inc. (the “Company”) received notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) that the Company was not in compliance with the continued listing standard set forth in Section 802.01B of the NYSE’s Listed Company Manual (“Section 802.01B”) because the Company’s average global market capitalization over a consecutive 30 trading-day period was less than $50 million and, at the same time, its stockholders’ equity was less than $50 million. As set forth in the notice, as of November 14, 2023, the 30 trading-day average global market capitalization of t”
Markforged Holding Corp received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).
“November 17, 2023, Markforged Holding Corporation (the “Company”) received written notice from the New York Stock Exchange (the “NYSE”) that the Company is not in compliance with Rule 802.01C of the NYSE’s Listed Company Manual (“Rule 802.01C”) relating to the minimum average closing price of the Company’s common stock required over a consecutive 30 trading-day period. The notice has no immediate effect on the listing of the Company’s common stock, which will continue to be listed and traded on the NYSE, subject to the Company’s compliance with other NYSE continued listing standards. In accord”
AgileThought, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 14, 2023, the Company received written notice from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that as a result of the Chapter 11 Filing, a review of publicly available information, and in accordance with Listing Rules 5101, 5110(b) and IM-5101-1, Nasdaq has determined that the Company’s Class A Common Stock and Warrants to purchase such stock will be delisted from The Nasdaq Stock Market. Trading of those securities will be suspended at the opening of business on November 24, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission (the “SEC”), which”
AgileThought, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 14, 2023, the Company received written notice from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that as a result of the Chapter 11 Filing, a review of publicly available information, and in accordance with Listing Rules 5101, 5110(b) and IM-5101-1, Nasdaq has determined that the Company’s Class A Common Stock and Warrants to purchase such stock will be delisted from The Nasdaq Stock Market. Trading of those securities will be suspended at the opening of business on November 24, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission (the “SEC”), which”
AgileThought, Inc. received a nasdaq delisting notice notice regarding other (rules 5101, 5110(b), IM-5101-1).
“November 14, 2023, the Company received written notice from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that as a result of the Chapter 11 Filing, a review of publicly available information, and in accordance with Listing Rules 5101, 5110(b) and IM-5101-1, Nasdaq has determined that the Company’s Class A Common Stock and Warrants to purchase such stock will be delisted from The Nasdaq Stock Market. Trading of those securities will be suspended at the opening of business on November 24, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission (the “SEC”), which”
Staffing 360 Solutions, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5800).
“ith Nasdaq’s continued listing requirements under the Listing Rule as a result of its failure to file the Q2 Form 10-Q in a timely manner (the “Staff Determination”) and that unless the Company requested an appeal of the Staff Determination pursuant to the procedures set forth in the Nasdaq Listing Rule 5800 Series, trading of the Company’s common stock would be suspended from Nasdaq at the opening of business on October 27, 2023, and a Form 25-NSE would be filed with the Securities and Exchange Commission, which would remove the Company’s securities from listing and registration on Nasdaq. Th”
FiEE, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“sting Rules”) due to the Company’s inability to timely file its Form 10-Q for the period ended September 30, 2023 (the “Form 10-Q”) with the Securities and Exchange Commission (“SEC”). The Notice has no immediate effect on the listing or trading of the Company’s securities. Pursuant to Listing Rule 5250(c)(1), the Company was required to file the Form 10-Q by November 14, 2023 (the “Due Date”). The Company previously reported its inability to file the Form 10-Q by the Due Date in a Form 12b-25 that the Company filed with the SEC on November 15, 2023. Nasdaq has informed the Company that, under”
Troika Media Group, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 17, 2023, Troika Media Group, Inc. (the “Company”) received a delinquency notification letter from Nasdaq stating that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) because it had not timely filed its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”). According to the letter from Nasdaq, the Company must submit a plan of compliance (the “Plan”) within sixty (60) days addressing how it intends to regain compliance with Nasdaq’s listing rules or otherwise file the Form 10-Q before the expiration of such sixty (60) day period”
GSE SYSTEMS INC received a nasdaq compliance regained notice regarding minimum bid price (rules 5550(a)(2)).
“November 14, 2023, the Company received a letter from the Panel advising that the Nasdaq staff had determined that the Minimum Bid Price Requirement deficiency had been cured, the Company is now in compliance with all applicable Nasdaq listing standards, the Company’s stock will continue to be listed and traded on Nasdaq and the Appeal is now moot and the hearing cancelled. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. GSE SYSTEMS, INC. By: /s/”
GSE SYSTEMS INC received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 4, 2022, GSE Systems, Inc. (the “Company”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) stating that the Company was not in compliance with the requirement to maintain a minimum bid price of $1.00 per share of common stock for continued listing on Nasdaq, as set forth in Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). On October 31, 2023, the Company received a written a staff determination letter (the “Staff Determination”) providing that the Company had failed to establish compliance with the Minimum B”
Hyperscale Data, Inc. received a nyse_american deficiency notice notice regarding minimum bid price (rules 1003(f)(v)).
“November 13, 2023, Ault Alliance, Inc., a Delaware corporation (the “ Company ”) received a deficiency letter (the “ Letter ”) from the NYSE American LLC (the “ NYSE American ” or the “ Exchange ”) indicating that the Company is not in compliance with the Exchange’s continued listing standard set forth in Section 1003(f)(v) of the NYSE American Company Guide (the “ Company Guide ”) because the shares of common stock of the Company (the “ Common Stock ”) for a substantial period of time have been selling at a low price per share, which the Exchange determined to be a 30-trading day average pric”
BIOLASE, INC received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 14, 2023, the Company received a deficiency letter from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market (“Nasdaq”) notifying the Company that, based on the Company’s stockholders’ equity of $332,000 as of September 30, 2023, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023, it is no longer in compliance with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(1), which requires listed companies to maintain stockholders”
QUANTUM CORP /DE/ received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).
“September 20, 2023, the Company was notified by Nasdaq that it was not in compliance with Nasdaq’s minimum closing bid price requirement of $1.00 per share, as set forth in Nasdaq Listing Rule 5450(a)(1), for 30 consecutive business days. The Company has until March 18, 2024, to regain compliance with the minimum closing bid price requirement.”
QUANTUM CORP /DE/ received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 14, 2023, Quantum Corporation (the “Company”) received a written notice (the “Notice”) from the Listing Qualifications staff of the Nasdaq Stock Market LLC (“Nasdaq”) stating that the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of the Company’s failure to timely file its Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2023 (the “Quarterly Report”) with the Securities and Exchange Commission (the “SEC”). On November 13, 2023, the Company filed a Notification of Late Filing on Form 12b-25 with the SEC indicating that the filing o”
R1 RCM Inc. /DE received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).
“November 15, 2023, R1 RCM Inc. (the “Company”) received a letter from Nasdaq’s Listing Qualifications Department indicating that, as a result of the Company’s delay in filing its Quarterly Report on Form 10-Q for the three and nine months ended September 30, 2023 (the “Form 10-Q”), the Company no longer complies with the continued listing requirements under Nasdaq Listing Rule 5250(c)(1), which requires Nasdaq-listed companies to timely file all periodic reports with the Securities and Exchange Commission (the “Commission”). On November 13, 2023, the Company filed with the Commission a Notific”
ZyVersa Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)(iii)).
“November 14, 2023, Nasdaq issued a letter to the Company that as of November 13, 2023, it determined that the Company’s securities had a closing bid price of $0.10 or less for ten consecutive trading days. Accordingly, the Company is subject to the provisions contemplated under Listing Rule 5810(c)(3)(A)(iii) (the “Low Priced Stocks Rule”). As a result, Nasdaq has determined to delist the Company’s securities from The Nasdaq Global Market, on November 16, 2023, unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). Accordingly, the Company has timely reque”
Allarity Therapeutics, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 16, 2023, we received a letter from Staff notifying us that the Company’s stockholders’ equity, as reported in its Quarterly Report on Form 10-Q for the period ended September 30, 2023 (the “Form 10-Q”), did not satisfy the continued listing requirement under Listing Rule 5550(b)(1) for The Nasdaq Capital Market, which requires that a listed company’s stockholders’ equity be at least $2.5 million. As reported on the Form 10-Q, the Company’s stockholders’ equity as of September 30, 2023 was ($3,379,000). Pursuant to the Staff letter , the Company is not eligible for a 180-calendar day”
Allarity Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“October 27, 2023, we received a notification from Staff that it has determined that the bid price of our Common Stock has closed at less than $1 per share over the previous 30 consecutive business days, and did not comply with Listing Rule 5550(a)(2). As a result, our Common Stock will be delisted from The Nasdaq Capital Market. We have appealed such determination by requesting a hearing. The hearing has been scheduled for February 1, 2024 before a Nasdaq Hearing Panel (the “Panel Hearing”). On November 16, 2023, we received a letter from Staff notifying us that the Company’s stockholders’ equ”
Offerpad Solutions Inc. received a nyse delisting notice notice regarding other (rules 802.01D).
“November 15, 2023, Offerpad Solutions Inc. (the “Company”) received notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) that the Company’s warrants (the “Warrants”) are no longer suitable for listing based on “abnormally low” price levels, pursuant to Section 802.01D of the NYSE Listed Company Manual, and that the NYSE Regulation has determined to commence proceedings to delist the Warrants. Every 15 Warrants are presently exercisable for one share of the Company’s Class A common stock at an exercise price per share of $172.50, ticker symbol “OPADWS.” To effect the delisting, t”
Corvex, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
“November 14, 2023, Movano Inc. (the “Company”) received a written notice (the “Notice”) from the Listing Qualifications Department of Nasdaq Stock Market (“Nasdaq”) indicating that, because the closing bid price for the Company’s common stock has fallen below $1.00 per share for 30 consecutive trading days, the Company was no longer in compliance with the $1.00 Minimum Bid Price requirement set forth in Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market (the “Bid Price Requirement”). The Notice has no immediate effect on the listing of the Company’s common stock”
Finch Therapeutics Group, Inc. received a nasdaq deficiency notice notice regarding market value (rules 5450(b)(1)(C)).
“November 15, 2023, Finch Therapeutics Group, Inc. (the “Company”) received a deficiency letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, for the last 35 consecutive business days, it did not meet the requirement to have a market value of publicly held shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), of $5.0 million pursuant to Nasdaq Listing Rule 5450(b)(1)(C) (the “MVPHS Rule”). The deficiency letter has no immediate effect on the listing of the Common Stock on the Nasdaq Global Select”
INTELLIGENT BIO SOLUTIONS INC. received a nasdaq noncompliance notice notice regarding stockholders equity (rules 5550(b)(1)).
“companies listed on the Nasdaq Capital Market to maintain stockholders’ equity of at least $2,500,000. In the Company’s Form 10-Q, the Company reported stockholders’ equity of $1,236,558, which is below the minimum stockholders’ equity required for continued listing pursuant to Nasdaq Listing Rule 5550(b)(1). As indicated in Nasdaq’s letter, as of November 15,”
Ensysce Biosciences, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
“November 13, 2023, Ensysce Biosciences, Inc. (the “Company”) received notice from the Listing Qualifications department of The Nasdaq Stock Market LLC (“Nasdaq”) stating that, due to the Company’s non-compliance with the $2.5 million stockholders’ equity requirement set forth in Nasdaq Listing Rule 5550(b)(1) as of September 30, 2023, the Company was subject to delisting unless it timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). The Company plans to timely request a hearing before the Panel, which request will stay any further action by Nasdaq pending the conclusion of”
Virpax Pharmaceuticals, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, the Company received a letter from The NASDAQ Stock Market LLC (“NASDAQ”) notifying the Company that it was not in compliance with the continued listing requirements of NASDAQ Listing Rule 5250(c)(1) because its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 had not yet been filed with the Securities and Exchange Commission (“SEC”). NASDAQ Listing Rule 5250(c)(1) requires the Company to timely file all required periodic financial reports with the SEC. Under the Nasdaq rules, the Company now has 60 calendar days (until January 16, 2024) to submit a pl”
Axcella Health Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).
“November 16, 2023, Axcella Health Inc. (the “Company”) was notified by the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) that the Company was not in compliance with the continued listing requirements of Nasdaq Listing Rule 5250(c)(1) because its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 had not yet been filed with the Securities and Exchange Commission (“SEC”). The Nasdaq Hearings Panel (the “Panel”) will consider this matter in its decision regarding the Company’s continued listing on The Nasdaq Global Market. Forward Lo”
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.