secwatch / observer

Listing & Compliance Notices

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

8-K items 3.01 JSON
Exela Technologies, Inc.

Exela Technologies, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“. If the Company fails to file the Periodic Reports with the Commission by February 5, 2024, Nasdaq will provide a written notification to the Company that its securities will be delisted. At that time, the Company may appeal the Nasdaq staff’s determination to a Hearings Panel under Nasdaq Listing Rule 5815. MVLS Notice On November 13, 2023, the Company also received an anticipated notice (the “ MVLS Notice ”) from Nasdaq notifying the Company that it is not in compliance with Nasdaq Listing Rule 5550(b)(2) (the “ MVLS Rule ”) because, for the last 30 consecutive business days, the Company’s”
MedAvail Holdings, Inc.

MedAvail Holdings, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“November 16, 2023, MedAvail Holdings, Inc. (the “Company”) received a delinquency notification letter (the “Delinquency Letter”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of the Company’s delay in filing its Quarterly Report on Form 10-Q for the three months ended September 30, 2023, the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1). The Delinquency Letter has no immediate effect on the listing or trading of the Company’s common stock on the Nasda”
Veradigm Inc.

Veradigm Inc. received a nasdaq delisting notice notice regarding late filing (rules 5250(c)(1)).

“November 14, 2023, the Company received an additional notice (the “Additional Notice”) from Nasdaq stating that, because the Company has not filed its Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 (together with the Q1 Form 10-Q and the Q2 Form 10-Q, the “Form 10-Qs”), and because the Company remains delinquent in filing the Form 10-K and each of the Q1 Form 10-Q and Q2 Form 10-Q, the Company remains noncompliant with Nasdaq Listing Rule 5250(c)(1) (the “Listing Rules”). As previously disclosed, the Company did not regain compliance within the expiration of the 180-day”
YIELD10 BIOSCIENCE, INC.

YIELD10 BIOSCIENCE, INC. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“September 25, 2023, the Company also received a deficiency letter from the Staff notifying the Company that it was not in compliance with the requirement to maintain a minimum bid price of at least $1.00 per share pursuant to Nasdaq Listing Rule 5550(a)(2). The Company is diligently working to regain compliance with all applicable Nasdaq listing criteria; however, there can be no assurance that a hearing with the Panel will be successful or, if the Panel determines to continue the Company’s listing, that the Company will be able to satisfy the continued listing criteria subsequent to the heari”
YIELD10 BIOSCIENCE, INC.

YIELD10 BIOSCIENCE, INC. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).

“ng process has concluded. As previously disclosed, on September 25, 2023, the Company also received a deficiency letter from the Staff notifying the Company that it was not in compliance with the requirement to maintain a minimum bid price of at least $1.00 per share pursuant to Nasdaq Listing Rule 5550(a)(2). The Company is diligently working to regain compliance with all applicable Nasdaq listing criteria; however, there can be no assurance that a hearing with the Panel will be successful or, if the Panel determines to continue the Company’s listing, that the Company will be able to satisfy”
Viracta Therapeutics, Inc.

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

“November 15, 2023, Viracta Therapeutics, Inc. (the “Company”) received a written notice (the “Notice”) from the Nasdaq Listing Qualifications staff of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, for the last 30 consecutive business days, the minimum bid price of the Company’s common stock had been below the $1.00 per share minimum requirement for continued listing on the Nasdaq Global Select Market under Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has been provided an initial period of 180 c”
UEIC UNIVERSAL ELECTRONICS INC

UNIVERSAL ELECTRONICS INC received a nasdaq deficiency notice notice regarding audit committee (rules 5605, 5605(c)(4)).

“November 14, 2023, Universal Electronics Inc. (the "Company") received a letter from the Listing Qualifications staff of The Nasdaq Stock Market ("Nasdaq") notifying the Company that, as a result of the resignation of a director, as previously disclosed, from the Company's Board of Directors and its Audit Committee, the Company is not in compliance with Nasdaq Listing Rule 5605, which requires that the Company's Audit Committee be comprised of at least three directors, all of whom are independent pursuant to the rules of Nasdaq and applicable law. The notification letter has no immediate effec”
Comera Life Sciences Holdings, Inc.

Comera Life Sciences Holdings, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“October 31, 2023, the Company received an additional delist determination for failing to regain compliance with the $1.00 minimum bid price requirement for continued listing on The Nasdaq Capital Market (the “bid price requirement”), as set forth in Nasdaq Listing Rule 5550(a)(2) within the 180 calendar day period provided by Rule 5810(c)(3)(A). The Company was unable to regain compliance with the MVLS Rule or any of the alternative standards for continued listing in Nasdaq Listing Rule 5550(b) by November 14, 2023. Following the delisting of its securities from the Nasdaq Capital Market, the”
Comera Life Sciences Holdings, Inc.

Comera Life Sciences Holdings, Inc. received a nasdaq delisting notice notice regarding market value (rules 5550(b)(2)).

“q Stock Market on November 18, 2022 notifying the Company that for the last 30 consecutive business days, the Company’s minimum Market Value of Listed Securities (“MVLS”) was below the minimum of $35 million required for continued listing on the Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(b)(2). On August 8, 2023, the Nasdaq Hearings Panel granted the Company’s request for the continued listing of its common stock on the Nasdaq Capital Market, subject to the Company’s satisfaction of certain interim milestones and, ultimately, the Company’s compliance with all applicable criteri”
CNTN Canton Strategic Holdings, Inc.

Canton Strategic Holdings, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5550(b)(1)).

“September 30, 2023, the Company reported stockholders’ equity of $1,756,923, which is below the Stockholders’ Equity Requirement for continued listing. Additionally, as of the date of the Letter, the Company did not meet either of the alternative Nasdaq continued listing standards under the Nasdaq Listing Rules, which include a market value of listed securities of at least $35 million or net income of $500,000 from continuing operations in the most recently completed fiscal year, or in two of the three most recently completed fiscal years. The Letter has no immediate effect on the listing of t”
DRMA Dermata Therapeutics, Inc.

Dermata Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“November 15, 2023, Dermata Therapeutics, 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 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 does not result in the immediate delisting of the Company’s common stock from The Nasdaq Capital Market. The Nasdaq Listing Rules require listed securities to maintain a minimum”
Movella Holdings Inc.

Movella Holdings 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 16, 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”
Edoc Acquisition Corp.

Edoc Acquisition Corp. received a nasdaq delisting notice notice regarding other (rules IM-5101-2, 5550(a)(3)).

“November 10, 2023, Edoc Acquisition Corp., a special purpose acquisition company incorporated as a Cayman Islands exempted company (the “Company”) received a notice (the “Notice”) from the staff (the “Staff”) of the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company has failed to comply with Nasdaq IM-5101-2, which requires that a special purpose acquisition company must complete one or more business combinations within 36 months of the effectiveness of its IPO registration statement. Additionally, as previously reported on a Form 8-K filed”
FRMM FORUM MARKETS Inc

FORUM MARKETS Inc received a nasdaq noncompliance notice notice regarding stockholders equity (rules 5550(b)(1)).

“November 15, 2023, the Company received a letter from Nasdaq notifying the Company that its stockholders’ equity as reported in its Quarterly Report on Form 10-Q for the period ending September 30, 2023 (the “ Form 10-Q ”), did not meet the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. Nasdaq Listing Rule 5550(b)(1) requires 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 a stockholders’ deficit of ($149,327), which is below the minimum stockhol”
FRMM FORUM MARKETS Inc

FORUM MARKETS Inc received a nasdaq noncompliance notice notice regarding shareholders (rules 5635(d)).

“October 11, 2023, the Company received written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”) notifying the Company that it was not in compliance with the shareholder approval requirements set forth in Nasdaq Listing Rule 5635(d), which requires prior shareholder approval for transactions, other than public offerings, involving the issuance of 20% or more of the pre-transaction shares outstanding at less than the applicable Minimum Price (as defined in Listing Rule 5635(d)(1)(A)). The Staff’s determination under Listing Rule 5635(d) related to the”
ALZN Alzamend Neuro, Inc.

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding minimum bid price.

“November 15, 2023. On November 15, 2023, the Company received notice from Nasdaq that the Company has regained compliance with the Minimum Bid Price Requirement and stated that the matter is now closed. On November 16, 2023, the Company issued a press release to announce that the Company has regained compliance with the Minimum Bid Price Requirement. A copy of the press release is furnished herewith as Exhibit 99.1 and is incorporated by reference herein. In accordance with General Instruction B.2 of Form 8-K, the information under this item shall not be deemed filed for purposes of Section 18”
Cidara Therapeutics, Inc.

Cidara Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“November 9, 2023, Cidara Therapeutics, Inc. (the “Company”) received a notification letter (the “Notice”) from the Listing Qualification Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) advising the Company that for 30 consecutive trading days preceding November 6, 2023, the bid price of the Company’s common stock had closed below the $1.00 per share minimum required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). As a result of the Nasdaq Hearings Panel (the “Panel”) imposing the previously discl”
USDP USD Partners LP

USD Partners LP received a nyse delisting notice notice regarding market value (rules 802.01B).

“November 15, 2023, USD Partners LP (the “Partnership”) received a written notice from the staff of NYSE Regulation notifying the Partnership that NYSE Regulation had determined to commence proceedings to delist the Partnership’s common units from the New York Stock Exchange (“NYSE”). Trading in the Partnership’s common units on the NYSE was suspended after the market close on November 15, 2023. NYSE Regulation reached its decision to delist the common units pursuant to Section 802.01B of the NYSE’s Listed Company Manual because the Partnership had fallen below the NYSE’s continued listing stan”
ATLN ATLANTIC INTERNATIONAL CORP.

ATLANTIC INTERNATIONAL CORP. received a nasdaq deficiency notice notice regarding other (rules 5550(a)(4)).

“September 7, 2023, the Company no longer met the requirements of the Rule. On September 18, 2023, the Company received a letter from the Listing Qualifications Staff of Nasdaq that supplemented the letter of September 8, 2023 and requested that the Company submit to the Nasdaq Hearings Panel (the “Panel”) a letter with its plan to regain compliance with the Rule by September 25, 2023. On September 18, 2023, the Staff issued an additional delist determination letter for the Company’s failure to maintain compliance with the Rule and on October 17, 2023, the Staff advised the Company that the Pan”
AVTX Avalo Therapeutics, Inc.

Avalo Therapeutics, Inc. received a nasdaq hearing update notice regarding minimum bid price (rules 5810(c)(3)(A)(iii), 5550(a)(2), 5550(b)(1)).

“November 14, 2023, the Company received written notice from Nasdaq (the “November Notification Letter”) that the Panel had granted the Company an exception from compliance with the MVLS Rule and the Bid Price Rule and extension of continued listing until December 29, 2023, subject to the following: 1. On or before November 9, 2023, the Company will demonstrate compliance with Listing Rule 5550(b)(1) by filing its Form 10-Q with the SEC evidencing a minimum of $2.5million in stockholders’ equity; and 2. On or before December 29, 2023, the Company will demonstrate compliance with Listing Rule 55”
AVTX Avalo Therapeutics, Inc.

Avalo Therapeutics, Inc. received a nasdaq hearing update notice regarding market value (rules 5550(b)(2), 5810(c)(3)(A), 5810(c)(3)(C)).

“November 14, 2023, the Company received written notice from Nasdaq (the “November Notification Letter”) that the Panel had granted the Company an exception from compliance with the MVLS Rule and the Bid Price Rule and extension of continued listing until December 29, 2023, subject to the following: 1. On or before November 9, 2023, the Company will demonstrate compliance with Listing Rule 5550(b)(1) by filing its Form 10-Q with the SEC evidencing a minimum of $2.5million in stockholders’ equity; and 2. On or before December 29, 2023, the Company will demonstrate compliance with Listing Rule 55”
S&W Seed Co

S&W Seed Co received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“November 14, 2023, S&W Seed Company (the “Company”) received a letter (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) advising the Company that for 30 consecutive business days preceding the date of the Notice, the bid price of the Company’s common stock had closed below the $1.00 per share minimum required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). The Notice has no effect on the listing of the Company’s common stock at this time, and the Company’s common stock continues to trade on The Nasdaq”
Infinera Corp

Infinera Corp received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“November 10, 2023, the Company received a notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that because the Company is delinquent in filing its Form 10-Q, that the Company no longer complies with Nasdaq Listing Rule 5250(c)(1) (the “Rule”), which requires companies with securities listed on Nasdaq to timely file all required periodic reports with the SEC. In accordance with the Nasdaq Listing Rules, the Company has 60 calendar days after Nasdaq’s notice, or January 9, 2024, to submit a plan of compliance (the “Plan”) addressing how it intends to regain co”
DZS INC.

DZS INC. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“November 10, 2023, DZS Inc. (the “Company”) received a delinquency notification letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of the Company’s delay in filing its Quarterly Report on Form 10-Q for the three months ended September 30, 2023 (the “Third Quarter 10-Q”), the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1) (the “Rule”). The notification letter has no immediate effect on the listing or trading of the Company’s common stock on the Nasdaq”
HSIC HENRY SCHEIN INC

HENRY SCHEIN INC received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“November 13, 2023 from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) advising the Company that it was not in compliance with Nasdaq’s continued listing requirements under the Nasdaq Listing Rule 5250(c)(1) (the “Rule”) because its quarterly report on Form 10-Q for the quarter ended September 30, 2023 (the “Form 10-Q”) would not be filed in a timely manner. The notice and the Company’s response are mandated by Nasdaq and Securities and Exchange Commission (“SEC”) rules. The Rule requires listed companies to timely file all required periodic reports with the SEC”
Tingo Group, Inc.

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

“November 13, 2023, the Company was notified (the “Notification Letter”) by the Nasdaq Listing Qualifications (“Nasdaq”) that it is not in compliance with the minimum bid price requirements set forth in Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market. Nasdaq Listing Rule 5550(a)(2) requires listed securities to maintain a minimum bid price of $1.00 per share, and Nasdaq Listing Rule 5810(c)(3)(A) provides that a failure to meet the minimum bid price requirement exists if the deficiency continues for a period of 30 consecutive business days. Based on the closing”
Cano Health, Inc.

Cano Health, Inc. received a nyse delisting notice notice regarding other (rules 802.01D).

“November 9, 2023, the New York Stock Exchange (the “ NYSE ”) notified Cano Health, Inc. (the “ Company ”) that the NYSE had determined to (a) commence proceedings to delist the Company’s warrants, each whole warrant exercisable for one share of the Company’s Class A common stock, par value $0.01 per share (“ Class A Common Stock ”), at an exercise price of $1,150 per share, and listed to trade on the NYSE under the symbol “CANO/WS” (the “ Warrants ”) and (b) immediately suspend trading in the Warrants due to “abnormally low” price levels pursuant to Section 802.01D of the NYSE Listed Company M”
Baudax Bio, Inc.

Baudax Bio, Inc. received a nasdaq delisting notice notice regarding other (rules 5550(b)(1), 5550(a)(2)).

“November 14, 2023, the Company received a determination letter (the “Delisting Notification”) from the Nasdaq Hearings Advisor stating that the Panel has determined to delist the Company’s common stock, par value $0.01 per share (the “Common Stock”) from the Nasdaq Capital Market, and Nasdaq will accordingly suspend trading in the Company’s Common Stock, effective at the opening of trading on November 16, 2023, because the Company did not demonstrate compliance initial listing requirements by November 13, 2023. Pursuant to the Delisting Notification, the Company has a period of 15 days from th”
CING Cingulate Inc.

Cingulate Inc. received a nasdaq delisting notice notice regarding stockholders equity (rules 5550(b)(1)).

“November 14, 2023, Cingulate Inc. (the “Company”) received a letter from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the Company’s continued non-compliance with the minimum stockholders’ equity requirement in Listing Rule 5550(b)(1) (the “Minimum Stockholders’ Equity Rule”) for continued listing on The Nasdaq Capital Market, the Staff had determined to delist the Company’s securities from Nasdaq unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). The Company intends to timely reque”
XTIA XTI Aerospace, Inc.

XTI Aerospace, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5810(c)(3)(A)(iii), 5550(a)(2)).

“November 9, 2023, the Company received notice (the “November 9 Letter”) from Nasdaq that Nasdaq had determined that as of November 8, 2023, the Company’s securities had a closing bid price of $0.10 or less for ten consecutive trading days triggering application of Listing Rule 5810(c)(3)(A)(iii) which states in part: if during any compliance period specified in Rule 5810(c)(3)(A), a company’s security has a closing bid price of $0.10 or less for ten consecutive trading days, the Listing Qualifications Department shall issue a Staff Delisting Determination under Rule 5810 with respect to that s”
TCRT Alaunos Therapeutics, Inc.

Alaunos Therapeutics, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A), 5810(c)(3)(A)(iii)).

“November 8, 2023, the Company received a Staff Delisting Determination letter (the “Delisting Determination”) from the Staff notifying the Company that, because the closing bid price for the Common Stock was below $0.10 per share for 10 consecutive trading days during the Extended Compliance Period, the Staff has determined to suspend trading of the Common Stock on Nasdaq pursuant to Nasdaq Listing Rule 5810(c)(3)(A)(iii), effective November 17, 2023, and file a Form 25-NSE with the Securities and Exchange Commission (the “SEC”) to remove the Common Stock from listing and registration under th”
SGRP SPAR Group, Inc.

SPAR Group, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“November 10, 2023 (the " Nasdaq Bid Price Deficiency Letter "), stating that SGRP has failed to maintain a minimum closing bid price of $1.00 per share for its shares of its Common Stock for the prior 30 consecutive business days preceding its notice (i.e., September 29, 2023, to November 9, 2023) as required by Nasdaq Listing Rule 5550(a)(2) (the " Bid Price Rule "). The Nasdaq Bid Price Deficiency Letter provides that SGRP has until May 8, 2024, as a grace period to regain compliance with the Bid Price Rule by maintaining a closing bid price of $1.00 per share for a minimum of ten consecutiv”
GLOBALINK INVESTMENT INC.

GLOBALINK INVESTMENT INC. received a nasdaq deficiency notice notice regarding other (rules 5450(a)(2)).

“October 16, 2023, Globalink Investment Inc., a Delaware corporation (the “Company”), received a written notice (the “Notice”) from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) indicating that the Company was not in compliance with Nasdaq Listing Rule 5450(a)(2), which requires the Company to maintain at least 400 total holders for continued listing on the Nasdaq Global Market (the “Minimum Total Holders Rule”). The Notice is only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or trading of the Company’s se”
SIDU Sidus Space Inc.

Sidus Space Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)(iii)).

“November 7, 2023, Nasdaq issued a letter to the Company that as of November 6, 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 Capital Market, on November 16, 2023, unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). The Company intends to request a hearing b”
Thunder Bridge Capital Partners III Inc.

Thunder Bridge Capital Partners III Inc. received a nasdaq deficiency notice notice regarding market value (rules 5550(b)(2)).

“November 8, 2023, the Company received a written notice from the Staff of Nasdaq notifying the Company that the Staff has determined that for the last 20 consecutive business days, from October 10, 2023, to November 7, 2023, the Company’s MVLS has been $35,000,000 or greater. Accordingly, the Company has regained compliance with the MVLS Requirement and the Staff has indicated that the matter is now closed. 2 SIGNATURE 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 autho”
Chrome Holding Co.

Chrome Holding Co. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“November 10, 2023, 23andMe Holding Co. (the “Company”) received a deficiency letter (the “Nasdaq Letter”) from the Nasdaq Listing Qualifications Department, notifying the Company that the Company is not in compliance with Nasdaq Listing Rule 5450(a)(1), which requires the Company to maintain a minimum bid price of at least $1 per share for continued listing on The Nasdaq Global Select Market (the “Minimum Bid Requirement”). The Company’s failure to comply with the Minimum Bid Requirement was based on the Company’s Class A common stock per share price being below the $1 threshold for a period o”
KAVL Kaival Brands Innovations Group, Inc.

Kaival Brands Innovations Group, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).

“November 7, 2023, Kaival Brands Innovations Group, Inc., a Delaware corporation (the “ Company ”) received written notice (the “ Notice ”) from the Listing Qualifications Department of The Nasdaq Stock Market (“ Nasdaq ”) stating that the Company failed to hold an annual meeting of shareholders within twelve ( 12) months after its fiscal year ended on October 31, 2022, as required by Nasdaq Listing Rule 5620(a) (the “ Annual Meeting Listing Rule ”). The Notice is only a notification of deficiency, not of imminent delisting. Therefore, the Notice has no current effect on the listing or trading”
BGLC BioNexus Gene Lab Corp

BioNexus Gene Lab Corp received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“November 6, 2023, BioNexus Gene Lab Corp. (the “Company”) received a letter from the Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) regarding the Company’s failure to comply with Nasdaq Continued Listing Rule (“Rule”) 5550(a)(2), which requires listed securities to maintain a minimum bid price of $1.00 per share. A failure to comply with Rule 5550(a)(2) exists when listed securities fail to maintain a closing bid price of at least $1.00 per share for 30 consecutive business days. Based on the closing bid price for the last 33 consecutive business days (including, in pa”
VNOM Sub, Inc.

VNOM Sub, Inc. received a nasdaq delisting notice notice regarding other.

“notified the Nasdaq Stock Market LLC (“Nasdaq”) that the Certificate of Conversion (the “Certificate of Conversion”) had been filed with the Secretary of State of the State of Delaware to be effective at the Effective Time. At the Effective Time, (i) each Partnership common unit issued and outstanding immediately prior to the Effective Time was converted into one issued and outstanding, fully paid and nonassessable share of Class A common stock, $0.000001 par value per share, of the Corporation (“Class A Common Stock”), (ii) each Partnership Class B unit issued and outstanding immediately prio”
CRBP Corbus Pharmaceuticals Holdings, Inc.

Corbus Pharmaceuticals Holdings, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).

“November 10, 2023, Corbus Pharmaceuticals Holdings, Inc. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with the minimum stockholders’ equity requirement for continued listing on The Nasdaq Capital Market, under Listing Rule 5550(b)(1), because the Company’s stockholders’ equity of $311,016, as reported in the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2023, was below the required minimum of $2.5 million, and because, as of Nov”
NXL Nexalin Technology, Inc.

Nexalin Technology, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“November 7, 2023, the Company submitted a letter to NASDAQ requesting a second 180-day period in order to regain compliance with NASDAQ Rule 5550(a)(2). The Company stated in that letter that it believed it would be able to cure the deficiency and increase its stock price to above $1.00 per share pursuant to a plan set forth in such letter. On November 7, 2023, the Company received written notice from the Nasdaq Listing Qualifications Department (the “Staff”) that the Company was not eligible for an additional 180 calendar day compliance period because the Company no longer complied with Nasda”
XXII 22nd Century Group, Inc.

22nd Century Group, Inc. received a nasdaq noncompliance notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“November 7, 2023, 22nd Century Group, Inc. (the “Company”) received a deficiency letter from the Nasdaq Listing Qualifications Department indicating that for the last 31 consecutive business days the Company’s common stock did not maintain a minimum closing bid price of $1.00 per share (the “Minimum Bid Price Requirement”) for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2). The notification of noncompliance has no immediate effect on the listing or trading of the Company’s common stock on the Nasdaq Capital Market. Under Nasdaq Listing Rule 5810(c)(3)”
Eiger BioPharmaceuticals, Inc.

Eiger BioPharmaceuticals, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5450(b)(1)(A), 5450(b)).

“November 10, 2023, Eiger BioPharmaceuticals, Inc. (“Eiger”) received a deficiency letter from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying Eiger that it no longer satisfies the $10 million stockholders’ equity requirement for continued listing on The Nasdaq Global Market pursuant to Nasdaq Listing Rule 5450(b)(1)(A), or the alternatives to that requirement - a $50 million market value of listed securities or $50 million in net income in the most recent fiscal year or two of the last three fiscal years - as required by Nasdaq Listing Ru”
OLOX OLENOX INDUSTRIES INC.

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

“November 7, 2023, Safe & Green Holdings Corp. (the “Company”) received a deficiency letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that for the preceding 30 consecutive business days (September 26, 2023 through November 6, 2023), the Company’s common stock did not maintain a minimum closing bid price of $1.00 (“Minimum Bid Price Requirement”) per share as required by Nasdaq Listing Rule 5550(a)(2). The notice has no immediate effect on the listing or trading of the Company’s common stock and the common stock will continue to tr”
ASPAC I Acquisition Corp.

ASPAC I Acquisition Corp. received a nasdaq deficiency notice notice regarding shareholders (rules 5550(a)(3)).

“November 7, 2023, A SPAC I Acquisition Corp. (the “Company”) received a letter from The Nasdaq Stock Market LLC (“Nasdaq”), which stated that the Company no longer complies with Nasdaq’s continued listing rules on The Nasdaq Capital Market due to the Company not having maintained a minimum of 300 public holders for continued listing, as required pursuant to Nasdaq Listing Rule 5550(a)(3). In accordance with the Nasdaq listing rules, the Company has 45 calendar days to submit a plan to regain compliance and, if Nasdaq accepts the plan, Nasdaq can grant the Company an extension of up to 180 cale”
RNAZ Transcode Therapeutics, Inc.

Transcode Therapeutics, Inc. received a nasdaq extension granted notice regarding stockholders equity (rules 5815(a)(2)).

“October 26, 2023, the Company received written notice from Nasdaq (the “October Notification Letter”) that the Panel had granted the Company an exception from compliance with the Stockholders Equity Requirement and extension of continued listing until January 22, 2024, subject to the following: 1. On or before November 14, 2023, the Company shall provide a detailed update to the Panel regarding its meeting the Stockholders’ Equity Requirement; and 2. On or before January 22, 2024, the Company shall provide an update to the Panel on how it demonstrates long-term compliance with the Stockholders”
Near Intelligence, Inc.

Near Intelligence, Inc. received a nasdaq noncompliance notice notice regarding audit committee (rules 5605(c)(2), 5605(c)(4)).

“November 9, 2023, Near Intelligence, Inc. (the “Company”, and together with its subsidiaries “we”, “us” or “our”) received a letter from the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of the previously disclosed resignation of Mini Krishnamoorthy from the Company’s Board of Directors on October 24, 2023, the Company is not in compliance with Nasdaq Listing Rule 5605(c)(2), which requires that the Audit Committee of the Board of Directors of the Company be comprised of at least three independent directors. The letter also indicated t”
WeWork Inc.

WeWork Inc. received a nyse delisting notice notice regarding other (rules 802.01D).

“November 7, 2023, WeWork Inc. (the “Company” or “WeWork”) was notified by the staff of NYSE Regulation (“NYSE Regulation”) that it had determined to commence proceedings to delist the Company’s Class A common stock, par value $0.0001 per share (the “Common Stock”), from the New York Stock Exchange (the “NYSE”) and that trading in the Common Stock was suspended immediately. NYSE Regulation reached its decision that the Company is no longer suitable for listing pursuant to NYSE Listed Company Manual Section 802.01D after the Company and certain of its direct and indirect subsidiaries filed volun”
MCOM micromobility.com Inc.

micromobility.com Inc. received a nasdaq delisting notice notice regarding audit committee (rules 5605(c)(2), 5605(a)(2)).

“November 6, 2023, micromobility.com Inc. (the “Company”) received an additional written notice of determination of delisting (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market, LLC (“Nasdaq ”) notifying the Company that, based on the composition of its board of directors, the Company did not comply with the audit committee requirement for continued listing on the Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5605(c)(2) (the “Rule”). The Rule requires a listed company to maintain an audit committee of the board of directors that is comprised of at least”
BurgerFi International, Inc.

BurgerFi International, Inc. 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 previously disclosed resignation of Martha Stewart from the Company’s Board of Directors (the “Board”) (as described in”

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.