Listing & Compliance Notices

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

“September 28, 2023, the Company received a written notification (the “Notification Letter”), from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with the minimum bid price requirement set forth in Nasdaq Listing Rule 5550(a)(2) for continued listing on the Nasdaq Capital Market tier of Nasdaq. 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”

Ault Disruptive Technologies Corp received a nyse_american extension granted notice regarding shareholders.

“September 27, 2023, the Company received notice from the NYSE American that it had accepted the Plan and granted a plan period until December 20, 2024, in order to regain compliance. The Company’s progress toward regaining compliance is subject to periodic review by the NYSE American, including quarterly monitoring for compliance with the initiatives outlined in the Plan. On October 3, 2023, the Company issued a press release to announce the acceptance of the Company’s Plan by the NYSE American. A copy of the press release is furnished herewith as Exhibit 99.1 and is incorporated by reference”

Ault Disruptive Technologies Corp received a nyse_american deficiency notice notice regarding shareholders (rules 1003(b)(i)(A), 1003(b)(i)(B)).

“July 21, 2023 Ault Disruptive Technologies Corporation (the “ Company ”) received a deficiency letter from the NYSE American LLC (the “ NYSE American ”) indicating that the Company is not in compliance with (i) Section 1003(b)(i)(A) of the NYSE American Company Guide (the “ Company Guide ”), which requires the Company to maintain a minimum of 200,000 shares publicly held and (ii) Section 1003(b)(i)(B) of the Company Guide, which requires the Company to maintain a minimum of 300 public stockholders on a continuous basis. On August 18, 2023, the Company submitted a plan of compliance (the “ Plan”

SEP Acquisition Corp. received a nasdaq deficiency notice notice regarding market value (rules 5550(b)(2)).

“September 27, 2023, the Company received a determination letter (the “Letter”) from the Staff of Nasdaq stating that the Company has not regained compliance with the MVLS standard, since the Company’s Class A Common Stock, was below the $35 million minimum MVLS requirement for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(2) (the “MVLS Rule”) and had not been at least $35 million for a minimum of 10 consecutive business days at any time during the 180-day grace period granted to the Company. As previously disclosed, the Company was initially notified by the S”

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

“k was below $1.00 per share for the previous 30 consecutive trading days. The Bid Price Deficiency Notice has no immediate effect on the listing of the Company’s common stock, and the Company’s common stock continues to trade on Nasdaq under the symbol “PRCH.” In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has 180 calendar days from the date of the Bid Price Deficiency Notice, or until March 25, 2024, to regain compliance with respect to the Bid Price Requirement. The Bid Price Deficiency Notice states that to regain compliance with the Bid Price Requirement, the closing bid”

Managed Portfolio Series received a other deficiency notice notice regarding shareholders.

“September 27, 2023, the compliance staff (the “Staff”) of Cboe BZX Exchange, Inc. (“Cboe”) provided written notice that Managed Portfolio Series (the “Trust”) is not in compliance with the continued listing standard set forth in Exchange Rule 14.11(l)(4)(B)(i)(c) of Cboe with respect to one of its series, the V-Shares MSCI World ESG Materiality and Carbon Transition ETF (the “Fund”). Exchange Rule 14.11(l)(4)(B)(i)(c) requires that, in order to comply with Cboe continued listing standards, a listed company must maintain no fewer than 50 beneficial holders of series of ETF Shares for 30 or more”

Cosmos Health Inc. received a nasdaq other notice regarding other (rules 5810(c)(4)).

“September 27, 2023, Cosmos Health Inc. (the “Company”) received a Letter of Reprimand from the Nasdaq Stock Market in accordance with Listing Rule 5810(c)(4). Nasdaq had previously determined that the Company had not obtained prior shareholder approval for the October 2022 best-efforts public offering involving the issuance of 20% or more of the outstanding shares at less than the minimum price. Because the offering consisted of Units of common stock, Series A Warrants and Series B Warrants it was necessary to allocate a value to the warrants which resulted in the Units being sold at a great”

HALLMARK FINANCIAL SERVICES INC received a nasdaq noncompliance notice notice regarding market value (rules 5450(b)(1)(c)).

“September 28, 2023, Hallmark Financial Services, Inc. (the “Company”) was notified by Nasdaq Regulation that the Company no longer meets its Rule 5450(b)(1)(c), which requires listed companies on the Nasdaq Global Market to maintain a minimum “Market Value of Publicly Held Shares” (or “MVPHS”) of at least $5,000,000 in the last 30 consecutive business days. The Rules provide the Company a period of 180 calendar days to regain compliance with this requirement, after which the Company will be subject to delisting from the Nasdaq Global Market. ​ The Company may regain compliance with this Rule”

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

“bid price of the Company’s common shares (the “Common Shares”) over the 30 consecutive trading days from August 14, 2023, through September 25, 2023, had fallen below $1.00 per share, which is the minimum closing bid price required to maintain listing on the NASDAQ Capital Market under Listing Rule 5550(a)(2) (the “Minimum Bid Requirement”). In accordance with NASDAQ Listing Rule 5810(c)(3)(A), the Company has 180 calendar days to regain compliance with the Minimum Bid Requirement (the “Grace Period”), or until March 25, 2024, subject to a potential 180 calendar day extension, as described bel”

Iris Acquisition Corp received a nasdaq compliance regained notice regarding market value (rules 5550(b)(2), 5810(c)(3)(C), 5800).

“October 5, 2023, and a Form 25-NSE will be filed with the SEC, which will remove the Company’s securities from listing and registration on Nasdaq. The Company intends to appeal the Staff’s delisting determination by requesting a hearing before a Hearings Panel (the “Panel”). Such request would automatically stay the suspension of the Company’s securities pending the Panel’s decision (“Stay Period”). As of September 25, 2023, the Company’s MVLS exceeded the MVLS Requirement and continues to exceed the MVLS Requirement as of the date of this Form 8-K. It is the Company’s expectation that if the”

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

“September 27, 2023, Galecto, Inc. (the “Company”) received a deficiency letter from the Nasdaq Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, for the last 30 consecutive business days, the closing bid price for the Company’s common stock has been below the minimum $1.00 per share required for continued listing on The Nasdaq Global Select Market pursuant to Nasdaq Listing Rule 5450(a)(1) (the “Minimum Bid Price Requirement”). The Nasdaq deficiency letter has no immediate effect on the listing of the Company’s common stock, a”

SmileDirectClub, Inc. received a nasdaq delisting notice notice regarding other (rules 5101, 5110(b), IM-5101-1).

“October 2, 2023, the Company received written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that in accordance with Nasdaq Listing Rules 5101, 5110(b) and IM-5101-1, Nasdaq had determined that the Company’s securities will be delisted from Nasdaq. Trading of the Company’s common stock will be suspended at the opening of business on October 4, 2023, and Nasdaq will file a Form 25-NSE with the Securities and Exchange Commission, which will remove the Company’s securities from listing and registration on Nasdaq. The Company expec”

Blue Star Foods Corp. received a nasdaq noncompliance notice notice regarding minimum bid price (rules 5550(a)(2)).

“September 26, 2023, Blue Star Foods Corp. (the “Company”) received a notice letter (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, based upon the closing bid price of the Company’s common stock, par value $0.0001 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) (the “Minimum Bid Requ”

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

“September 28, 2023, the Company was notified that because it had not regained compliance with the Bid Price Rule, the Nasdaq Hearing Panel (the “Hearings Panel”) will consider the matter in their decision regarding the Company’s continued listing on the Nasdaq Capital Market (“Nasdaq”), and that the Company should present its views with respect to this additional deficiency in writing no later than October 5, 2023. The Company currently intends to submit an updated plan to the Hearings Panel by October 5, 2023 that outlines the steps the Company plans to take to promptly regain compliance with”

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

“September 26, 2023, Iterum Therapeutics plc (the “ Company ”) received a letter (the “ Notice ”) from the Listing Qualifications Department of The Nasdaq Stock Market, LLC, (“ Nasdaq ”) indicating that, based on the closing bid price for the last 30 consecutive business days, the Company is not in compliance with Nasdaq Listing Rule 5550(a)(2), which requires the Company maintain a minimum bid price of $1.00 per share (the “ Bid Price Rule ”) for continued listing on The Nasdaq Capital Market. The Notice does not result in the immediate delisting of the Company’s ordinary shares from The Nasda”

Sonendo, Inc. received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).

“September 28, 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 802.01C of the NYSE’s Listed Company Manual (“Section 802.01C”) because the average closing price of the Company’s common stock, par value $0.001 per share (the “Common Stock”), was less than $1.00 per share over a consecutive 30 trading-day period (the “minimum share price requirement”). The Notice has no immediate impact on the listing of the Common Stock on the NYSE, subj”

AGILE THERAPEUTICS INC received a nasdaq delisting notice notice regarding stockholders equity (rules 5550(b)(1)).

“September 27, 2023, the Company received a notice from the Staff advising the Company that the Staff had determined that the Company did not meet the terms of the extension and that unless the Company requests an appeal, the Staff would proceed with delisting. ​ The Company intends to submit a hearing request to the Nasdaq Hearings Panel (the “Panel”), which request will stay any delisting action by the Staff at least until the hearing process concludes and any extension granted by the Panel expires. ​ At the Panel hearing, the Company intends to present a plan to regain compliance with the Ru”

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

“September 28, 2023, Tenax Therapeutics, Inc. (the “Company”) received formal notice that the Nasdaq Stock Market LLC (“Nasdaq”) granted the Company’s request for an extension through March 25, 2024 (the “Extension Notice”) to evidence compliance with the $1.00 per share requirement for continued inclusion on the Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Rule”). If at any time before March 25, 2024, the bid price of the Company’s common stock closes at $1.00 per share or more for a minimum of ten consecutive business days, Nasdaq will provide the Company w”

DIXIE GROUP INC received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1)).

“September 27, 2023, The Dixie Group, Inc. (the "Company") received a notification letter from the Nasdaq Listing Qualifications Staff of The NASDAQ Stock Market LLC ("Nasdaq") notifying the Company that the closing bid price for its common stock had been below $1.00 for the previous 30 consecutive business days and that the Company therefore is not in compliance with the minimum bid price requirement for continued inclusion on the Nasdaq Global Market under Nasdaq Listing Rule 5450(a)(l). The notification has no immediate effect on the listing of the Company's common stock on Nasdaq. Under the”

VSEE HEALTH, INC. received a nasdaq delisting notice notice regarding market value (rules 5450(b)(2)(A)).

“d Warrants) (the “Securities”) because it has not regained compliance with the Market Value of Listed Securities (“MVLS”) Standard. The market value of the Company’s listed Securities was below the $50,000,000 minimum MVLS requirement for continued listing on Nasdaq Global under Nasdaq Listing Rule 5450(b)(2)(A) (the “MLVS Rule”) and had not been at least $50,000,000 for the proceeding 30 consecutive trading days. As previously reported by the Company on its Current Report on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on April 6, 2023, the Staff initially notified t”

Laser Photonics Corp received a nasdaq deficiency notice notice regarding audit committee (rules 5605, 5605(c)(4)).

“September 26, 2023, the registrant (“Laser Photonics” or the “Company”) received a notice from Nasdaq Listing Qualifications department of the Nasdaq Stock Market LLC ("Nasdaq") stating that the Company no longer complies with Nasdaq’s audit committee requirement under Nasdaq’s Listing Rule 5605 following the resignation of Ryan Tennyson from the Company’s board of directors and audit committee effective September 20, 2023. Nasdaq advised Laser Photonics that in accordance with Nasdaq’s Listing Rule 5605(c)(4) the Company has a cure period to regain compliance (i) until the earlier of the Comp”

Harpoon Therapeutics, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)).

“September 27, 2023, the Company received a written notice from the Staff indicating that the Company did not meet the terms of the extension by making public disclosure evidencing compliance with the minimum $2.5 million equity requirement under Nasdaq Listing Rule 5550(b) by the September 26, 2023 deadline. The Company plans to timely request a hearing before the Nasdaq Hearings Panel, which request would stay any further action by the Staff. Cautionary Note on Forward-Looking Statements This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Secu”

Harpoon Therapeutics, Inc. received a nasdaq extension granted notice regarding stockholders equity (rules 5450(b)(1)(A)).

“June 7, 2023, Nasdaq granted the Company a 180-day extension to September 26, 2023 to provide evidence of compliance. On September 12, 2023, the Company transferred from Nasdaq Global Market to Nasdaq Capital Market. On September 27, 2023, the Company received a written notice from the Staff indicating that the Company did not meet the terms of the extension by making public disclosure evidencing compliance with the minimum $2.5 million equity requirement under Nasdaq Listing Rule 5550(b) by the September 26, 2023 deadline. The Company plans to timely request a hearing before the Nasdaq Hearin”

Harpoon Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5550(a)(2)).

“March 29, 2023, Harpoon Therapeutics, Inc. (the “Company”) received a written notice from the Listing Qualifications Staff (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) indicating that for the last 30 consecutive business days, the bid price of the Company’s common stock had closed below $1.00 per share, the minimum closing bid price required by the continued listing requirements of Nasdaq Listing Rule 5450(a)(1). On September 19, 2023, the Company received notice from Nasdaq that the Staff determined that from September 5 to September 18, 2023, the closing bid price of the Company’s”

Alzamend Neuro, Inc. received a nasdaq noncompliance notice notice regarding market value (rules 5550(b)(2)).

“September 26, 2023, Alzamend Neuro, Inc. (the “Company” ) received a notice from the staff of The Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that, for the previous 30 consecutive business days, the minimum Market Value of Listed Securities (“ MVLS ”) for the Company’s common stock, par value $0.0001 per share (the “Common Stock” ), was below the $35 million minimum MVLS requirement for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(2) (the “ MVLS Rule ”). In accordance with Nasdaq Listing Rule 5810(c)(3)(C), the Company will have 180 calendar days, or unt”

Clearside Biomedical, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“September 27, 2023, Clearside Biomedical, Inc. (the “ Company ”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”) notifying the Company that the listing of its common stock was not in compliance with Nasdaq Listing Rule 5450(a)(1) for continued listing on the Nasdaq Global Market, as the minimum bid price of the Company’s common stock was less than $1.00 per share for the previous 30 consecutive business days. Under Nasdaq Listing Rule 5810(c)(3)(A), the Company has a period of 180 calendar days, or until March 25, 2024, to regain complia”

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

“April 5, 2023, Eastside Distilling, Inc. (the “Company” ) received a deficiency letter from the Nasdaq Staff notifying Eastside Distilling that its stockholders’ equity as reported in its Annual Report on Form 10-K for the period ending December 31, 2022, did not satisfy the continued listing requirement under Nasdaq Listing Rule 5550(b)(1) (the “ Equity Rule ”) for the Nasdaq Capital Market, which requires that a listed company’s stockholders’ equity be at least $2.5 million. As reported on its most recent Form 10-K, the Company’s stockholders’ equity as of December 31, 2022 was a deficit of”

CONTRAFECT Corp received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).

“August 15, 2023, ContraFect Corporation (the “Company”) was notified by the staff of The Nasdaq Stock Market (“Nasdaq”) that the Company did not meet the minimum stockholders’ equity requirement under Nasdaq Listing Rule 5550(b)(1) (the “Minimum Stockholders’ Equity Requirement”) for continued listing on The Nasdaq Capital Market (the “Staff Determination”). The Company requested a hearing before a Nasdaq Hearings Panel (“Panel”) to appeal the Staff Determination, which stayed the suspension of trading and delisting of the Company’s common stock pending the conclusion of the hearing process. T”

CONTRAFECT Corp received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“September 21, 2023, the Company was notified by the staff of Nasdaq (the “Staff Deficiency Letter”) that, for the last thirty consecutive business days, the bid price for the Company’s common stock had closed below the minimum $1.00 per share requirement for continued listing on The Nasdaq Capital 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 calendar days, or until March 19, 2024, to regain compliance. The letter states that the Nasdaq staff will pr”

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

“September 27, 2023, Assembly Biosciences, Inc. (the "Company") received a letter from the Listing Qualifications Department of the Nasdaq Stock Market ("Nasdaq") notifying the Company that, as the bid price for the Company's common stock, par value $0.001 per share (the "Common Stock"), had closed below $1.00 per share for the last 30 consecutive business days, the Company was not in compliance with Nasdaq Listing Rule 5450(a)(1), which is the minimum bid price requirement for continued listing on the Nasdaq Global Select Market. Nasdaq's notice has no immediate effect on the listing of the Co”

Bone Biologics Corp received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2)).

“September 27, 2023, Bone Biologics Corporation (the “Company”) received a written notice (the “Notice”) from the staff of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it failed to comply with the $1.00 per share minimum bid price requirement set forth in Nasdaq Listing Rule 5550(a)(2). As a result of the imposition of a mandatory Panel Monitor, as previously disclosed on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on May 19, 2023, the Company is not eligible for a compliance period to regain compliance with the minimum bid price requirement. Acco”

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

“September 27, 2023, Bridgeline Digital, Inc. (the “Company”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock (“Common Stock”) for the thirty-one (31) consecutive business days ended September 26, 2023, the Company no longer satisfies the requirement to maintain a minimum bid price of $1.00 per share, as set forth in Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has been provided a”

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

“September 28, 2023, Iveda Solutions, Inc. (“IVEDA” or the “Company”) received written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) notifying the Company that, based on the closing bid price of the Company’s common stock, par value $0.00001 per share (the “Common Stock”), for the last 30 consecutive trading days, the Company no longer complies with the minimum bid price requirement 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 sha”

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

“closed below $1.00 per share for thirty (30) or more consecutive business days (August 8, 2023 through September 25, 2023) and that the Company therefore is not in compliance with the minimum bid price requirement for continued inclusion on the Nasdaq Global Select Market under Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”). The notification has no immediate effect on the listing of the Company’s common stock on Nasdaq. In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has a period of 180 calendar days to regain compliance with the Bid Price Requirement, which wi”

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

“September 25, 2023, the Company received a letter from The Nasdaq Capital Market (“Nasdaq”) indicating that the Company has failed to comply with the minimum bid price requirement of Nasdaq Listing Rule 5550(a)(2). Nasdaq Listing Rule 5550(a) (2) requires that companies listed on Nasdaq maintain a minimum closing bid price of at least $1.00 per share. Under Nasdaq Listing Rule 5810(c)(3)(A), the Company has a 180 calendar day grace period, or until March 25, 2024, to regain compliance by meeting the continued listing standard. The continued listing standard will be met if the Company’s common”

URBAN ONE, INC. received a nasdaq deficiency notice notice regarding late filing (rules 12B-25).

“August 16, 2023 (the “Third Nasdaq Letter”), notifying the Company that it was not in compliance with requirements of the Rule as a result of not having timely filed the Delinquent Reports. As previously disclosed, the Company received a notice from Nasdaq on April 3, 2023 (the “First Nasdaq Letter”), notifying the Company that it was not in compliance with the Rule due to its delay in filing the 2022 Annual Report on Form 10-K (the “2022 Form 10-K”). On May 10, 2023, the Company filed a Form 12b-25 Notification of Late Filing with respect to its Q1 2023 Form 10-Q, triggering a second letter f”

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

“September 25, 2023, Broadway Financial Corporation (the “Company”) received written notice (the “Notification Letter”) from the Nasdaq Stock Market LLC notifying the Company 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 maintain a minimum closing bid price of $1.00 per share, and Nasdaq Listing Rule 5810(c)(3)(A) provides that a failure to meet the minimum closing bid price requirement exists if the deficiency continu”

Sunlight Financial Holdings Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).

“Company’s warrants to purchase common stock (NYSE:SUNL.WS) and (ii) commence proceedings to delist these securities from the NYSE. The NYSE announced that trading of these securities would be suspended immediately. NYSE Regulation reached its decision to delist these securities pursuant to Section 802.01B of the NYSE’s Listed Company Manual because the Company had fallen below the NYSE’s continued listing standard requiring listed companies to maintain an average global market capitalization over a consecutive 30 trading day period of at least $15,000,000. The Company does not intend to appea”

Digital Media Solutions, Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).

“September 25, 2023, Digital Media Solutions, Inc. ("DMS" or the “Company”) announced that it will be delisted from the New York Stock Exchange (the “NYSE”). The Company’s delisting follows the NYSE’s determination under Rule 802.01B of the NYSE Listed Company Manual that the Company did not meet the NYSE’s continued listing standard that requires listed companies to maintain an average global market capitalization of at least $15 million over a period of 30 consecutive trading days. The Company’s delisting does not affect the Company’s business operations and DMS continues to be focused on its”

Chicken Soup for the Soul Entertainment, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“September 22, 2023, Chicken Soup for the Soul Entertainment Inc. (the “ Company ”) received a notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”) stating that, for the prior 30 consecutive business days (through September 21, 2023), the closing bid price of the Company’s Class A Common Stock, $0.0001 par value per share (“ common stock ”) had been below the minimum of $1 per share required for continued listing on the Nasdaq Capital Market under Nasdaq Listing Rule 5550(a)(2). The notification letter stated that the Company would be afforded 180 calend”

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

“September 27, 2023, Avenue Therapeutics, Inc. (the “ Company ”) received a letter from the Staff of the Listing Qualifications Department (the “ Staff ”) of The Nasdaq Stock Market LLC (“ Nasdaq ”) stating that the bid price of the Company’s common stock (“ Common Stock ”) had closed below $1.00 per share for 30 consecutive business days, and that, therefore, the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2) (the “ Minimum-Bid Price Requirement ”), which sets forth the minimum bid price requirement for continued listing on The Nasdaq Capital Market. Nasdaq’s notice has no i”

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

“September 26, 2023, Atossa Therapeutics, Inc. (“the Company”) received a letter from The Nasdaq Stock Market LLC ("Nasdaq") notifying the Company that the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2) – bid price, because the Company's common stock failed to maintain a minimum closing bid price of $1.00 per share for 30 consecutive business days. The Company has until March 25, 2024 to regain compliance. The letter also states that the Nasdaq staff will provide written notification that the Company has regained compliance if the bid price of the Company's common stock close”

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

“September 22, 2023, we received a letter from the Listing Qualifications staff of The Nasdaq Stock Market LLC, notifying us that, for the previous 30 consecutive business days, we have failed to comply with Nasdaq Listing Rule 5550(a)(2), which requires us to maintain a minimum bid price of $1 per share for our common stock. In accordance with Listing Rule 5810(c)(3)(A), Nasdaq has granted us a period of 180 calendar days, or until March 20, 2024, to regain compliance with the Rule. We may regain compliance with the Rule at any time during this compliance period if the minimum bid price for ou”

Capstone Energy Plus, Inc. received a nasdaq delisting notice notice regarding market value (rules 5550(b)(2), 5810(c)(3)(C), 5110(b)).

“September 26, 2023, the Company received written notice (the “Delisting Letter”) from Nasdaq that the Company has not regained compliance with Nasdaq Listing Rule 5550(b)(2) for the MVLS within the Compliance Period in accordance with Nasdaq Listing Rule 5810(c)(3)(C). Accordingly, unless the Company requests an appeal of this determination, the Company’s securities will be delisted from The Nasdaq Capital Market, trading of the Company’s Common Stock will be suspended at the opening of business on October 5, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission to”

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

“September 21, 2023, Lucy Scientific Discovery, Inc. (the “Company”) received a deficiency letter (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, based upon the closing bid price of the Company’s common stock, no par value per share (the “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) (the “Min”

Inspirato Inc received a nasdaq deficiency notice notice regarding board independence (rules 5605(b)(1)).

“September 25, 2023, Nasdaq issued the Company a written notice that the Company was not in compliance with the Majority Independent Requirement. This notice is a notification of deficiency, not of imminent delisting, and has no current effect on the listing or trading of the Company’s securities on Nasdaq. Pursuant to Nasdaq Listing Rule 5810(c)(2), the Company has 45 calendar days, or until November 9, 2023, to submit a plan to regain compliance with the Majority Independent Requirement. The Company intends to submit a plan to regain compliance with the Majority Independent Requirement within”

IMAC Holdings, Inc. received a nasdaq noncompliance notice notice regarding minimum bid price (rules 5810(c)(3)(A)(iii), 5550(a)(2)).

“September 22, 2023, The Nasdaq Stock Market LLC (“Nasdaq”) notified the Company that the Company’s bid price deficiency had been cured and that the Company is in compliance with all applicable listing standards. As previously disclosed, on September 6, 2023, the Company received a letter from Nasdaq notifying the Company that, because the bid price of the Company’s voting common stock and warrants had closed at $0.10 or less for the preceding ten consecutive trading days, in contravention of Nasdaq Listing Rule 5810(c)(3)(A)(iii), the Company’s securities were subject to delisting unless the C”

SRx Health Solutions, Inc. received a nyse_american deficiency notice notice regarding minimum bid price (rules 1003(f)(v)).

“September 21, 2023, Better Choice Company, Inc. (the “Company”) received a written notice (the “Notice”) from the NYSE American LLC (the “NYSE American”) indicating that the Company is not in compliance with the NYSE American continued listing standard set forth in Section 1003(f)(v) of the NYSE American Company Guide (“Section 1003(f)(v)”) because shares of the Company's common stock have been selling for a substantial period of time at a low price per share. The Notice has no immediate effect on the listing or trading of the Company’s common stock and the common stock will continue to trade”

BOWFLEX INC. received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).

“September 21, 2023, Nautilus, 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 802.01C of the NYSE’s Listed Company Manual (“Section 802.01C”) because the average closing price of the Company’s Common Stock (the “Common Stock”) was less than $1.00 per share over a consecutive 30 trading-day period (the “minimum share price requirement”). The Notice has no immediate impact on the listing of the Common Stock on the NYSE, subject to the Company’s complia”

QUANTUM CORP /DE/ received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“September 20, 2023, Quantum Corporation (the “Company”) was notified by the Nasdaq Stock Market LLC (“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. Nasdaq Listing Rule 5810(c)(3)(A) provides that a failure to meet the minimum closing bid price requirement exists if the deficiency continues for a period of 30 consecutive business days. The notification has no immediate effect on the Company’s Nasdaq listing, and the Company has 180 calendar days from”