Listing & Compliance Notices

Valion Bio, Inc. received a nasdaq compliance regained notice regarding minimum bid price (rules 5550(a)(2)).

“September 15, 2023, Nasdaq notified the Company that the Company’s bid price deficiency has been cured and that the Company is in compliance with all applicable listing standards. As a result, Nasdaq has cancelled the Hearing, reversed its delisting determination and confirmed that the Company’s common stock will continue to be listed and traded on the Nasdaq Capital Market under the symbol “TIVC.””

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

“September 14, 2023, Forte Biosciences, 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 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”

UNIVERSAL SAFETY PRODUCTS, INC. received a nyse_american compliance regained notice regarding other (rules 704).

“September 19, 2023, the Company received a letter from the Exchange advising the Company that, as a result of the Company’s Annual Meeting of Stockholders held on September 19, 2023, the Company is back in compliance with the Exchange’s continued listing standards set forth in Section 704 of the Exchange’s Company Guide and has resolved the deficiency set forth in the Exchange’s April 3, 2023 notification letter.”

TITAN PHARMACEUTICALS INC received a nasdaq extension granted notice regarding stockholders equity (rules 5550(b)(1)).

“June 5, 2023, the Staff granted the Company an extension until October 2, 2023 to regain compliance with the Equity Rule. However, the Staff indicated in the Determination Letter that, pursuant to Listing Rule 5810(d)(2), this deficiency serves as an additional and separate basis for delisting, and as such, the Company should address its non-compliance with the Equity Rule before a Hearings Panel (the “Panel”) if it appeals the Staff’s determination. The Company intends to appeal Nasdaq’s determination to a Panel pursuant to the procedures set forth in the Nasdaq Listing Rule 5800 Series to st”

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

“September 13, 2023, the Company received a determination letter (the “Determination Letter”) from the Staff stating that it had not regained compliance with Listing Rule 5550(a)(2) and is not eligible for a second 180 day period to regain compliance. Unless the Company requests an appeal of this determination, the trading of the Company’s common stock will be suspended at the opening of business on September 22, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission (the “SEC”), which will remove the Company’s securities from listing and registration on The Nasdaq St”

SHF Holdings, Inc. received a nasdaq extension granted notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“September 13, 2023, SHF Holdings, Inc. (the “Company”) received notice from the Nasdaq Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) advising that the Staff determined the Company is eligible for an additional 180 calendar day period, or until March 11, 2024, to regain compliance with its minimum bid price requirement rule under Rule 5550(a)(2) (the “Minimum Bid Price Requirement”) pursuant to the Nasdaq Listing Rule 5810(c)(3)(A). The notification has no immediate effect on the listing of the Company’s common stock, and its common stock will continu”

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

“September 13, 2023, Vintage Wine Estates, Inc. (the “Company”) received a letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for the last 30 consecutive business days, the Company no longer meets Nasdaq Listing Rule 5450(a)(1), which requires listed companies to maintain a minimum bid price of at least $1 per share. Nasdaq Listing Rule 5810(c)(3)(A) provides a compliance period of 180 calendar days, or until March 11, 2024, in which to regain compliance with the minimum bid price”

Lightning eMotors, Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).

“September 18, 2023, Lightning eMotors, Inc. (the “Company”) received written notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) indicating that the staff has determined to suspend trading immediately and commence proceedings to delist the shares of common stock and the redeemable warrants of the Company from the NYSE. The decision was reached by the NYSE staff under Section 802.01B of the NYSE 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 of at leas”

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

“ifying the Company that for the preceding 30 consecutive business days (August 3, 2023 through September 14, 2023), the market value of the Company’s listed securities (“MVLS”) did not maintain a minimum market value of $50,000,000 (the “Minimum MVLS Requirement”) as required by Nasdaq Listing Rule 5450(b)(2)(A). The notification received has no immediate effect on the Company's continued listing on the Nasdaq Global Market, subject to the Company's compliance with the other continued listing requirements. In accordance with Nasdaq Listing Rule 5810(c)(3)(C), the Company has a compliance perio”

META MATERIALS INC. received a nasdaq extension granted notice regarding minimum bid price.

“September 19, 2023, the Company received notice from Nasdaq indicating that, while the Company has not regained compliance with the minimum bid price requirement, staff of Nasdaq has determined that the Company is eligible for an additional 180-day period, or until March 18, 2024, to regain compliance. Staff’s determination was based on (i) the Company meeting the continued listing requirement for market value of our publicly held shares and all other applicable requirements for initial listing on the Capital Market, with the exception of the bid price requirement, and (ii) the Company's writt”

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

“) had closed below $1.00 per share for the thirty (30) consecutive business days (July 31, 2023 through September 11, 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”

TITAN PHARMACEUTICALS INC received a nasdaq noncompliance notice notice regarding stockholders equity (rules 5550(b)(1), 5810(d)(2)).

“April 5, 2023, the Company received a notice from the Staff notifying the Company that the Company’s stockholders’ equity, as reported in its Annual Report on Form 10-K for the period ended December 31, 2022, did not satisfy the continued listing requirement under Nasdaq Listing Rule 5550(b)(1) for The Nasdaq Capital Market, which requires that a listed company’s stockholders’ equity be at least $2,500,000 (the “Equity Rule”). Based on the Company’s representations, on June 5, 2023, the Staff granted the Company an extension until October 2, 2023 to regain compliance with the Equity Rule. Howe”

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

“September 13, 2023, the Company received a determination letter (the “Determination Letter”) from the Staff stating that it had not regained compliance with Listing Rule 5550(a)(2) and is not eligible for a second 180 day period to regain compliance. Unless the Company requests an appeal of this determination, the trading of the Company’s common stock will be suspended at the opening of business on September 22, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission (the “SEC”), which will remove the Company’s securities from listing and registration on The Nasdaq St”

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

“September 12, 2023, Finnovate Acquisition Corp. (the “Company”) received a deficiency notice (the “Notice”) from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market, LLC (“Nasdaq”) notifying the Company that the Company was not in compliance with Nasdaq’s continuing listing standards (the “Listing Rules”) as set forth in in Listing Rule 5250(c)(1) given the Company’s failure to timely file its Quarterly Report on Form 10-Q for the period ended June 30, 2023. The notification received has no immediate effect on the Company’s Nasdaq listing. In accordance with Nasdaq r”

Thorne Healthtech, Inc. received a nasdaq deficiency notice notice regarding other (rules 5605, 5605(b)(1)(A)).

“September 11, 2023, Thorne HealthTech, Inc. (the “Company”) received a notice (the “Notice”) from The Nasdaq Stock Market LLC (the “Nasdaq”) stating that, as a result of the previously disclosed resignation of Takeshi Minakata from the Board of Directors of the Company (the “Board”), effective August 15, 2023, the Company is no longer in compliance with Nasdaq Listing Rule 5605, which, in relevant part, requires the Board to be comprised of a majority of directors who qualify as independent under the Nasdaq Listing Rules and the Securities Exchange Act of 1934, as amended. As previously disclo”

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

“September 15, 2023, ShiftPixy, Inc. (the “Company”) received a letter from the staff of the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”), which notifies the Company that, for the previous 30 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’s Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). The notification of noncompliance has no immediate effect on the listing or trading of the Company’s commo”

TREX WIND-DOWN, INC. received a nyse_american extension granted notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii)).

“. ☐ ​ Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. As previously announced, on June 28, 2023, the NYSE American LLC (the “NYSE American”) notified Timber Pharmaceuticals, Inc. (the “Company”) that it no longer complied with Sections 1003(a)(i) and (ii) of the NYSE American Company Guide (the “Deficiency Letter”). Section 1003(a)(i) of the NYSE American Company Guide requires a listed company’s stockholders’ equity be at least $2.0 million if it has reported losses from continuing operations and/or net losses in two of its three”

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

“September 14, 2023, Sonim Technologies, Inc. (the “Company”) received a letter (the “Notice”) from the listing qualifications staff (the “Staff”) of 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) (the “Bid Price Rule”) for continued listing. The Bid Price Rule requires listed securities to maintain a minimum bid price of $1.00 per share, and Nasdaq Listing Rule 5810(c)(3)(A) (the “Compliance Period Rule”) provides that a failure to meet the minimum bid price requirement”

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

“September 11, 2023, JanOne Inc. (the “Company”) received a notice (the “Nasdaq Notice”) from The Nasdaq Stock Market (“Nasdaq”), indicating that, for the last thirty (30) 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). 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 9, 2024, to regain compliance. The letter states that the Nasdaq staff w”

AgEagle Aerial Systems Inc. received a nyse_american deficiency notice notice regarding minimum bid price (rules 1003(f)(v), 1009).

“September 12, 2023, the Company received written notice (the “Notice”) from the NYSE American LLC (the “NYSE American”) stating that it is not in compliance with the continued listing standard set forth in Section 1003(f)(v) of the NYSE American Company Guide (the “Company Guide”) because the Company’s shares of common stock have been selling for a substantial period of time at a low price per share, which NYSE American determined to be a 30-trading day average of less than $0.20 per share. The Notice stated that the Company’s continued listing is predicated on it effecting a reverse stock spl”

Opy Acquisition Corp. I received a nasdaq deficiency notice notice regarding shareholders (rules 5450(a)(2)).

“September 12, 2023, OPY Acquisition Corp. I (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 the Company was not in compliance with Listing Rule 5450(a)(2), which requires the Company to have at least 400 shareholders 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 securities on the Nasdaq”

Seaport Global Acquisition II Corp. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5450(b)(1)(A), 5450(a)(2)).

“September 12, 2023, Seaport Global Acquisition II Corp. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications division (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) stating the Company’s number of total stockholders failed to comply with the minimum 400 total holders requirement in accordance with Nasdaq Listing Rule 5450(a)(2) and that the Company’s stockholders’ equity failed to comply with the minimum $10 million requirement in accordance with Nasdaq Listing Rule 5450(b)(1)(A), in each case for continued listing on the Nasdaq Global Market (collectively”

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

“August 23, 2023 due to the Company’s non-compliance with Nasdaq Listing Rule 5250(c)(1) (the “ Rule ”) as a result of the Company’s failure to timely file its Annual Report on Form 10-Q for the fiscal quarter ended June 30, 2023 (the “ Form 10-Q ”). The Rule requires listed companies to timely file all required periodic financial reports with the Securities and Exchange Commission (the “ SEC ”). The Notice states that since Nasdaq has not received the Company’s Form 10-Q for the period ended June 30, 2023, and because the Company remains delinquent in filing its Form 10-Q for the period ended”

Benson Hill, Inc. received a nyse noncompliance notice notice regarding minimum bid price (rules 802.01C).

“September 13, 2023 , Benson Hill, Inc. (the “Company”) received notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) that as of September 12, 2023 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 over a consecutive 30 trading-day period. The Notice has no immediate impact on the listing of the Common Stock on the NYSE, subject to the Company’s”

AEye, Inc. received a nasdaq deficiency notice notice regarding audit committee (rules 5605, 5605(c)(4)).

“September 13, 2023, AEye, Inc. (the “Company”) received a notice (the “Notice”) from The Nasdaq Stock Market LLC (the “Nasdaq”) stating that, as a result of the previously disclosed resignation of Wen H. Hsieh from the Board of Directors of the Company (the “Board”) and the Audit Committee of the Board (the “Audit Committee”), effective August 15, 2023, the Company is no longer in compliance with Nasdaq Listing Rule 5605, which, in relevant part, requires the Audit Committee to consist of at least three members, each of whom must be an independent director under the Nasdaq Listing Rules and me”

Polished.com Inc. received a nyse_american deficiency notice notice regarding minimum bid price (rules 1003(f)(v)).

“September 13, 2023, Polished.com Inc. (the “ Company ”) received a deficiency letter (the “ Deficiency Letter ”) 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 because its shares of common stock, par value $0.0001 per share (the “ Common Stock ”), have been selling at a low price per share for a substantial period of time. Pursuant to Section 1003(f)(v) of the NYSE American Company Guide, the NYSE American staff determined tha”

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

“September 14, 2023, Vincerx Pharma, Inc. (“Company”) received written notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with Nasdaq Listing Rule 5550(a)(2) because the closing bid price of the Company’s common stock for the last 30 consecutive business days was lower than the minimum bid price requirement of $1.00 per share. The Notice has no immediate effect on the listing or trading of the Company’s common stock, which continues to trade on The Nasdaq Capital Market under the symbol “VINC.” In accordance with Nasdaq Listing R”

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

“September 15, 2023, MediaCo Holding 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 31 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 Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). The Nasdaq deficiency letter has no immediate effect on the listing of the Company’s common stoc”

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

“ively. The Nasdaq Capital Market is a continuous trading market that operates in substantially the same manner as The Nasdaq Global Select Market and listed companies must meet certain financial requirements and comply with Nasdaq’s corporate governance requirements. Pursuant to Nasdaq Listing Rule 5810(c)(3)(A), if a company listed on The Nasdaq Capital Market is not deemed in compliance before the expiration of the 180-day compliance period, it will be afforded an additional 180-day compliance period, provided that on the 180th day of the first compliance period it meets the applicable marke”

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

“September 13, 2023, Aptevo Therapeutics Inc. (the “Company”) received a letter from the staff (the “Staff”) of The Nasdaq Stock Market (“Nasdaq”) notifying the Company 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 5550(a)(2) (the “Bid Price Requirement”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has 180 calendar days, or until March 11, 2024 (the “Compliance Date”), to regain compliance with”

Catalent, Inc. received a nyse noncompliance notice notice regarding late filing (rules 802.01E).

“September 14, 2023, Catalent, Inc. (the “ Company ”) received a notice (the “ NYSE Notice ”) from the New York Stock Exchange (the “ NYSE ”) that the Company is not in compliance with Section 802.01E of the NYSE Listed Company Manual as a result of its failure to timely file its Annual Report on Form 10-K for the fiscal year ended June 30, 2023 (the “ Form 10-K ”) with the Securities and Exchange Commission (the “ SEC ”). The NYSE Notice has no immediate effect on the listing of the Company’s common stock on the NYSE. The NYSE Notice informed the Company that, under NYSE rules, the Company has”

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

“September 12, 2023, Nasdaq Stock Market LLC (“Nasdaq”) notified Citius Pharmaceuticals, Inc. (the “Company”) that for the last 30 consecutive business days, the bid price for the Company’s common stock had closed 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 Rule”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has a compliance period of 180 calendar days, or until March 11, 2024, to regain compliance with the Bid Price Rule. If at any time before March 11, 2024”

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

“September 13, 2023, Bio-Path Holdings, Inc. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for the last 30 consecutive business days, the Company did not meet the minimum bid price of $1.00 per share required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Rule”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has been provided an initial period of 180 calendar da”

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

“September 12, 2023, Capstone Green Energy Corporation (the “Company”) received a written notice (the “Periodic Filing Notice”) from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) notifying the Company that it was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of not having timely filed its Annual Report on Form 10-K for the year ended March 31, 2023. The Company has also failed to timely file its Quarterly Report on Form 10-Q for the quarter ended June 30, 2023. On August 18, 2023, the Company filed a Current Report on Form 8-K announcing”

Capstone Energy Plus, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).

“September 12, 2023, Capstone Green Energy Corporation (the “Company”) received a written notice (the “Periodic Filing Notice”) from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) notifying the Company that it was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of not having timely filed its Annual Report on Form 10-K for the year ended March 31, 2023. The Company has also failed to timely file its Quarterly Report on Form 10-Q for the quarter ended June 30, 2023. On August 18, 2023, the Company filed a Current Report on Form 8-K announcing”

Kairous Acquisition Corp. Ltd received a nasdaq deficiency notice notice regarding other (rules 5450(a)(2)).

“September 12, 2023, Kairous Acquisition Corp. Limited (the “Company”) received a written notice (the “September Notice”) from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) indicating that the Company was not in compliance with Listing Rule 5450(a)(2), which requires the Company to have at least 400 public holders for continued listing on the Nasdaq Global Market (the “Minimum Public Holders Rule”). The September 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 securi”

Focus Impact BH3 Acquisition Co received a nasdaq deficiency notice notice regarding other (rules 5450(a)(2)).

“September 10, 2023, Crixus BH3 Acquisition Company (the “Company”) received a notice (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was no longer in compliance with Nasdaq Listing Rule 5450(a)(2), which requires a minimum of 400 total holders for continued listing on the Nasdaq Global Market (the “Minimum Public Holders Rule”). The Notice states that the Company has 45 calendar days from the date of the Notice to submit a plan to regain compliance with the Minimum Public Holders Rule. The Company intends to submit”

OceanTech Acquisitions I Corp. received a nasdaq other notice regarding market value (rules 5550(b)(2)).

“September 13, 2023, the Company received written notice (the “Notification Letter”) from Nasdaq stating that the Company currently does not meet the required minimum of 300 public holders for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(a)(3). The Notification Letter further states that the Panel will consider this matter in rendering a determination regarding the Company’s continued listing on The Nasdaq Capital Market. Pursuant to Listing Rule 5810(d), the Company intends to present its views with respect to this additional deficiency at its hearing with the”

OceanTech Acquisitions I Corp. received a nasdaq delisting notice notice regarding market value (rules 5550(b)(2)).

“d; Transfer of Listing Purchase Agreement. As previously disclosed, on July 25, 2023, OceanTech Acquisitions I Corp., a Delaware Corporation (the “Company”), received written notice from The Nasdaq Stock Market (“Nasdaq”) stating that the Company had not regained compliance with Nasdaq Listing Rule 5550(b)(2) for the market value of listed securities requirement (the “MVLS rule”) within the applicable compliance period, and on July 27, 2023, the Company requested a hearing to appeal such determination, which hearing is scheduled to be held before the Nasdaq Hearings Panel (the “Panel”) on Sept”

Artemis Strategic Investment Corp received a nasdaq deficiency notice notice regarding other (rules 5450(a)(2)).

“September 10, 2023, Artemis Strategic Investment Corp., 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 C”

Northern Star Investment Corp. IV received a nyse delisting notice notice regarding market value (rules 802.01B).

“ss A Common Stock and one-sixth of one redeemable warrant (the “ Units ”), each warrant exercisable for one share of Class A Common Stock of the Company (the “ Warrants ”), from the NYSE. The Notice indicated that the Staff reached its decision to delist the Company’s securities pursuant to Section 802.01B of the NYSE’s Listed Company Manual because the Staff determined that the Company had fallen below the NYSE’s continued listing standard requiring a listed acquisition company to maintain an average aggregate global market capitalization attributable to its publicly-held shares over a consec”

ConvexityShares Trust received a nyse noncompliance notice notice regarding market value.

“August 25, 2023, Teucrium Trading LLC (“Teucrium”), sponsor of ConvexityShares Trust (the “Trust”) and its series, ConvexityShares Daily 1.5x SPIKES Futures ETF and ConvexityShares 1x SPIKES Futures ETF (each a “Fund” and together, the “Funds”), received a notice (the “Notice”) from NYSE Regulation indicating that each Fund was found to be non-compliant with the continued listing requirements for Trust Issued Receipts listed on NYSE Arca Inc. (the “Exchange”). Specifically, NYSE Regulation found the Funds to be out of compliance with Rule 8.200-E(d)(2)(C), which requires each Fund to have an a”

Zomedica Corp. received a nyse_american deficiency notice notice regarding minimum bid price (rules 1003(f)(v), 1009).

“September 12, 2023, Zomedica Corp. (the “Company”) received a deficiency letter (the “Letter”) from the NYSE American LLC (the “NYSE American”) indicating that the Company was not in compliance with the NYSE American continued listing standards set forth in Section 1003(f)(v) of the NYSE American Company Guide (the “Company Guide”) because the Company’s common shares were selling for a substantial period of time at a low price per share, which the NYSE American determined to be a 30-trading day average of less than $0.20 per share. The Letter does not result in the immediate delisting of the C”

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

“September 8, 2023, SeqLL Inc. (the “Company”) received a letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) regarding compliance with Nasdaq Listing Rule 5550(a)(4) (the “Rule”), which requires the Company to have a minimum of 500,000 publicly held shares, exclusive of shares held by officers, directors and 10% stockholders. The letter from Nasdaq indicated that according to its calculations, as of September 7, 2023, the Company no longer meets the requirements of the Rule. This notice of noncompliance has no immediate impact on the continued listing or trad”

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

“September 8, 2023, Atreca, Inc. (the “ Company ”) received notice from The Nasdaq Stock Market LLC (“ Nasdaq ”) notifying it that on September 7, 2023, the average closing price of the Company’s Class A common stock, $0.0001 par value per share (the “ Class A Common Stock ”), over the prior 30 consecutive trading days had fallen below $1.00 per share, which is the minimum average closing price required to maintain listing on Nasdaq under Nasdaq Listing Rule 5450(a)(1) (the “ Minimum Bid Requirement ”). In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has 180 calendar days to r”

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

“September 14, 2023, Qurate Retail, Inc. (the “Company”) received written notice (the “Notice”) from The Nasdaq Stock Market (“Nasdaq”) notifying the Company that, because the closing bid price for the Company’s Series A common stock, par value $0.01 per share (“QRTEA”), has fallen below $1.00 per share for 30 consecutive business days, the Company no longer complies with the minimum bid price requirement for continued listing of QRTEA on the Nasdaq Global Select Market. Nasdaq Listing Rule 5450(a)(1) requires listed securities to maintain a minimum bid price of $1.00 per share (the “Minimum Bi”

AMAZE HOLDINGS, INC. received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(ii)).

“September 8, 2023, Fresh Vine Wine, Inc. (the “Company”) received a written notice (the “Notice”) from NYSE American LLC (“NYSE American”) stating that the Company was not in compliance with NYSE American continued listing standards relating to stockholders’ equity. Specifically, the Notice stated that the Company is not in compliance with the continued listing standard set forth in Section 1003(a)(ii) of the NYSE American Company Guide (the “Company Guide”), which requires that a listed company have stockholders’ equity of at least $4 million if the company has reported losses from continuing”

AERWINS Technologies Inc. received a nasdaq noncompliance notice notice regarding market value (rules 5450(b)(2)(C), 5810(c)(3)(D)).

“September 8, 2023, AERWINS Technologies Inc., a Delaware corporation (the “Company”), received a notification letter (the “Notification Letter”) from The Nasdaq Stock Market, LLC (“Nasdaq”) that it is not in compliance with the minimum Market Value of Publicly Held Shares (the “MVPHS”) set forth in Nasdaq Listing Rule 5450(b)(2)(C) for continued listing on Nasdaq. Nasdaq Listing Rule 5450(b)(2)(C) requires the minimum MVPHS of $15,000,000, and Nasdaq Listing Rule 5810(c)(3)(D) provides that a failure to meet the minimum MVPHS requirement exists if the deficiency continues for a period of 30 co”

DIGIASIA CORP. received a nasdaq delisting notice notice regarding shareholders (rules 5550(a)(3)).

“September 7, 2023, the Company received written notice (the “ Delisting Letter ”) from Nasdaq stating that the Company has not regained compliance with Nasdaq Listing Rule 5550(a)(3) within the Compliance Period. According to the Delisting Letter, 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 ordinary shares will be suspended at the opening of business on September 18, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission to remove the Company’s securiti”

DIGIASIA CORP. received a nasdaq deficiency notice notice regarding shareholders (rules 5550(a)(3)).

“September 7, 2023, the Company received written notice (the “ Delisting Letter ”) from Nasdaq stating that the Company has not regained compliance with Nasdaq Listing Rule 5550(a)(3) within the Compliance Period. According to the Delisting Letter, 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 ordinary shares will be suspended at the opening of business on September 18, 2023, and a Form 25-NSE will be filed with the Securities and Exchange Commission to remove the Company’s securiti”