Listing & Compliance Notices

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

“March 16, 2023, SHF Holdings, Inc. (the “Company”) received a letter from the listing qualifications department staff of The Nasdaq Stock Market (“Nasdaq”) notifying the Company that for the last 30 consecutive business days, the Company did not maintain a minimum closing bid price of $1 per share for its common stock, as required by Nasdaq listing rule 5550(a)(2). The notice has no immediate effect on the listing of the Company’s common stock or warrants, and the Company’s common stock and warrants continue to trade on The Nasdaq Global Market under the symbols “SHFS” and “SHFSW,” respectivel”

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

“March 16, 2023, the New York Stock Exchange (the “NYSE”) notified Boxed, Inc. (the “Company”) that the NYSE determined to commence proceedings to delist the Company’s warrants, each exercisable for one share of the Company’s common stock, from the NYSE and that trading in the Company’s warrants would be suspended immediately, due to “abnormally low” trading price levels pursuant to Section 802.01D of the NYSE Listed Company Manual. The NYSE issued a press release stating the foregoing on March 17, 2023. The Company does not intend to appeal the NYSE’s determination. SIGNATURE Pursuant to the”

Kiromic Biopharma, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2)).

“March 14, 2023, Kiromic Biopharma, Inc. (the “Company”) received written notice (the “ Notice ”) from The Nasdaq Stock Market LLC (“ Nasdaq ”) stating that the Company did not maintain a minimum bid price of at least $1.00 for a minimum of ten (10) consecutive business days before the end of the Nasdaq grace period and, therefore, did not regain compliance with Listing Rule 5550(a)(2) by March 13, 2023, as required. As a result of the foregoing, the Staff informed the Company that its common stock would be subject to delisting from The Nasdaq Capital Market on March 23, 2023, unless the Compan”

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

“March 14, 2023, Celularity Inc. (the “Company”) received notice from the Listing Qualifications department of the Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that the Company no longer complies with the minimum bid price requirement for continued listing on the Nasdaq Capital Market under Nasdaq Listing Rule 5450(a)(1) because the closing bid price for the Company’s Class A common stock has fallen below $1.00 per share for the last 30 consecutive business days. Nasdaq’s notice has no immediate effect on the listing of the Company’s common stock, which continues to trade on the Nas”

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

“March 16, 2023, Evelo Biosciences, Inc. (the “Company”) received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, for the last 30 consecutive business days, the bid price for the Company’s common stock, par value $0.001 per share (the “Common Stock”), had closed below the $1.00 per share minimum bid price requirement for continued inclusion on the Nasdaq Global Select Market pursuant to Nasdaq Listing Rule 5450(a)(1) (the “Bid Price Requirement”). The letter has no immediate effect on the listing of the Common Stock on th”

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

“March 15, 2023, Vapotherm, Inc. (the “Company”) received a notice (the “Notice”) from the New York Stock Exchange, Inc. (the “NYSE”) that the Company is not in compliance with the continued listing standard set forth in Section 802.01C of the NYSE Listed Company Manual because the average closing price of the Company’s common stock was less than $1.00 over a consecutive 30 trading-day period. Pursuant to Section 802.01C, the Company has a period of six months following the receipt of the Notice to regain compliance with the minimum share price requirement. In order to regain compliance, on the”

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

“March 17, 2023, TeraWulf Inc. (the “Company”) received a letter from the Listing Qualifications Department (the “Staff”) 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 $0.001 per share, (the “Common Stock”) for the last 30 consecutive business days, the Common Stock did not meet the minimum bid price of $1.00 per share required by Nasdaq Listing Rule 5550(a)(2), initiating an automatic 180 calendar-day grace period for the Company to regain compliance. ​ The notice has no immediate effect on the li”

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

“March 15, 2023, Nutanix, Inc. (the ”Company”) received a notification letter (the “Letter”) from The Nasdaq Stock Market LLC (“Nasdaq”) stating that, because the Company has not yet filed its Quarterly Report on Form 10-Q for the quarter ended January 31, 2023, the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which requires Nasdaq-listed companies to timely file all required periodic financial reports with the Securities and Exchange Commission. The Letter has no immediate effect on the listing or trading of the Company’s Class A common stock on the Nasdaq Global Select Ma”

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

“e Loyalty Ventures Inc., et al. , Case No. 23-90111 (CML). ​ On March 10, 2023, the Company received a letter (the “ Delisting Notice ”) from the listing qualifications department staff of The Nasdaq Stock Market (“ Nasdaq ”) notifying the Company that, in accordance with Nasdaq Listing Rules 5101, 5110(b), and IM-5101-1, the staff of Nasdaq has determined that the Company’s common stock, par value $0.01 per share (the “ Common Stock ”) will be delisted from Nasdaq. In the Delisting Notice, the staff of Nasdaq referenced the Chapter 11 Cases and associated public interest concerns raised by it”

ObsEva SA received a nasdaq delisting notice notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“March 14, 2023, ObsEva SA (the “Company”) received written notice (the “Delisting Notice”) from the Listing Qualifications staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that the Company has not regained compliance with Listing Rule 5450(a)(1) (the “Bid Price Rule”) and is not eligible for a second 180-day period to cure the deficiency in accordance with Listing Rule 5810(c)(3)(A). Accordingly, the Staff has determined that the Company’s securities will be scheduled for delisting from The Nasdaq Capital Market and will be suspended at the opening of busines”

Sports Entertainment Gaming Global Corp received a nasdaq noncompliance notice notice regarding other.

“received a notice (the “ Notice ”) from The Nasdaq Stock Market LLC (“ Nasdaq ”) stating that, as a result of the resignation of Naila Chowdhry from the Board of Directors of the Company and the Audit Committee and Compensation Committee of the Board of Directors (as discussed in”

Sio Gene Therapies Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5450(a)(1)).

“March 14, 2023, the Company received written notice (the “ Delisting Notice ”) from Nasdaq notifying the Company that, as a result of its failure to regain compliance with the Minimum Bid Price Requirement, Nasdaq has determined that the Company’s common stock will be delisted from the Nasdaq Capital Market. In light of the Company’s planned Dissolution, the Company will not appeal this determination. The Company expects, based on the Delisting Notice, that trading of the Company’s common stock will be suspended at the opening of business on March 23, 2023, and a Form 25-NSE will be filed with”

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

“March 14, 2023, the Company received notice from Nasdaq that the Company’s application was approved and that the Company is eligible for an additional 180-calendar day period, or until September 11, 2023, to regain compliance with the Minimum Bid Price Requirement. Both the Company’s common stock and 9.50% Series A Cumulative Perpetual Preferred Stock will be transferred to The Nasdaq Capital Market at the opening of business on March 16, 2023. If at any time during the 180-calendar day period, the closing bid price of the Company’s common stock is at least $1.00 per share for a minimum of 10”

Blue Safari Group Acquisition Corp received a nasdaq deficiency notice notice regarding other (rules 5550(a)(4)).

“March 9, 2023, Blue Safari Acquisition Corp., a British Virgin Islands business company (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 Listing Rule 5550(a)(4), which requires the Company to have at least 500,000 publicly held shares for continued listing on the Nasdaq Capital Market (the “Minimum Public Shares Rule”). The Notice is only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or trading”

BlueRiver Acquisition Corp. received a nyse deficiency notice notice regarding market value (rules 802.01B).

“March 13, 2023, the trading in the securities of BlueRiver Acquisition Corp. (the “Company”) was halted at the close of the market by the New York Stock Exchange (the “NYSE”) due to the Company’s inability to meet the requirements of Section 802.01B of the NYSE’s Listed Company Manual. That Section requires a listed acquisition company to maintain an average aggregate global market capitalization attributable to its publicly held shares (a “public float”) over a consecutive 30 trading day period of at least $40,000,000. The Company is currently in process of transitioning its listing to the NY”

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

“the “Company” or “Motus”) that it no longer complied with Nasdaq Listing Rule 5550(b)(1) (the “Rule”). Under the Rule, companies listed on The Nasdaq Capital Market must maintain stockholders’ equity of at least $2,500,000 (the “Stockholders’”

SpringBig Holdings, Inc. received a nasdaq delisting notice notice regarding market value (rules 5450(b)(2)).

“March 7, 2023, SpringBig Holdings, Inc. (the “Company”) received formal notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company’s securities were subject to delisting due to the Company’s continued non-compliance with the minimum market value of listed securities (“MVLS”) requirement set forth in Nasdaq Listing Rule 5450(b)(2) (the “MVLS Rule”) unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). The Company plans to timely request a hearing before the Panel, which request will stay”

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

“March 10, 2023, Aridis Pharmaceuticals, Inc. (the “Company”) received written notice (the “ Notice ”) from the Nasdaq Stock Market, LLC (“ Nasdaq ”) indicating that the bid price for the Company’s common stock (the “Common Stock”), for the last 30 consecutive business days, had closed below the minimum $1.00 per share and, as a result, the Company is not in compliance with the $1.00 minimum bid price requirement for the continued listing on the Nasdaq Capital Market, as set forth in Nasdaq Listing Rule 5550(a)(2). The Notice has no effect at this time of the Common Stock, which continues to tr”

DIRTT ENVIRONMENTAL SOLUTIONS LTD received a nasdaq extension granted notice regarding minimum bid price (rules 5450(a)(1), 5810(c)(3)(A)).

“March 7, 2023, Nasdaq notified the Company in writing that while the Company had not regained compliance with the Bid Price Rule, it was eligible for an additional 180 calendar day period, or until September 5, 2023, to regain compliance with the Bid Price Rule. Nasdaq’s determination was based on the Company having met the continued listing requirement for market value of publicly held shares and all other applicable requirements for initial listing on The Nasdaq Capital Market, with the exception of the Bid Price Rule, and on the Company’s written notice to Nasdaq of its intention to cure th”

HORIZON BANCORP INC /IN/ received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“March 6, 2023, Horizon Bancorp, Inc. (“Horizon Bancorp” or the “Company”) received a letter (the “Letter”) from The NASDAQ Stock Market LLC (“NASDAQ”) indicating that, as a result of not having timely filed its Annual Report on Form 10–K for the year ended December 31, 2022 (the “2022 Form 10–K”) by March 1, 2023 with the Securities and Exchange Commission (the “SEC”), the Company is not in compliance with NASDAQ Listing Rule 5250(c)(1), which requires timely filing of all required periodic financial reports with the SEC. Prior to receiving the Letter from NASDAQ, the Company believed it quali”

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

“March 7, 2023, StoneBridge Acquisition Corporation, a Cayman Islands exempted company, limited by shares (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 Listing Rule 5550(a)(3), which requires the Company to have at least 300 public holders for continued listing on the Nasdaq Capital Market (the “Minimum Public Holders Rule”). The Notice is only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or”

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

“March 8, 2023, EdtechX Holdings Acquisition Corp. II (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 Listing Rule 5250(c)(1) because the Company has failed to file its Quarterly Report on Form 10-Q for the quarter ended December 31, 2022 (the “ Delinquent Report ”). The Notice stated that no later than May 8, 2023, the Company is required to submit a plan to regain compliance with respect to the filing of the Delinquent Report. If NASDAQ accepts”

Greencity Acquisition Corp received a nasdaq deficiency notice notice regarding other (rules 5550(a)(4)).

“March 8, 2023, the Company received a notice (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) stating that the Company was not in compliance with Listing Rule 5550(a)(4) (the “Minimum Publicly Held Shares Rule”), which requires the Company to have at least 500,000 Publicly Held Shares for continued listing on the NASDAQ Capital Market. 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 Capital Market. The Notice states that the Co”

Singularity Future Technology Ltd. received a nasdaq deficiency notice notice regarding audit committee (rules 5605).

“March 8, 2023, Singularity Future Technology Ltd. (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 John Levy from the Company’s board of directors and audit committee effective February 23, 2023. Nasdaq advised the Company 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 Company’s next ann”

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

“March 3, 2023, TuSimple Holdings Inc. (the “Company”) received a notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of not having timely filed the Form 10-K with the SEC, the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1) (the “Listing Rule”), which requires timely filing of all required periodic financial reports with the SEC. The Notice indicated that the Company may submit an update to its existing plan to regain compliance with the Listing Rule no later than March 20, 2023 and, following receipt of such update, Nasdaq may grant”

Goldenbridge Acquisition Ltd received a nasdaq deficiency notice notice regarding shareholders (rules 5550(a)(3)).

“March 7, 2023, Goldenbridge Acquisition Limited (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 Listing Rule 5550(a)(3), which requires the Company to have at least 300 public holders for continued listing on the Nasdaq Capital Market (the “Minimum Public 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 Nasdaq Capital Ma”

Nemaura Medical Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).

“February 23, 2023, the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notified Nemaura Medical Inc. (the “Company”) that it was not in compliance with Nasdaq’s continued listing requirements under Nasdaq Listing Rule 5250(c)(1) (the “Rule”) as a result of its failure to timely file its Quarterly Report on Form 10-Q for the quarter ended December 31, 2022 (the “Form 10-Q”). Subsequently, on February 24, 2023, the Company filed the Form 10-Q and regained compliance with the Rule. On February 27, 2023, the Company received a notice from Nasdaq that, based on the Form”

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

“March 7, 2023, Nasdaq notified the Company in writing that while the Company had not regained compliance with the Bid Price Rule, it was eligible for an additional 180 calendar day period, or until September 5, 2023, to regain compliance with the Bid Price Rule. Nasdaq’s determination was based on the Company having met the continued listing requirement for market value of publicly held shares and all other applicable requirements for initial listing on The Nasdaq Capital Market, with the exception of the Bid Price Rule, and on the Company’s written notice to Nasdaq of its intention to cure th”

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

“November 16, 2022, the Company received another notice from the Staff that the Company’s failure to timely file its Quarterly Report on Form 10-Q for the period ending September 30, 2022 with the Securities and Exchange Commission (“SEC”) could serve as an additional basis for delisting under the Filing Requirement, in addition to the previously not-filed Quarterly Reports on Form 10-Q for the quarters ended March 31, 2022, and June 30, 2022 (collectively, the “Delinquent Reports”). The Company requested a hearing and, in accordance with Nasdaq Listing Rule 5815(a)(1)(B), a stay of any further”

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

“October 20, 2022, SRAX, Inc. (the “Company”) received notice 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 Nasdaq Listing Rule 5250(c)(1) (the “Filing Requirement”), the Company’s securities are subject to delisting from Nasdaq unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). On November 16, 2022, the Company received another notice from the Staff that the Company’s failure to timely file its Quarterly Report on Form 10-Q for the pe”

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

“March 3, 2023, Aclarion, Inc. (the “Company”) received a letter from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that it is not in compliance with Nasdaq Listing Rule 5550(b)(1), which requires companies listed on The Nasdaq Stock Market to maintain a minimum of $2,500,000 in stockholders’ equity for continued listing. In its annual report on Form 10-K for the period ended December 31, 2023, the Company reported stockholders’ equity of $1,787,751, and, as a result, does not currently satisfy Listing Rule 5550(b)(1). Nasdaq’s letter has no immediate impact on the listing of the Company’s”

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

“September 5, 2023 (the “ Extension Period ”), to regain compliance with the requirement for the Company’s common stock, par value $0.001 per share (“ Common Stock ”), 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 Price Requirement ”). The Extension Notice has no immediate effect on the continued listing status of the Company's Common Stock on the Nasdaq Capital Market. The Company's listing on the Nasdaq Capital Market remains fully effective. As previously disclosed in th”

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

“February 28, 2023, the Company received a second letter from Nasdaq advising that the Company had been granted an additional 180 calendar days, or to August 28, 2023, to regain compliance with the Minimum Bid Requirement, in accordance with Nasdaq Listing Rule 5810(c)(3)(A). The Company intends to continue to actively monitor the closing bid price of its common stock and will evaluate available options to regain compliance with the Minimum Bid Requirement, including potentially implementing a reverse stock split of its outstanding common stock (if approved by the Company’s stockholders) to att”

Quadro Acquisition One Corp. received a nasdaq deficiency notice notice regarding shareholders.

“February 28, 2023, Quadro Acquisition One Corp., a Cayman Islands exempted company (the “Company”), received a deficiency notice from the Nasdaq Stock Market (“Nasdaq”) notifying the Company that, as a result of failing to maintain a minimum of 300 public holders of its ordinary shares, the Company is no longer in compliance with the Nasdaq listing rules. The notice from Nasdaq further provided that the Company has 45 calendar days, or no later than April 14, 2023, to submit a plan to regain compliance. If the plan is accepted, Nasdaq can grant an extension of up to 180 calendar days from the”

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

“March 1, 2023, the Company received a letter from the Staff of Nasdaq notifying the Company that it had not regained compliance with the minimum bid price requirement as of February 28, 2023 and that it was not eligible for a second 180 day extension period. The Nasdaq Staff’s letter specifically noted that the Company does not comply with the $5,000,000 stockholders’ equity listing requirement for The Nasdaq Capital Market. The Company’s stockholders’ equity was $2,746,000 as of September 30, 2022. 1 The Nasdaq Staff’s letter informed the Company that, unless the Company were to request a hea”

Crown Electrokinetics Corp. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“March 1, 2023, the Company received a letter from the Staff of Nasdaq notifying the Company that it had not regained compliance with the minimum bid price requirement as of February 28, 2023 and that it was not eligible for a second 180 day extension period. The Nasdaq Staff’s letter specifically noted that the Company does not comply with the $5,000,000 stockholders’ equity listing requirement for The Nasdaq Capital Market. The Company’s stockholders’ equity was $2,746,000 as of September 30, 2022. 1 The Nasdaq Staff’s letter informed the Company that, unless the Company were to request a hea”

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

“March 3, 2023, Jupiter Wellness, 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 (“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 Requirement”). The Notice has no i”

PepperLime Health Acquisition Corp received a nasdaq deficiency notice notice regarding market value (rules 5450(b)(2)(C), 5810(c)(3)(D)).

“February 28, 2023, PepperLime Health Acquisition Corporation (the “ Company ”) received a notice (the “ MVPHS Notice ”) from the Nasdaq Stock Market LLC (“ Nasdaq ”), stating that the Company’s listed securities failed to comply with the $15 million market value of publicly held shares (“ Market Value of Publicly Held Shares ”) requirement for continued listing on the Nasdaq Global Market in accordance with Nasdaq Listing Rule 5450(b)(2)(C) based upon the Company’s Market Value of Publicly Held Shares for the 30 consecutive business days prior to the date of the MVPHS Notice. The MVPHS Notice”

Local Bounti Corporation/DE received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).

“February 28, 2023, Local Bounti Corporation (the “ Company ”) received written notice from the New York Stock Exchange (the “ NYSE ”) that it is not in compliance with Section 802.01C of the NYSE Listed Company Manual because the average closing price of the Company’s common stock was less than $1.00 over a consecutive 30 trading-day period. The notice has no immediate effect on the listing of the Company’s common stock, which will continue to be listed and traded on the NYSE, subject to the Company’s compliance with other NYSE continued listing standards. In accordance with the NYSE Listed Co”

Metacrine, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5450(a)(1)).

“e filing of the Form 25. As previously disclosed, the Common Stock was suspended from trading on The Nasdaq Capital Market at the opening of business on February 9, 2023 as a result of the Company’s failure to regain compliance with the minimum bid price requirement set forth in Nasdaq Listing Rule 5450(a)(1), and has since been quoted on the OTC marketplace under the symbol “MTCR.” Quotes and related Company information are available at www.otcmarkets.com . SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on”

Molecular Templates, Inc. received a nasdaq delisting notice notice regarding minimum bid price (rules 5550(a)).

“February 28, 2023, the Company received notice (the “Notice”) from the Listing Qualifications Staff of Nasdaq that the Company’s securities would be subject to delisting due to the Company’s continued non-compliance with the minimum bid price requirement set forth in Nasdaq Listing Rule 5550(a) (the “Bid Price Rule”), unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). The Notice also noted that the Company was not eligible for an automatic second 180 day grace period for the Bid Price Rule, as it does not comply with the stockholders’ equity initial li”

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

“February 24, 2023, Biofrontera Inc., a Delaware corporation (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 5550(a)(2) for continued listing on The Nasdaq Capital Market, as the closing bid price of the Company’s common stock was less than $1.00 per share for the previous 30 consecutive business days. The notice has no present impact on the listing or trading of the Company’s securities on The Nasdaq Capital Market. Un”

GRI Bio, Inc. received a nasdaq deficiency notice notice regarding minimum bid price.

“December 28, 2022, the Company received a letter from Nasdaq informing it that its shares had failed to comply with the $1.00 minimum bid price required for continued listing on The Nasdaq Capital Market and, as a result, its shares are subject to delisting. The Company filed an appeal and hearing request with Nasdaq, which had stayed the delisting of its common stock from The Nasdaq Capital Market pending a Panel decision. The hearing before the Panel was held on February 16, 2023. The Panel reached a decision on February 21, 2023, and informed the Company that it was granting the Company’s r”

GRI Bio, Inc. received a nasdaq delisting notice notice regarding stockholders equity (rules 5550(b)).

“February 28, 2023, Vallon Pharmaceuticals, Inc. (the “Company”) received notice (the “Second Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) indicating that, because the Company’s Annual Report on Form 10-K for the period ended December 31, 2022 reported stockholders’ equity of $2,342,000, and as of February 28, 2023 the Company does not meet the alternatives of market value of listed securities or net income from continuing operations, the Company no longer complies with Nasdaq Listing Rule 5550(b). The Second Notice noted that companies listed on The”

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

“February 28, 2023, the Company received written notification from Nasdaq granting the Company’s request for a 180-day extension to regain compliance with Nasdaq Listing Rule 5550(a)(2). Compliance may be achieved automatically and without further action if the closing bid price of the Company’s common stock is at or above $1.00 for a minimum of ten consecutive business days at any time prior to August 28, 2023, Nasdaq will notify the Company that it has regained compliance with the Minimum Bid Price Requirement and the matter will be closed. If the Company does not regain compliance with the M”

Neptune Wellness Solutions Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

“February 23, 2023, Neptune Wellness Solutions Inc. (the “Company”) received a notice (the “Notice”) from The NASDAQ Stock Market (“Nasdaq”) stating that because the Company had not yet filed its Quarterly Report on Form 10-Q for the fiscal quarter ended December 31, 2022 (the “Form 10-Q”), the Company is no longer in compliance with Nasdaq Listing Rule 5250(c)(1). Nasdaq Listing Rule 5250(c)(1) requires listed companies to timely file all required periodic financial reports with the Securities and Exchange Commission (the “SEC”). The Notice states that the Company has 60 calendar days from Feb”

Trump Media & Technology Group Corp. received a nasdaq delisting notice notice regarding other (rules 5250(f)).

“(a) of the Exchange Act. ☐ Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing On February 22 nd 2023, Digital World Acquisition Corp. received a notice from NASDAQ stating that the Company has not paid certain fees required by Listing Rule 5250(f) and that the company will be delisted unless it appeals this determination. The Company has elected to file an appeal of this matter, pay the corresponding fee, and plans to pay any fees The Hearing Department determines are due. SIGNATURE Pursuant to the requirements of the Securities Excha”

Achari Ventures Holdings Corp. I received a nasdaq deficiency notice notice regarding market value (rules 5450(b)(2)(C)).

“February 24, 2023, Achari Ventures Holdings Corp. I, a Delaware company (the “ Company ”) received a letter (the “ Letter ”) from the Nasdaq Listing Qualifications department of Nasdaq Global Market (“ Nasdaq ”) indicating that the Company was not in compliance with Listing Rule 5450(b)(2)(C), requiring a “Market Value” of “Publicly Held Shares” of at least $15 million. The Letter 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 Nasdaq. The Letter states that the Company has 180 calendar days to”

Ace Global Business Acquisition Ltd received a nasdaq deficiency notice notice regarding shareholders (rules 5550(a)(3), 5810(c)(2)(G)).

“February 27, 2023, Ace Global Business Acquisition Limited (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 due to the Company not maintaining a minimum of 300 public holders for continued listing, as required pursuant to rule 5550(a)(3). In accordance with Nasdaq Rule 5810(c)(2)(G), 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 exception of up to 180 calendar days from the date of this let”

Pivotal Investment Corp III received a nyse delisting notice notice regarding market value (rules 802.01B).

“February 28, 2023, Pivotal Investment Corporation III (the “ Company”) received a written notice (the “ Notice”) from the staff of NYSE Regulation (the “ Staff” ) of the New York Stock Exchange (“ NYSE”) indicating that the Staff has determined to commence proceedings to delist the Company’s Class A Common Stock and units, each consisting of one share of Class A Common Stock and one-fifth 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 pursuant to Section 802.01B of the NYSE’s Listed Comp”