ARROW FINANCIAL CORP (AROW): Nasdaq/NYSE listing notice — Arrow Financial receives Nasdaq noncompliance notice for late 10-K filing

ARROW FINANCIAL CORP

Received Nasdaq notice for failing to file 2022 10-K by due date; must submit compliance plan by June 2, 2023.
Nasdaq may grant up to 180-day extension to September 27, 2023 to regain compliance.
No immediate effect on listing or trading, but noncompliance indicator will be broadcast.
If not compliant by extension end, common stock subject to delisting from Nasdaq.
Company intends to file the 10-K as soon as practicable.

item 3.01 item 7.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

ARROW FINANCIAL CORP received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: late filing
Rules: 5250(c)(1)

Exact text from the filing

April 3, 2023, Arrow Financial Corporation (the “ Company ”) received a notice from the Listing Qualifications Department of The NASDAQ Stock Market LLC (“ Nasdaq ”) that the Company is noncompliant with the periodic filing requirements for continued listing set forth in Nasdaq Listing Rule 5250(c)(1) (the “ Rule ”) as a result of its failure to file its Annual Report on Form 10-K for the year ended December 31, 2022 (the “ Untimely Form 10-K ”) with the Securities and Exchange Commission (the “ SEC ”) by the required due date (the “ Nasdaq Notice ”). As previously reported by the Company in i

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Source: SEC EDGAR

accession 0000717538-23-000106

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