Neptune Wellness Solutions Inc.: Nasdaq/NYSE listing notice — Neptune receives Nasdaq delisting notice for late Q3 filing; has 60 days to submit compliance plan

Neptune Wellness Solutions Inc.

Received Nasdaq notice on Feb 23, 2023 for failure to timely file Form 10-Q for quarter ended Dec 31, 2022 (Nasdaq Rule 5250(c)(1)).
Has 60 calendar days (until April 24, 2023) to submit a plan to regain compliance; if accepted, extension to Aug 21, 2023.
No immediate impact on listing or trading of NEPT common stock on Nasdaq Capital Market.
Company expects to file the Form 10-Q in the near future, which would eliminate need for formal compliance plan.
Company will host a conference call after filing to provide business update.

item 3.01 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 0.98

Neptune Wellness Solutions Inc. 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

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

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Source: SEC EDGAR

accession 0000950170-23-005629

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