ALPINE 4 HOLDINGS, INC.: Nasdaq/NYSE listing notice — Alpine 4 receives Nasdaq notice for failure to file 2023 10-K; faces delisting risk if unmet by May 13

ALPINE 4 HOLDINGS, INC.

Received April 17, 2024 Nasdaq notice for failing to timely file 2023 Form 10-K with SEC, violating Listing Rule 5250(c)(1).
Previously granted exception until May 13, 2024 to file delinquent Q3 2023 10-Q; now additional delinquency for 10-K.
Any additional staff exception limited to 180 calendar days from initial due date (May 13, 2024).
Company must submit updated compliance plan to Nasdaq; no assurance of acceptance or ability to file.
No immediate impact on listing; ALPP continues trading on Nasdaq Capital Market with potential delisting risk.

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 0.95

ALPINE 4 HOLDINGS, INC. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).

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

Exact text from the filing

listing from Nasdaq. If the Company fails to file its delinquent reports in a timely manner, Nasdaq will provide a written notification to the Company that its securities will be delisted. At that time, the Company may appeal the Nasdaq staff’s determination to a Hearings Panel under Nasdaq Listing Rule 5815. As the Company previously reported, during the quarter ended September 30, 2023, the Company experienced a turnover of certain members of the internal accounting staff, including the Corporate Controller and several subsidiary Controllers. Additionally, following the quarter ended Septemb

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

ALPINE 4 HOLDINGS, INC. received a nasdaq noncompliance notice notice regarding minimum bid price (rules 5550(a)(2)).

Exchange: nasdaq
Notice: noncompliance notice
Deficiency: minimum bid price
Rules: 5550(a)(2)

Exact text from the filing

December 27, 2023, the Company received a notification letter (“December Notice”) from the Listing Qualifications Department of Nasdaq notifying the Company that for the preceding 30 consecutive business days, the closing bid price for the Company's Class A Common Stock (the "Common Stock") was 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 Requirement”). On April 17, 2024, the Company received a notice (the “April Notice”) from the Listing Qualifications Department of Nasdaq advising

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Source: SEC EDGAR

accession 0001096906-24-000887

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