---
schema_version: "secwatch.filing_event.v1"
accession: "0001101680-23-000125"
form_type: "8-K"
ticker: null
cik: "0001101680"
company_name: "DZS INC."
filed_at: "2023-11-16T23:59:59+00:00"
generated_at: "2026-06-08T00:51:41.835812+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# DZS receives Nasdaq delinquency notice for late Q3 10-Q filing; compliance plan pending

## Summary
- Received Nasdaq delinquency notice on Nov 10, 2023 for failing to timely file Q3 2023 Form 10-Q under Listing Rule 5250(c)(1).
- Company had previously failed to file Q2 2023 10-Q and submitted a compliance plan; Nasdaq granted exception to update plan by Nov 24, 2023.
- Nasdaq will consider extending compliance deadline to Feb 5, 2024; no immediate effect on listing or trading.
- DZS is diligently pursuing completion of previously disclosed restatements and expects to file delinquent reports as soon as practicable.
- Common stock (DZSI) continues trading on Nasdaq Capital Market during the process.

## SEC filing metadata
- accession: 0001101680-23-000125
- form_type: 8-K
- cik: 0001101680
- company_name: DZS INC.
- filed_at: 2023-11-16T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01, 7.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1101680/000110168023000125/0001101680-23-000125-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1101680/000110168023000125/dzsi-20231110.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001101680-23-000125
- JSON: https://secwatch.observer/filing/0001101680-23-000125.json
- Plain text: https://secwatch.observer/filing/0001101680-23-000125.txt

## Key facts
- Listing & Compliance Notices
  DZS 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)
  source text: November 10, 2023, DZS Inc. (the “Company”) received a delinquency notification letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of the Company’s delay in filing its Quarterly Report on Form 10-Q for the three months ended September 30, 2023 (the “Third Quarter 10-Q”), the Company is not in compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1) (the “Rule”). The notification letter has no immediate effect on the listing or trading of the Company’s common stock on the Nasdaq
  evidence_url: https://www.sec.gov/Archives/edgar/data/1101680/000110168023000125/0001101680-23-000125-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.