NOS4-1, Inc.: Nasdaq/NYSE listing notice — Williams Industrial Services files Chapter 11, secures $31.5M DIP, delisted from NYSE American

NOS4-1, Inc.

Filed Chapter 11 petitions on July 22, 2023; obtained DIP revolving facility up to $12M and term loan up to $19.5M.
NYSE American suspended and delisted common stock on July 24; now trades on OTC Pink under WLMSQ.
Appointed Edward Gavin as Chief Restructuring Officer effective July 27, a condition of DIP financing.
Company warns holders of common stock may experience significant or complete loss on investment.
DIP facilities are superpriority secured by assets, subject to Court-approved budget and covenants.

item 1.01 item 2.03 item 3.01 item 8.01 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

NOS4-1, Inc. received a nyse_american delisting notice notice regarding other (rules 1003(c)(iii)).

Exchange: nyse american
Notice: delisting notice
Rules: 1003(c)(iii)

Exact text from the filing

July 24, 2023, the Company received written notice from the staff of NYSE Regulation that, as a result of the Cases and in accordance with Section 1003(c)(iii) of the NYSE American Company Guide, NYSE Regulation has determined to commence proceedings to delist the common stock of the Company, par value $0.01 per share, from the NYSE American LLC (“ NYSE American ”). The Company does not intend to appeal NYSE Regulation’s determination. Trading of the Company’s common stock on the NYSE American was suspended on July 24, 2023, and the delisting will be effective 10 days after the NYSE American f

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Source: SEC EDGAR

accession 0001104659-23-085345

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