Peak Bio, Inc.: Nasdaq/NYSE listing notice — Peak Bio receives Nasdaq delisting determination; suspension effective Jan 10, 2023

Peak Bio, Inc.

Nasdaq Panel issued delisting letter Jan 6, 2023, after Dec 8 hearing to appeal prior deficiency notice.
Failure to meet minimum 1,000,000 unrestricted publicly held shares (Listing Rule 5505(a)(2)).
Warrants also delisted because underlying common stock does not qualify for initial listing.
Trading suspended at open Jan 10, 2023; securities expected to move to OTC Pink Market.
Company had previously disclosed Nov 1, 2022 notice; hearing stayed suspension pending Panel decision.

item 3.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.82

Peak Bio, Inc. received a nasdaq noncompliance notice notice regarding other (rules IM-5101-2, 5505(a)(2)).

Exchange: nasdaq
Notice: noncompliance notice
Rules: IM-5101-2, 5505(a)(2)

Exact text from the filing

December 8, 2022 to appeal Nasdaq’s determination, which request stayed the suspension of the Company’s common stock and warrants and the filing by Nasdaq of a Form 25-NSE pending the Panel’s decision. On January 6, 2023, the Company received the determination letter (the “Determination Letter”) from the Panel to delist the Company’s common stock and warrants from Nasdaq. The Determination Letter indicated Nasdaq will suspend trading in Company’s common stock and warrants effective at the open of business on January 10, 2023 and indicated that it intends to file a Form 25-NSE Notification of D

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Source: SEC EDGAR

accession 0001193125-23-004066

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