---
schema_version: "secwatch.filing_event.v1"
accession: "0001193125-23-147199"
form_type: "8-K"
ticker: "AERT"
cik: "0001853044"
company_name: "Aeries Technology, Inc."
filed_at: "2023-05-18T23:59:59+00:00"
generated_at: "2026-06-14T21:29:55.951827+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Worldwide Webb receives Nasdaq deficiency for <300 public holders; listing transferred to Capital Market

## Summary
- Listing transferred from Nasdaq Global to Capital Market effective May 22, 2023; symbols unchanged.
- Received Nasdaq deficiency notice for failing minimum 300 public holders (Rule 5550(a)(3)).
- Company has until June 26, 2023 to submit a compliance plan.
- Plans to address deficiency via business combination with Aark Singapore Pte. Ltd. or other options.
- Deficiency does not currently affect trading; appeal process available if plan rejected.

## SEC filing metadata
- accession: 0001193125-23-147199
- form_type: 8-K
- ticker: AERT
- cik: 0001853044
- company_name: Aeries Technology, Inc.
- filed_at: 2023-05-18T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1853044/000119312523147199/0001193125-23-147199-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1853044/000119312523147199/d502282d8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001193125-23-147199
- JSON: https://secwatch.observer/filing/0001193125-23-147199.json
- Plain text: https://secwatch.observer/filing/0001193125-23-147199.txt

## Key facts
- Listing & Compliance Notices
  Aeries Technology, Inc. received a nasdaq deficiency notice notice regarding shareholders (rules 5550(a)(3)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: shareholders
  - Rules: 5550(a)(3)
  source text: n May 12, 2023, the Company also received a letter (the “Notice”) from the Listing Qualifications department of Nasdaq notifying the Company that the Company no longer meets the minimum of 300 public holders required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(3) (the “Public Holder Standard”). The Notice states that the Company has until June 26, 2023 to provide Nasdaq with a definitive plan to achieve and sustain compliance with all The Nasdaq Capital Market listing requirements, including the time frame for completion of this plan. The Notice i
  evidence_url: https://www.sec.gov/Archives/edgar/data/1853044/000119312523147199/0001193125-23-147199-index.htm

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