Harpoon Therapeutics, Inc.: Nasdaq/NYSE listing notice — Harpoon Therapeutics receives Nasdaq delisting notice for failure to meet minimum equity requirement

Harpoon Therapeutics, Inc.

On Sept 27, 2023, Nasdaq notified Harpoon of failure to meet minimum $2.5M equity requirement for continued listing on Capital Market.
Company was granted a 180-day extension to Sept 26, 2023, but did not provide evidence of compliance by deadline.
Harpoon plans to request a hearing before Nasdaq Hearings Panel; such request would stay any further delisting action.
Previously, on Sept 12, 2023, Harpoon transferred from Nasdaq Global Market to Nasdaq Capital Market.

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 0.9

Harpoon Therapeutics, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: stockholders equity
Rules: 5550(b)

Exact text from the filing

September 27, 2023, the Company received a written notice from the Staff indicating that the Company did not meet the terms of the extension by making public disclosure evidencing compliance with the minimum $2.5 million equity requirement under Nasdaq Listing Rule 5550(b) by the September 26, 2023 deadline. The Company plans to timely request a hearing before the Nasdaq Hearings Panel, which request would stay any further action by the Staff. Cautionary Note on Forward-Looking Statements This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Secu

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

Harpoon Therapeutics, Inc. received a nasdaq extension granted notice regarding stockholders equity (rules 5450(b)(1)(A)).

Exchange: nasdaq
Notice: extension granted
Deficiency: stockholders equity
Rules: 5450(b)(1)(A)

Exact text from the filing

June 7, 2023, Nasdaq granted the Company a 180-day extension to September 26, 2023 to provide evidence of compliance. On September 12, 2023, the Company transferred from Nasdaq Global Market to Nasdaq Capital Market. On September 27, 2023, the Company received a written notice from the Staff indicating that the Company did not meet the terms of the extension by making public disclosure evidencing compliance with the minimum $2.5 million equity requirement under Nasdaq Listing Rule 5550(b) by the September 26, 2023 deadline. The Company plans to timely request a hearing before the Nasdaq Hearin

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

Harpoon Therapeutics, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5450(a)(1), 5550(a)(2)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: minimum bid price
Rules: 5450(a)(1), 5550(a)(2)

Exact text from the filing

March 29, 2023, Harpoon Therapeutics, Inc. (the “Company”) received a written notice from the Listing Qualifications Staff (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) indicating that for the last 30 consecutive business days, the bid price of the Company’s common stock had closed below $1.00 per share, the minimum closing bid price required by the continued listing requirements of Nasdaq Listing Rule 5450(a)(1). On September 19, 2023, the Company received notice from Nasdaq that the Staff determined that from September 5 to September 18, 2023, the closing bid price of the Company’s

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Source: SEC EDGAR

accession 0001193125-23-247523

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