AMAZE HOLDINGS, INC. (AMZE): Nasdaq/NYSE listing notice — Fresh Vine Wine raises up to $1M via Series A Preferred; resolves NYSE audit committee non-compliance

AMAZE HOLDINGS, INC.

Up to $1M private placement of Series A Convertible Preferred Stock at $100/sh; initial closing $400,000 for 4,000 shares.
Series A stock: 12% annual dividend, convertible at $0.10/sh (floor $0.05), 150% liquidation preference.
After Michael Pruitt became Interim CEO on July 19, audit committee fell below two members; NYSE notice received July 27.
Company cured by appointing David Yacullo to audit committee on July 27; NYSE confirmed compliance on July 28.

item 1.01 item 5.03 item 3.01 item 3.02 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 0.82

AMAZE HOLDINGS, INC. received a nyse_american compliance regained notice regarding shareholders.

Exchange: nyse american
Notice: compliance regained
Deficiency: shareholders

Exact text from the filing

received a letter from the NYSE American stating that the Company has resolved the deficiency set forth in the Notice and has regained compliance with the NYSE American’s audit committee composition requirements. The Notice had no immediate effect on the listing or trading of the Company’s common stock and the common stock continues to trade on the NYSE American under the symbol “VINE”. In accordance the rules of the NYSE American, the Company issued a press release on July 31, 2023, announcing that it had received the Notice.

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Governance Changes SEC 8-K Item 5.03/5.05/5.06 confidence 0.95

AMAZE HOLDINGS, INC.: Filed Certificate of Designation for Series A Convertible Preferred Stock, amended on August 1, 2023, establishing rights, preferences, and limitations including stated value, conversion, dividends, redemption, and voting (effective 2023-07-27).

Change: charter amendment
Effective: 2023-07-27

Exact text from the filing

On July 27, 2023, Fresh Vine Wine, Inc. (the "Company") filed with the Secretary of State of the State of Nevada a Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Stock"), which was amended on August 1, 2023 prior to the issuance of any shares of Series A Stock by filing Amendment No. 1 thereto (as so amended, the "Certificate").

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20 listing & compliance notices filed in the last 30 days. Browse all listing & compliance notices →

AMAZE HOLDINGS, INC. filing history →

Source: SEC EDGAR

accession 0001213900-23-062527

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