---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-23-094381"
form_type: "8-K"
ticker: null
cik: "0001851860"
company_name: "SMART FOR LIFE, INC."
filed_at: "2023-12-08T23:59:59+00:00"
generated_at: "2026-06-07T15:43:42.891004+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.9
calibrated_materiality_score: 0.9
confidence: "high"
source: SEC EDGAR
---

# Smart for Life receives Nasdaq delisting notice; equity deficiency of $951,836 vs. $2.5M minimum

## Summary
- Stockholders' equity at Sept 30, 2023 was $951,836, below the $2,500,000 minimum for Nasdaq Capital Market.
- Company is under a mandatory panel monitor until June 7, 2024, precluding a standard 180-day grace period.
- Nasdaq staff determined to delist unless Company requests a hearing; Company plans to timely appeal.
- At hearing, Company will present a plan to regain compliance and seek an extension.
- No assurance that Nasdaq will accept the plan or that compliance will be regained.

## SEC filing metadata
- accession: 0001213900-23-094381
- form_type: 8-K
- cik: 0001851860
- company_name: SMART FOR LIFE, INC.
- filed_at: 2023-12-08T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.9
- calibrated_materiality_score: 0.9
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1851860/000121390023094381/0001213900-23-094381-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1851860/000121390023094381/ea189762-8k_smartfor.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-23-094381
- JSON: https://secwatch.observer/filing/0001213900-23-094381.json
- Plain text: https://secwatch.observer/filing/0001213900-23-094381.txt

## Key facts
- Listing & Compliance Notices
  SMART FOR LIFE, INC. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: stockholders equity
  - Rules: 5550(b)(1)
  source text: December 5, 2023, the Company received a notification letter from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with the Nasdaq stockholders’ equity requirement of $2,500,000 for continued listing on The Nasdaq Capital Market as set forth in Listing Rule 5550(b)(1) (the “Equity Rule”), given that the Company’s Form 10-Q for the period ended September 30, 2023 evidenced stockholders’ equity of $951,836. As previously disclosed, the Company is subject to a mandatory panel monitor until June 7, 2024, which requires the staff of Nasdaq to issue a delist
  evidence_url: https://www.sec.gov/Archives/edgar/data/1851860/000121390023094381/0001213900-23-094381-index.htm

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