FORUM MARKETS Inc (FRMM): Nasdaq/NYSE listing notice — Nasdaq confirms 180 Life Sciences has regained compliance with Listing Rule 5635(d); matter closed

FORUM MARKETS Inc

Received notice on December 14, 2023 that prior non-compliance with shareholder approval requirements is resolved.
Company had violated Rule 5635(d) related to August 2023 offering of shares and warrants at below-market prices.
Extension granted November 14, 2023 required completion of corrective actions by December 15, 2023.
Actions included amending warrant terms to require stockholder approval before exercise.
Nasdaq's notice confirms compliance and closure of the matter, removing delisting risk.

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

FORUM MARKETS Inc received a nasdaq deficiency notice notice regarding shareholders (rules 5635(d), 5635(d)(1)(A)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: shareholders
Rules: 5635(d), 5635(d)(1)(A)

Exact text from the filing

October 13, 2023 with the Securities and Exchange Commission (the “ Commission ”) by 180 Life Sciences Corp. (the “ Company ”, “ we ” and “ us ”), on October 11, 2023, the Company received written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”) notifying the Company that it was not in compliance with the shareholder approval requirements set forth in Nasdaq Listing Rule 5635(d), which requires prior shareholder approval for transactions, other than public offerings, involving the issuance of 20% or more of the pre-transaction shares outstanding at

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Source: SEC EDGAR

accession 0001213900-23-095907

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