---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-24-035427"
form_type: "8-K"
ticker: null
cik: "0001851860"
company_name: "SMART FOR LIFE, INC."
filed_at: "2024-04-23T23:59:59+00:00"
generated_at: "2026-06-03T12:21:08.625997+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.8
calibrated_materiality_score: 0.8
confidence: "medium"
source: SEC EDGAR
---

# Smart for Life receives Nasdaq delinquency notice for late 10-K; equity estimated at $6M

## Summary
- Received Nasdaq notice on April 17, 2024 for failing to file Form 10-K for year ended Dec 31, 2023, adding delisting basis.
- Company already facing delisting for equity rule non-compliance ($2.5M requirement) and failure to hold 2023 annual meeting.
- Hearing held March 12, 2024; Company presented compliance plan; no assurance Nasdaq will accept plan or grant extension.
- Company claims estimated stockholders' equity of $6 million as of April 17, 2024, up from $951,836 at Sep 30, 2023.
- Cannot predict outcome; securities remain at risk of delisting from Nasdaq.

## SEC filing metadata
- accession: 0001213900-24-035427
- form_type: 8-K
- cik: 0001851860
- company_name: SMART FOR LIFE, INC.
- filed_at: 2024-04-23T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.8
- calibrated_materiality_score: 0.8
- confidence: medium
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1851860/000121390024035427/0001213900-24-035427-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1851860/000121390024035427/ea0204525-8k_smart.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-24-035427
- JSON: https://secwatch.observer/filing/0001213900-24-035427.json
- Plain text: https://secwatch.observer/filing/0001213900-24-035427.txt

## Key facts
- Listing & Compliance Notices
  SMART FOR LIFE, INC. received a nasdaq noncompliance notice notice regarding late filing.
  - Exchange: nasdaq
  - Notice: noncompliance notice
  - Deficiency: late filing
  source text: April 17, 2024, the Company received an additional notification letter from Nasdaq indicating that the Company is now delinquent in filing its Form 10-K for the year ended December 31, 2023, which serves as an additional basis for the delisting of the Company’s securities from The Nasdaq Capital Market. The letter stated that the hearings panel will consider this matter in rendering a determination regarding the Company’s continued listing on Nasdaq. In that regard, the letter stated that the Company should present its views with respect to this additional deficiency to the hearings panel no l
  evidence_url: https://www.sec.gov/Archives/edgar/data/1851860/000121390024035427/0001213900-24-035427-index.htm
- 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, Smart for Life, Inc. (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 or the alternative criteria 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, and that the staff of Nasdaq had determined to delist the Company’s securities from Nasdaq unless
  evidence_url: https://www.sec.gov/Archives/edgar/data/1851860/000121390024035427/0001213900-24-035427-index.htm

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