Collective Audience, Inc.: Nasdaq/NYSE listing notice — Collective Audience receives Nasdaq delisting warnings for late 10-K and low bid price

Collective Audience, Inc.

Received Nasdaq notice for failure to file FY 2023 10-K; must submit compliance plan by June 24, 2024.
Also notified for minimum bid price deficiency (closing bid below $1.00 for 32 days); compliance deadline October 16, 2024.
CEO cites de-SPAC transaction as cause for 10-K delay; expects to file before June deadline.
Company considering options including potential transfer to Nasdaq Capital Market if not compliant.
No immediate effect on listing; stock continues trading on Nasdaq Global Market.

item 3.01 item 7.01 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 0.85

Collective Audience, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

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

Exact text from the filing

April 24, 2024, the Company received a notification letter (the “Annual Report Notice”) from Nasdaq advising the Company that it was not in compliance with Nasdaq’s continued listing requirements under Nasdaq Listing Rule 5250(c)(1) (the “Rule”) as a result of its failure to timely file its Annual Report on Form 10-K for the fiscal year ended December 31, 2023 (the “Form 10-K”). 1 The Annual Report Notice has no immediate effect on the listing of the Company’s common stock on The Nasdaq Global Market, and, therefore, the Company’s listing remains fully effective. Pursuant to the Rule, the Comp

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Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.92

Collective Audience, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).

Exchange: nasdaq
Notice: noncompliance notice
Deficiency: late filing
Rules: 5250(c)(1)

Exact text from the filing

April 24, 2024, the Company received a notification letter (the “Annual Report Notice”) from Nasdaq advising the Company that it was not in compliance with Nasdaq’s continued listing requirements under Nasdaq Listing Rule 5250(c)(1) (the “Rule”) as a result of its failure to timely file its Annual Report on Form 10-K for the fiscal year ended December 31, 2023 (the “Form 10-K”). 1 The Annual Report Notice has no immediate effect on the listing of the Company’s common stock on The Nasdaq Global Market, and, therefore, the Company’s listing remains fully effective. Pursuant to the Rule, the Comp

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Source: SEC EDGAR

accession 0001213900-24-036237

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