---
schema_version: "secwatch.filing_event.v1"
accession: "0001214659-23-016157"
form_type: "8-K"
ticker: null
cik: "0001437491"
company_name: "RiskOn International, Inc."
filed_at: "2023-12-07T23:59:59+00:00"
generated_at: "2026-06-07T16:06:47.335682+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.85
calibrated_materiality_score: 0.85
confidence: "high"
source: SEC EDGAR
---

# RiskOn International faces Nasdaq delisting after compliance plan rejection; appeals to stay

## Summary
- Stockholders' equity was negative $13.9M as of March 31, 2023, violating Nasdaq's $2.5M minimum equity requirement.
- Nasdaq rejected the compliance plans on Dec 1, 2023, citing lack of a definitive long-term strategy.
- Company will appeal to Nasdaq Hearings Panel by Dec 8, 2023; appeal stays suspension pending decision.
- If appeal fails, common stock (ROI) will be suspended at open on Dec 12, 2023 and delisted.

## SEC filing metadata
- accession: 0001214659-23-016157
- form_type: 8-K
- cik: 0001437491
- company_name: RiskOn International, Inc.
- filed_at: 2023-12-07T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.85
- calibrated_materiality_score: 0.85
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1437491/000121465923016157/0001214659-23-016157-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1437491/000121465923016157/r1262308k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001214659-23-016157
- JSON: https://secwatch.observer/filing/0001214659-23-016157.json
- Plain text: https://secwatch.observer/filing/0001214659-23-016157.txt

## Key facts
- Listing & Compliance Notices
  RiskOn International, 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: the Securities and Exchange Commission (the “ SEC ”), which will remove the Company’s common stock from listing and registration on Nasdaq. The Company will request an appeal of the Staff’s determination to a Hearings Panel (the “ Panel ”), pursuant to the procedures set forth in the Nasdaq Listing Rule 5800 Series, which is required to be submitted electronically no later than December 8, 2023. The hearing request will stay the suspension of the Company’s common stock and the filing of the Form 25-NSE pending the Panel’s decision, and the Company’s common stock will continue to trade on the N
  evidence_url: https://www.sec.gov/Archives/edgar/data/1437491/000121465923016157/0001214659-23-016157-index.htm

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