{"schema_version":"secwatch.filing_event.v1","accession":"0001345126-26-000005","form_type":"8-K","ticker":null,"cik":"0001345122","company_name":"Compass Group Diversified Holdings LLC","filed_at":"2026-01-06T23:59:59+00:00","discovered_at":"2026-05-14T18:02:34.891740+00:00","generated_at":"2026-05-16T11:30:26.368227+00:00","sec_items":["3.01","9.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.65,"calibrated_materiality_score":0.65,"confidence":"high","headline":"CODI receives NYSE non-compliance notice for missing annual meeting due to restatement delay","bullets":["NYSE letter dated Jan 2, 2026 citing failure to hold annual meeting in fiscal 2025.","Missed meeting due to need to complete restatement of FY 2022-2024 financials.","Amended 10-K filed Dec 8, 2025; CODI intends to hold meeting as soon as practicable.","CODI added to NYSE non-compliant list; ticker symbols to get .BC indicator."],"urls":{"canonical":"https://secwatch.observer/filing/0001345126-26-000005","json":"https://secwatch.observer/filing/0001345126-26-000005.json","markdown":"https://secwatch.observer/filing/0001345126-26-000005.md","text":"https://secwatch.observer/filing/0001345126-26-000005.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/codi-20260102.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-16T11:30:26.368227+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"b91e4bd9aba7e3ec594e0cdc415c517d3216c0cf","claim":"Compass Group Diversified Holdings LLC received a nyse deficiency notice notice regarding other (rules 302).","evidence_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","confidence":0.95}],"comparable_filings":[{"accession":"0001193125-26-251421","ticker":"GENC","company_name":"GENCOR INDUSTRIES INC","filed_at":"2026-06-01T20:09:26+00:00","headline":"Gencor receives NYSE American delinquency notice for late Q2 2026 10-Q filing","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.65,"calibrated_materiality_score":0.65,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001193125-26-251421","json":"https://secwatch.observer/filing/0001193125-26-251421.json","markdown":"https://secwatch.observer/filing/0001193125-26-251421.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/0001193125-26-251421-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/d135716d8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 19, 2026, Gencor Industries, Inc. (the “Company”) received a notice (the “Delinquency Notification”) from NYSE Regulation (the “NYSE”) indicating the Company was not in compliance with the NYSE American LLC (“NYSE American”) continued listing standards as a result of its failure to timely file its Quarterly Report on Form 10-Q for the period ended March 31, 2026 (the “Form 10-Q”) with the Securities and Exchange Commission (“SEC”) prior to May 18, 2026, the end of the extension period provided by Form 12b-25, and as a result was subject to the procedures set forth in Section 1007 of the NY","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/0001193125-26-251421-index.htm"}},{"accession":"0001213900-26-062935","ticker":"ATNM","company_name":"Actinium Pharmaceuticals, Inc.","filed_at":"2026-05-29T21:10:41+00:00","headline":"Actinium receives NYSE American non-compliance notice for low stockholders' equity; must submit plan by June 26","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-062935","json":"https://secwatch.observer/filing/0001213900-26-062935.json","markdown":"https://secwatch.observer/filing/0001213900-26-062935.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/0001213900-26-062935-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/ea0292691-8k_actinium.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 27, 2026, Actinium Pharmaceuticals, Inc.\n(the “Company”) received a notice (the “Notice”) from NYSE American LLC (“NYSE American”) indicating\nthat the Company is not in compliance with the continued listing standards set forth in Section 1003(a)(ii) of the NYSE American Company\nGuide (the “Company Guide”), which requires a listed company to maintain stockholders’ equity of $4.0 million or more\nif it has reported losses from continuing operations and/or net losses in three of its four most recent fiscal years. As of March 31,\n2026, the Company reported stockholders’ equity of approximately","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/0001213900-26-062935-index.htm"}},{"accession":"0001683168-26-004399","ticker":"CSAI","company_name":"CLOUDASTRUCTURE, INC.","filed_at":"2026-05-29T21:09:11+00:00","headline":"Cloudastructure receives Nasdaq delinquency notice for late Q1 10-Q filing","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.7,"calibrated_materiality_score":0.7,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001683168-26-004399","json":"https://secwatch.observer/filing/0001683168-26-004399.json","markdown":"https://secwatch.observer/filing/0001683168-26-004399.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/0001683168-26-004399-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/cloud_8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 26, 2026, Cloudastructure,\nInc. (the “Company”) received a notice (the “Notice”) from the Nasdaq Listing Qualifications staff of The Nasdaq\nStock Market LLC (“Nasdaq”) indicating that, as a result of not having timely filed its Quarterly Report on Form 10-Q for\nthe period ended March 31, 2026 (“Form 10-Q”), the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which\nrequires timely filing of all required periodic financial reports with the Securities and Exchange Commission. The Company requires additional\ntime to review and confirm the accounting treatment for its outstand","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/0001683168-26-004399-index.htm"}},{"accession":"0001193805-26-000723","ticker":"GURE","company_name":"GULF RESOURCES, INC.","filed_at":"2026-05-29T20:45:30+00:00","headline":"Gulf Resources receives Nasdaq delisting notice for late Q1 2026 10-Q filing","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.7,"calibrated_materiality_score":0.7,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001193805-26-000723","json":"https://secwatch.observer/filing/0001193805-26-000723.json","markdown":"https://secwatch.observer/filing/0001193805-26-000723.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/885462/000119380526000723/0001193805-26-000723-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/885462/000119380526000723/e665526_8k-gulfresources.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 26, 2026, Gulf Resources\n(the “Company”) received a notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq\nStock Market LLC (“Nasdaq”), indicating that, as a result of not having timely filed its quarterly report on Form 10-Q for\nthe quarter ended March 31, 2026 (the “Form 10-Q”), and the Company remains delinquent in filing its annual report on Form\n10-K for the year ended December 31, 2025 (the “Initial Delinquent Filing”), the Company is in non-compliance with Nasdaq\nListing Rule 5250(c)(1), which requires timely filing all required periodic financial reports wit","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/885462/000119380526000723/0001193805-26-000723-index.htm"}},{"accession":"0001628280-26-039190","ticker":"FTHM","company_name":"Fathom Holdings Inc.","filed_at":"2026-05-29T20:15:13+00:00","headline":"Fathom Holdings receives Nasdaq notice for late Q1 2026 10-Q filing; 60 days to submit plan","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.6,"calibrated_materiality_score":0.6,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001628280-26-039190","json":"https://secwatch.observer/filing/0001628280-26-039190.json","markdown":"https://secwatch.observer/filing/0001628280-26-039190.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1753162/000162828026039190/0001628280-26-039190-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1753162/000162828026039190/fthm-20260522.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 22, 2026, Fathom Holdings Inc. (the “Company”) received a notification letter from the Nasdaq Stock Market LLC (“Nasdaq”) indicating that, because the Company has not yet filed its Quarterly Report on Form 10-Q for the period ended March 31, 2026 (the “Form 10-Q”), the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which requires timely filing of all required periodic financial reports with the Securities and Exchange Commission (the “Filing Requirement”). In accordance with Nasdaq’s listing rules, the Company has 60 calendar days from the date of the notification letter","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1753162/000162828026039190/0001628280-26-039190-index.htm"}},{"accession":"0001213900-26-062172","ticker":"RR","company_name":"RICHTECH ROBOTICS INC.","filed_at":"2026-05-28T20:49:32+00:00","headline":"Richtech Robotics receives Nasdaq delisting notice for late Q1 10-Q filing","event_type":"regulatory","sec_items":["3.01","8.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-062172","json":"https://secwatch.observer/filing/0001213900-26-062172.json","markdown":"https://secwatch.observer/filing/0001213900-26-062172.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/0001213900-26-062172-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/ea0292546-8k_richtech.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 22, 2026, Richtech\n Robotics Inc., a Nevada corporation (the “ Company ”) received a notice (the “ Notice ”) from the Listing\n Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”), stating that the Company is not in compliance\n with Nasdaq Listing Rule 5250(c)(1) (the “ Rule ”), because it has not timely filed its Quarterly Report on Form 10-Q\n for the period ended March 31, 2026 (the “ Form 10-Q ”) with the U.S. Securities and Exchange Commission (the “ SEC ”). The\n Rule requires listed companies to timely file all required periodic financial reports with the SEC. The Com","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/0001213900-26-062172-index.htm"}},{"accession":"0001493152-26-025629","ticker":"CDT","company_name":"CDT Equity Inc.","filed_at":"2026-05-28T20:30:30+00:00","headline":"CDT Equity receives Nasdaq deficiency letter for late Q1 10-Q filing; has until July 20 to submit plan","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.7,"calibrated_materiality_score":0.7,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025629","json":"https://secwatch.observer/filing/0001493152-26-025629.json","markdown":"https://secwatch.observer/filing/0001493152-26-025629.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1896212/000149315226025629/0001493152-26-025629-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1896212/000149315226025629/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 21, 2026, CDT Equity Inc. (the “Company”) received a deficiency letter (the “Notice”) from the Nasdaq Listing\nQualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it was not in compliance with\nNasdaq Listing Rule 5250(c)(1) (the “Periodic Filing Requirement”) because the Company did not file its Quarterly Report\non Form 10-Q for the three-month period ended March 31, 2026 (the “Form 10-Q”) in a timely manner, as required for continued\nlisting on The Nasdaq Capital Market. The Notice has no immediate effect on the listing or trading of the Company’s","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1896212/000149315226025629/0001493152-26-025629-index.htm"}},{"accession":"0001493152-26-025454","ticker":"GWAV","company_name":"Greenwave Technology Solutions, Inc.","filed_at":"2026-05-27T21:25:20+00:00","headline":"Greenwave receives second Nasdaq delinquency notice for late Q1 2026 10-Q filing","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.65,"calibrated_materiality_score":0.65,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025454","json":"https://secwatch.observer/filing/0001493152-26-025454.json","markdown":"https://secwatch.observer/filing/0001493152-26-025454.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1589149/000149315226025454/0001493152-26-025454-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1589149/000149315226025454/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"January 2, 2026, Compass Diversified Holdings (the “ Trust ” and, together with Compass Group Diversified Holdings LLC, “ CODI ”) received a letter from the New York Stock Exchange (the “ NYSE ”) informing CODI that it is non-compliant with the corporate governance listing standards set forth in Section 302 of the New York Stock Exchange Listed Company Manual (the “ Listed Company Manual ”), which requires issuers to hold an annual meeting during each fiscal year. CODI was unable to hold an annual meeting during its 2025 fiscal year due to the need to complete the restatement of its financial","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1345122/000134512626000005/0001345126-26-000005-index.htm","comparable_excerpt":"May 21, 2026, the Company received an additional delinquency notification letter (the “Notice”) from Nasdaq due to the Company’s\nfailure to timely file its Quarterly Report on Form 10-Q for the fiscal quarter ended March","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1589149/000149315226025454/0001493152-26-025454-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}