8-K
filed July 23, 2025, 7:59 PM ET
ticker AXTI
CIK 0001051627
regulatory
confidence high
sentiment negative
materiality 0.45
AXT non-compliant with Nasdaq audit committee rules after director death; cure period through mid-2026
AXT INC
- Passing of director Christine Russell left Audit Committee with only two independent directors, violating Nasdaq Rule 5605(c)(2)(A).
- Nasdaq granted cure period: compliance required by earlier of next annual meeting or July 11, 2026.
- If 2025 annual meeting held before Jan 7, 2026, compliance deadline is Jan 7, 2026 instead.
- Company intends to regain compliance by appointing a new independent director meeting Nasdaq requirements.
Machine-readable event card
- schema_version
- secwatch.filing_event.v1
- accession
- 0001437749-25-023321
- form_type
- 8-K
- ticker
- AXTI
- cik
- 0001051627
- company_name
- AXT INC
- filed_at
- 2025-07-23T23:59:59+00:00
- discovered_at
- 2026-05-14T18:02:43.210455+00:00
- generated_at
- 2026-05-18T03:05:51.676687+00:00
- sec_items
- ["3.01", "9.01"]
- event_type
- regulatory
- sentiment
- negative
- materiality_score
- 0.45
- calibrated_materiality_score
- 0.45
- confidence
- high
- secwatch_canonical_url
- https://secwatch.observer/filing/0001437749-25-023321
- json_url
- https://secwatch.observer/filing/0001437749-25-023321.json
- markdown_url
- https://secwatch.observer/filing/0001437749-25-023321.md
- text_url
- https://secwatch.observer/filing/0001437749-25-023321.txt
- edgar_index_url
- https://www.sec.gov/Archives/edgar/data/1051627/000143774925023321/0001437749-25-023321-index.htm
- edgar_primary_document_url
- https://www.sec.gov/Archives/edgar/data/1051627/000143774925023321/axti20250722_8k.htm
- generated_by_model
- deepseek-v4-flash:cloud@v2
- review_status
- machine_generated
- human_reviewed
- false
- corrected
- false
- correction_note
- null
- correction_timestamp
- null
- superseded_by
- null
Comparable filings
FTHM
Fathom Holdings receives Nasdaq notice for late Q1 2026 10-Q filing; 60 days to submit plan
Fathom Holdings Inc.
May 29, 2026, 4:15 PM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
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
Filing page
SEC filing
LASE
Laser Photonics receives Nasdaq delisting notice for late Q1 2026 10-Q
Laser Photonics Corp
May 22, 2026, 5:27 PM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
received a notice from Nasdaq Listing Qualifications
department of the Nasdaq Stock Market LLC (“Nasdaq”) stating that since it had not received the Company’s Form 10-Q
for the period ended March 31, 2026, the Company does not comply with Nasdaq’s Listing Rules for continued listing. Nasdaq stated
that the Company has 60 days to submit a plan to regain compliance with respect to this delinquent report. Nasdaq can grant an exception
to allow the Company to regain compliance up to a maximum of 180 calendar days from the due date of the Initial Delinquent Filing, or
November 16, 2026. A
copy of t
Filing page
SEC filing
RICK
RCI receives Nasdaq noncompliance notice for late Q2 10-Q; deadline July 20
RCI HOSPITALITY HOLDINGS, INC.
May 22, 2026, 4:23 PM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
May 20, 2026, RCI Hospitality Holdings, Inc. (“we,” “us” and the “Company”) received a written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market (“Nasdaq”) indicating that we are
Filing page
SEC filing
AVXL
Anavex receives Nasdaq delinquency notice for late 10-Q filing; deadline July 20, 2026
ANAVEX LIFE SCIENCES CORP.
May 22, 2026, 8:15 AM ET
regulatory
Items 3.01, 8.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
May 20, 2026, Anavex Life Sciences Corp. (the “Company”)
received a delinquency notification letter (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market
LLC (“Nasdaq”) indicating that, as
Filing page
SEC filing
GTBP
GT Biopharma receives Nasdaq extension to Nov 16, 2026 to meet $1 minimum bid price
GT Biopharma, Inc.
May 22, 2026, 8:00 AM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
May 20, 2026, GT Biopharma, Inc., a Delaware corporation (the “Company”), received a letter from the Nasdaq Listing Qualifications
Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that
Filing page
SEC filing
ONFO
Onfolio Holdings regains Nasdaq minimum bid price compliance
Onfolio Holdings, Inc
May 1, 2026, 7:59 PM ET
regulatory
Items 3.01, 8.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
January 6, 2026, Onfolio Holdings Inc. (the “ Company ”) received notice from The NASDAQ Stock Market that its common stock failed to maintain a minimum bid price of $1.00 over the previous 30 consecutive business days a
Filing page
SEC filing
AREC
American Resources receives Nasdaq non-compliance notice for late 10-K filing; has 60 days to submit plan
American Resources Corp
April 30, 2026, 7:59 PM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
April 24, 2026, American Resources Corporation (the “Company”) received a letter from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with Nasdaq Listing Rule 5250(c)(1) due to t
Filing page
SEC filing
IVF
INVO Fertility receives Nasdaq deficiency notice for late 10-K filing
INVO Fertility, Inc.
April 29, 2026, 7:59 PM ET
regulatory
Items 3.01, 7.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 9.01
same event type: regulatory
similar materiality
This filing
January 18, 2025, Nasdaq notified the Company that due to the passing of Ms. Russell, the Company no longer complies with the audit committee requirement under Nasdaq Lising Rule 5605(c)(2)(A). Nasdaq further notified the Company that, consistent with Nasdaq Listing Rule 5605(c)(4), Nasdaq will provide the Company a cure period in order to regain compliance (i) until the earlier of the Company’s next annual meeting of shareholders or July 11, 2026; or, (ii) if the next annual meeting of shareholders is held before January 7, 2026, then the Company must provide evidence of compliance no later t
Comparable filing
April 23, 2026, INVO Fertility, Inc. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications
staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company failed to fi
Filing page
SEC filing
This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice.
See methodology for how this pipeline works.