Rocky Mountain Chocolate Factory, Inc. (RMCF): Nasdaq/NYSE listing notice — RMCF director resigns; Nasdaq non-compliance notice for listing rule 5605

Rocky Mountain Chocolate Factory, Inc.

Director Allen C. Harper resigned on Sept 15, 2025, due to other professional responsibilities.
Nasdaq notified RMCF on Sept 17, 2025 of non-compliance with majority independent director and audit committee rules.
Cure period expires at earlier of next annual meeting or Sept 15, 2026.
Company intends to appoint an additional independent director before cure period ends.
RMCF common stock continues trading on Nasdaq; no immediate impact on listing.

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.95

Rocky Mountain Chocolate Factory, Inc. received a nasdaq deficiency notice notice regarding other (rules 5605(b), 5605(c)).

Exchange: nasdaq
Notice: deficiency notice
Rules: 5605(b), 5605(c)

Exact text from the filing

September 17, 2025, the Company received a notice from The Nasdaq Stock Market LLC (the “Notice”), notifying the Company that, as a result of the Resignation, the Company is not in compliance with the requirements under Nasdaq Listing Rule 5605 (the “Corporate Governance Requirements”), specifically: ● Nasdaq Listing Rule 5605(b), which requires, among other things, that a majority of the Company’s board of directors (the “Board”) be comprised of Independent Directors (as defined in Nasdaq Listing Rule 5605(a)(2)); and ● Nasdaq Listing Rule 5605(c), which requires, among other things, that the

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Rocky Mountain Chocolate Factory, Inc. filing history →

Source: SEC EDGAR

accession 0001437749-25-029483

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