---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-25-029483"
form_type: "8-K"
ticker: "RMCF"
cik: "0001616262"
company_name: "Rocky Mountain Chocolate Factory, Inc."
filed_at: "2025-09-19T23:59:59+00:00"
generated_at: "2026-05-17T06:06:49.691026+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# RMCF director resigns; Nasdaq non-compliance notice for listing rule 5605

## Summary
- 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.

## SEC filing metadata
- accession: 0001437749-25-029483
- form_type: 8-K
- ticker: RMCF
- cik: 0001616262
- company_name: Rocky Mountain Chocolate Factory, Inc.
- filed_at: 2025-09-19T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01, 5.02
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1616262/000143774925029483/0001437749-25-029483-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1616262/000143774925029483/rmcfd20250918_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-25-029483
- JSON: https://secwatch.observer/filing/0001437749-25-029483.json
- Plain text: https://secwatch.observer/filing/0001437749-25-029483.txt

## Key facts
- Listing & Compliance Notices
  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)
  source text: 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
  evidence_url: https://www.sec.gov/Archives/edgar/data/1616262/000143774925029483/0001437749-25-029483-index.htm

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