SRAX, Inc.: Nasdaq/NYSE listing notice — SRAX receives Nasdaq delisting notice for failure to file Q3 2022 10-Q

SRAX, Inc.

Nasdaq notified SRAX on Nov 16, 2022 of additional basis for delisting due to late Q3 10-Q.
Company has not filed 10-Qs for Q1, Q2, and Q3 2022; only 10-K for 2021 was filed on Oct 12.
Prior delisting notice issued Oct 14, 2022; hearing requested and stay granted.
Engaged Marcum LLP as new independent auditor on Oct 27, 2022; working to file delinquent reports.
Company to present plan to regain compliance at Nasdaq hearing and request filing extension.

item 3.01 item 8.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

SRAX, Inc. received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: late filing
Rules: 5250(c)(1)

Exact text from the filing

November 16, 2022, SRAX, Inc. (the “Company”) received notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) that the Company’s failure to timely file its Quarterly Report on Form 10-Q for the period ending September 30, 2022 with the Securities and Exchange Commission (“SEC”) could serve as an additional basis for delisting under Nasdaq Listing rule 5250(c)(1) (the “Filing Requirement”). On October 12, 2022, the Company filed its Annual Report on Form 10-K for the year ended December 31, 2021 with the SEC; however, the Company has not yet filed i

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Source: SEC EDGAR

accession 0001493152-22-032970

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