Novo Integrated Sciences, Inc.: Nasdaq/NYSE listing notice — Nasdaq warns Novo of delisting for unfiled 10-K and 10-Q; issues 39.4M shares on note conversions

Novo Integrated Sciences, Inc.

New Nasdaq notice (Jan 25, 2023) adds failure to file Form 10-Q to prior 10-K delinquency.
Company must submit plan by Feb 13, 2023; Nasdaq may grant exception until June 12, 2023.
Issued 39,397,034 shares on conversion of convertible notes Jan 26-30; outstanding now 128,258,227.
After conversions, principal balances: Hudson Bay Master Fund $300,000; CVI Investments $6,110.75.
Company intends to file 10-K and 10-Q promptly to regain compliance.

item 3.01 item 3.02 item 7.01 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

Novo Integrated Sciences, 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

January 25, 2023 from Nasdaq advising the Company that it was not in compliance with Nasdaq’s continued listing requirements under the Rule as a result of its failure to timely file the Form 10-K and its Quarterly Report on Form 10-Q for the fiscal quarter ended November 30, 2022 (the “Form 10-Q”). Per the January Nasdaq Notice and in accordance with the December Nasdaq Notice, the Company has 60 calendar days from receipt of the December Nasdaq Notice or until February 13, 2023, to submit a plan to regain compliance with the Rule with the respect to the Form 10-K and the Form 10-Q. If Nasdaq

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Source: SEC EDGAR

accession 0001493152-23-002939

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