SRAX, Inc.: Nasdaq/NYSE listing notice — SRAX receives Nasdaq delisting notice; trading suspended March 9, 2023

SRAX, Inc.

Nasdaq Panel suspends trading at open on March 9, 2023, and starts delisting due to unfiled 10-Qs.
SRAX failed to meet Panel's timeline for filing Q2 and Q3 2022 reports despite extensions.
Common stock to move to OTC Expert Market, then to OTC Pink Market after becoming current.
Press release notes over 25 new customers added in Q1 2023, but no financial results disclosed.

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

October 20, 2022, SRAX, Inc. (the “Company”) received notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the Company’s continued non-compliance with Nasdaq Listing Rule 5250(c)(1) (the “Filing Requirement”), the Company’s securities are subject to delisting from Nasdaq unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). On November 16, 2022, the Company received another notice from the Staff that the Company’s failure to timely file its Quarterly Report on Form 10-Q for the pe

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

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

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

Exact text from the filing

November 16, 2022, the Company received another notice from the Staff 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 the Filing Requirement, in addition to the previously not-filed Quarterly Reports on Form 10-Q for the quarters ended March 31, 2022, and June 30, 2022 (collectively, the “Delinquent Reports”). The Company requested a hearing and, in accordance with Nasdaq Listing Rule 5815(a)(1)(B), a stay of any further

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Source: SEC EDGAR

accession 0001493152-23-007017

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