Ocean Biomedical, Inc. (OCEA): Nasdaq/NYSE listing notice — Ocean Biomedical receives Nasdaq deficiency notice for late 10-K filing; must file by Oct 14, 2024

Ocean Biomedical, Inc.

Received Nasdaq notice on April 18, 2024 for non-compliance with Listing Rule 5250(c)(1) due to late filing of Form 10-K for FY2023.
Must submit a compliance plan by June 14, 2024 and file delinquent Form 10-K by October 14, 2024 to regain listing compliance.
No immediate effect on stock trading, but further delays could impact listing; company intends to file as soon as practicable.
Delay stems from previously disclosed issues with amended 10-Qs for first two quarters and 10-Q for third quarter of 2023.

item 3.01 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 0.98

Ocean Biomedical, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).

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

Exact text from the filing

April 18, 2024, from the Nasdaq Listing Qualifications Department (“ Nasdaq ”) indicating that the Company remains in non-compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1), which requires listed companies to timely file all required periodic reports with the SEC. The Notice will have no immediate effect on the listing or trading of the Company’s common stock, although there can be no assurances that further delays in the filing of the Form 10-K will not have an impact on the listing or trading of the Company’s common stock. Nasdaq indicate

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Ocean Biomedical, Inc. filing history →

Source: SEC EDGAR

accession 0001493152-24-015820

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