AI Financial Corp (AIFC): Nasdaq/NYSE listing notice — ALT5 Sigma receives Nasdaq notices for late 10-Q filing and audit committee deficiency; cure periods apply

AI Financial Corp

Director David Danziger resigned Nov 25, 2025, causing audit committee to lack three independent members required by Nasdaq Rule 5605.
Nasdaq notified company on Dec 3, 2025 of non-compliance with corporate governance rules; cure period ends at earlier of next annual meeting or Nov 25, 2026.
Company also received notice for late Form 10-Q (period ended Sep 27, 2025); must submit compliance plan by Jan 20, 2026.
If Nasdaq accepts plan, extension possible to May 18, 2026; company intends to file late 10-Q and appoint an independent director.
Neither notice affects immediate trading of common stock under symbol ALTS; continued listing depends on regaining compliance.

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 0.95

AI Financial Corp received a nasdaq noncompliance notice notice regarding audit committee (rules 5605(c)).

Exchange: nasdaq
Notice: noncompliance notice
Deficiency: audit committee
Rules: 5605(c)

Exact text from the filing

December 3, 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(c), which requires, among other things, that the Company have an Audit Committee that has at least three members, each of whom must (i) be an independent, (ii) meet the criteria for independence set forth in Rule 10A-3(b)(1) under the Securities Exchange Act of 1934, as a

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Source: SEC EDGAR

accession 0001493152-25-026011

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