{"schema_version":"secwatch.filing_event.v1","accession":"0001493152-26-010108","form_type":"8-K","ticker":"AZTR","cik":"0001701478","company_name":"Azitra, Inc.","filed_at":"2026-03-13T23:59:59+00:00","discovered_at":"2026-05-14T18:02:35.934759+00:00","generated_at":"2026-05-15T12:37:35.981324+00:00","sec_items":["3.01","8.01","9.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.85,"calibrated_materiality_score":0.85,"confidence":"high","headline":"Azitra receives second NYSE American non-compliance notice; equity at $3.8M vs $6M minimum","bullets":["NYSE American notified Azitra of non-compliance with Section 1003(a)(iii) requiring $6M+ equity; as of Dec 31, 2025 equity was $3.8M.","Company has until April 1, 2027 to regain compliance with both Section 1003(a)(ii) and (iii) under a previously accepted plan.","Audit opinion for 2025 includes a going concern paragraph, disclosed in 10-K filed Feb 27, 2026.","Azitra is assessing funding avenues; failure to meet compliance could lead to delisting proceedings.","No immediate effect on trading; company continues to trade on NYSE American."],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-010108","json":"https://secwatch.observer/filing/0001493152-26-010108.json","markdown":"https://secwatch.observer/filing/0001493152-26-010108.md","text":"https://secwatch.observer/filing/0001493152-26-010108.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/form8-k.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-15T12:37:35.981324+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"25a6ba86adea67126fff9b48ece7adc91cddc899","claim":"Azitra, Inc. received a nyse_american noncompliance notice notice regarding stockholders equity (rules 1003(a)(ii)).","evidence_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance with the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity of $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent fiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance with these requirements by April 1, 2027. On December 16, 2025, the Company rece","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","confidence":0.85},{"claim_id":"cbf3983e2dedcb4806b5e42a97ecb15568fcc66c","claim":"Azitra, Inc. received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(iii)).","evidence_excerpt":"March 13, 2026, Azitra, Inc. (the “Company”) received notification (the “Letter”) from the NYSE American LLC (the “NYSE American”) stating that the Company is not in compliance with the minimum stockholders’ equity requirement of Section 1003(a)(iii) of the NYSE American Company Guide (the “Company Guide”) requiring stockholders’ equity of $6.0 million or more if the Company has reported losses from continuing operations and/or net losses in its five most recent fiscal years. As of December 31, 2025, the Company had stockholders’ equity of $3.8 million and has had losses in its five most recen","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","confidence":0.95}],"comparable_filings":[{"accession":"0001213900-26-062172","ticker":"RR","company_name":"RICHTECH ROBOTICS INC.","filed_at":"2026-05-28T20:49:32+00:00","headline":"Richtech Robotics receives Nasdaq delisting notice for late Q1 10-Q filing","event_type":"regulatory","sec_items":["3.01","8.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 8.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-062172","json":"https://secwatch.observer/filing/0001213900-26-062172.json","markdown":"https://secwatch.observer/filing/0001213900-26-062172.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/0001213900-26-062172-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/ea0292546-8k_richtech.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 22, 2026, Richtech\n Robotics Inc., a Nevada corporation (the “ Company ”) received a notice (the “ Notice ”) from the Listing\n Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”), stating that the Company is not in compliance\n with Nasdaq Listing Rule 5250(c)(1) (the “ Rule ”), because it has not timely filed its Quarterly Report on Form 10-Q\n for the period ended March 31, 2026 (the “ Form 10-Q ”) with the U.S. Securities and Exchange Commission (the “ SEC ”). The\n Rule requires listed companies to timely file all required periodic financial reports with the SEC. The Com","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1963685/000121390026062172/0001213900-26-062172-index.htm"}},{"accession":"0001213900-26-060667","ticker":"LRHC","company_name":"La Rosa Holdings Corp.","filed_at":"2026-05-22T21:20:15+00:00","headline":"La Rosa Holdings receives Nasdaq deficiency notice for late 10-K and 10-Q filings","event_type":"regulatory","sec_items":["3.01","8.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 8.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-060667","json":"https://secwatch.observer/filing/0001213900-26-060667.json","markdown":"https://secwatch.observer/filing/0001213900-26-060667.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1879403/000121390026060667/0001213900-26-060667-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1879403/000121390026060667/ea0291964-8k_larosa.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 21, 2026, the Company received a notice\n(the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, because the Company is\ndelinquent in filing its Form 10-Q and remains delinquent in filin","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1879403/000121390026060667/0001213900-26-060667-index.htm"}},{"accession":"0001213900-26-062935","ticker":"ATNM","company_name":"Actinium Pharmaceuticals, Inc.","filed_at":"2026-05-29T21:10:41+00:00","headline":"Actinium receives NYSE American non-compliance notice for low stockholders' equity; must submit plan by June 26","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-062935","json":"https://secwatch.observer/filing/0001213900-26-062935.json","markdown":"https://secwatch.observer/filing/0001213900-26-062935.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/0001213900-26-062935-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/ea0292691-8k_actinium.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 27, 2026, Actinium Pharmaceuticals, Inc.\n(the “Company”) received a notice (the “Notice”) from NYSE American LLC (“NYSE American”) indicating\nthat the Company is not in compliance with the continued listing standards set forth in Section 1003(a)(ii) of the NYSE American Company\nGuide (the “Company Guide”), which requires a listed company to maintain stockholders’ equity of $4.0 million or more\nif it has reported losses from continuing operations and/or net losses in three of its four most recent fiscal years. As of March 31,\n2026, the Company reported stockholders’ equity of approximately","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1388320/000121390026062935/0001213900-26-062935-index.htm"}},{"accession":"0001654954-26-005548","ticker":"ONFO","company_name":"Onfolio Holdings, Inc","filed_at":"2026-05-29T20:30:53+00:00","headline":"Onfolio receives Nasdaq delisting notice for insufficient equity ($1.22M vs $2.5M min)","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.85,"calibrated_materiality_score":0.85,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001654954-26-005548","json":"https://secwatch.observer/filing/0001654954-26-005548.json","markdown":"https://secwatch.observer/filing/0001654954-26-005548.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1825452/000165495426005548/0001654954-26-005548-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1825452/000165495426005548/onfo_8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 26, 2026, Onfolio Holdings Inc. (the “ Company ”) received a written notice (the “ Notice ”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“ Nasdaq ”) informing the Company that it is not in compliance with Nasdaq Listing Rule 5550(b)(1), which requires listed companies to maintain a minimum of $2,500,000 in stockholders’ equity for continued listing on the Nasdaq Capital Market. The Notice states that the Company’s Quarterly Report on Form 10-Q for the for the period ended March 31, 2026 reported stockholders’ equity of $1,216,603. As of the date of the Notice","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1825452/000165495426005548/0001654954-26-005548-index.htm"}},{"accession":"0001493152-26-025433","ticker":"SONM","company_name":"DNA X, Inc.","filed_at":"2026-05-27T20:35:28+00:00","headline":"DNA X receives Nasdaq delisting notice; issues $3.05M convertible note to insider","event_type":"regulatory","sec_items":["1.01","2.03","3.01","3.02","9.01"],"materiality_score":0.9,"calibrated_materiality_score":0.9,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025433","json":"https://secwatch.observer/filing/0001493152-26-025433.json","markdown":"https://secwatch.observer/filing/0001493152-26-025433.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1178697/000149315226025433/0001493152-26-025433-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1178697/000149315226025433/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 22, 2026, the Company received a delisting determination letter from the Staff advising the Company that unless the Company requests\na hearing before a Nasdaq Hearing Panel (the “Panel”) to appeal Nasdaq’s delisting","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1178697/000149315226025433/0001493152-26-025433-index.htm"}},{"accession":"0001493152-26-025277","ticker":"VSTD","company_name":"Vestand Inc.","filed_at":"2026-05-26T21:18:59+00:00","headline":"Vestand receives Nasdaq delisting notice for late quarterly and annual filings","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.85,"calibrated_materiality_score":0.85,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025277","json":"https://secwatch.observer/filing/0001493152-26-025277.json","markdown":"https://secwatch.observer/filing/0001493152-26-025277.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1898604/000149315226025277/0001493152-26-025277-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1898604/000149315226025277/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 19, 2026, the Company received a Staff Delisting Determination letter (the “Staff Determination”) from Nasdaq notifying\nit that Nasdaq has initiated a process which could result in the delisting of the Company’s secu","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1898604/000149315226025277/0001493152-26-025277-index.htm"}},{"accession":"0001493152-26-025244","ticker":"XHLD","company_name":"TEN Holdings, Inc.","filed_at":"2026-05-26T20:05:22+00:00","headline":"TEN Holdings receives Nasdaq equity deficiency notice; issues 500k shares for $500k","event_type":"regulatory","sec_items":["1.01","3.01","3.02","9.01"],"materiality_score":0.8,"calibrated_materiality_score":0.8,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025244","json":"https://secwatch.observer/filing/0001493152-26-025244.json","markdown":"https://secwatch.observer/filing/0001493152-26-025244.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/2030954/000149315226025244/0001493152-26-025244-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/2030954/000149315226025244/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 26, 2026, the Company received a deficiency letter from the Listing Qualifications Department (the “ Staff ”)\nof The Nasdaq Stock Market LLC (“ Nasdaq ”), notifying the Company that it is not in compliance with Nasda","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/2030954/000149315226025244/0001493152-26-025244-index.htm"}},{"accession":"0001836875-26-000036","ticker":"NVVE","company_name":"Nuvve Holding Corp.","filed_at":"2026-05-22T22:35:13+00:00","headline":"Nuvve receives Nasdaq delisting notice for late Q1 10-Q filing; already under $1.00 bid price review","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 9.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001836875-26-000036","json":"https://secwatch.observer/filing/0001836875-26-000036.json","markdown":"https://secwatch.observer/filing/0001836875-26-000036.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1836875/000183687526000036/0001836875-26-000036-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1836875/000183687526000036/nvve-20260522.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"October 1, 2025, the Company received a letter from the NYSE American stating that the Company is not in compliance\nwith the minimum stockholders’ equity requirement of Section 1003(a)(ii) of the Company Guide requiring stockholders’ equity\nof $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent\nfiscal years. The Company submitted the Plan to the NYSE American on October 31, 2025 addressing how the Company intends to regain compliance\nwith these requirements by April 1, 2027. On\nDecember 16, 2025, the Company rece","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1701478/000149315226010108/0001493152-26-010108-index.htm","comparable_excerpt":"May 22, 2026, Nuvve Holding Corp. (the “Company”) received written notice (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, since the Company","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1836875/000183687526000036/0001836875-26-000036-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}