{"schema_version":"secwatch.filing_event.v1","accession":"0001511737-25-000083","form_type":"8-K","ticker":"UI","cik":"0001511737","company_name":"Ubiquiti Inc.","filed_at":"2025-12-05T23:59:59+00:00","discovered_at":"2026-05-14T18:02:39.594073+00:00","generated_at":"2026-05-16T14:14:15.140983+00:00","sec_items":["3.01","5.07"],"event_type":"regulatory","sentiment":"neutral","materiality_score":0.35,"calibrated_materiality_score":0.35,"confidence":"high","headline":"Ubiquiti noncompliant with NYSE audit committee rule after director Sege's death","bullets":["Director Ronald A. Sege, Board member since 2012, passed away on November 30, 2025.","Audit committee now has two independent directors, violating NYSE Section 303A.07(a) minimum of three.","Company notified NYSE on Dec 3 and received official non-compliance notice on Dec 4; expects to appoint replacement promptly.","At Dec 4 annual meeting, shareholders voted for Sege (posthumously) but seat remains vacant; KPMG ratification approved."],"urls":{"canonical":"https://secwatch.observer/filing/0001511737-25-000083","json":"https://secwatch.observer/filing/0001511737-25-000083.json","markdown":"https://secwatch.observer/filing/0001511737-25-000083.md","text":"https://secwatch.observer/filing/0001511737-25-000083.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/ui-20251203.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-16T14:14:15.140983+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":"01b9d869cc36c66be0567530ab34578444090110","claim":"Ubiquiti Inc. received a nyse noncompliance notice notice regarding audit committee (rules 303A.07(a), 10A-3, 303A.02).","evidence_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","confidence":0.9}],"comparable_filings":[{"accession":"0001493152-26-025087","ticker":"LASE","company_name":"Laser Photonics Corp","filed_at":"2026-05-22T21:27:31+00:00","headline":"Laser Photonics receives Nasdaq delisting notice for late Q1 2026 10-Q","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.4,"calibrated_materiality_score":0.4,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-025087","json":"https://secwatch.observer/filing/0001493152-26-025087.json","markdown":"https://secwatch.observer/filing/0001493152-26-025087.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1807887/000149315226025087/0001493152-26-025087-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1807887/000149315226025087/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"received a notice from Nasdaq Listing Qualifications\ndepartment of the Nasdaq Stock Market LLC (“Nasdaq”) stating that since it had not received the Company’s Form 10-Q\nfor the period ended March 31, 2026, the Company does not comply with Nasdaq’s Listing Rules for continued listing. Nasdaq stated\nthat the Company has 60 days to submit a plan to regain compliance with respect to this delinquent report. Nasdaq can grant an exception\nto allow the Company to regain compliance up to a maximum of 180 calendar days from the due date of the Initial Delinquent Filing, or\nNovember 16, 2026. A\ncopy of t","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1807887/000149315226025087/0001493152-26-025087-index.htm"}},{"accession":"0002001557-26-000118","ticker":"INV","company_name":"Innventure, Inc.","filed_at":"2026-05-19T21:45:13+00:00","headline":"Innventure regains Nasdaq compliance after appointing Bruce Brown to Audit Committee","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.3,"calibrated_materiality_score":0.3,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory","similar materiality"],"urls":{"canonical":"https://secwatch.observer/filing/0002001557-26-000118","json":"https://secwatch.observer/filing/0002001557-26-000118.json","markdown":"https://secwatch.observer/filing/0002001557-26-000118.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/2001557/000200155726000118/0002001557-26-000118-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/2001557/000200155726000118/innv-20260515.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"April 30, 2026, following the resignation of Daniel Hennessy from the Company’s Board of Directors (the “Board”) and Audit Committee effective April 29, 2026, the Company notified The Nasdaq Stock Market LLC (“Nasdaq”) t","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/2001557/000200155726000118/0002001557-26-000118-index.htm"}},{"accession":"0001731122-26-000705","ticker":"LNAI","company_name":"Lunai Bioworks Inc.","filed_at":"2026-05-11T21:30:26+00:00","headline":"Lunai Bioworks gets additional Nasdaq delisting notice for MVLS; completes $20M merger","event_type":"regulatory","sec_items":["3.01","5.07"],"materiality_score":0.8,"calibrated_materiality_score":0.8,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01, 5.07","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001731122-26-000705","json":"https://secwatch.observer/filing/0001731122-26-000705.json","markdown":"https://secwatch.observer/filing/0001731122-26-000705.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1527728/000173112226000705/0001731122-26-000705-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1527728/000173112226000705/e7629_8-ka.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"April 28, 2026 of an\nadditional staff determination letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC regarding compliance with Nasdaq\nListing Rule 5550(b)(2). The soliciting material and related disclosures included in the Original Report under the captions “The\nSpecial Meeting and the Proposals Being Voted On,” “Additional Information and Where to Find It” and “Participants\nin the Solicitation,” are no longer applicable because the Special Meeting has been held and the proposals submitted to a vote of\nstockholders thereat have been acted upon. Except as expressly se","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1527728/000173112226000705/0001731122-26-000705-index.htm"}},{"accession":"0001213900-26-063575","ticker":"ISPC","company_name":"iSpecimen Inc.","filed_at":"2026-06-01T21:00:15+00:00","headline":"iSpecimen flagged for Nasdaq equity shortfall; equity $814K vs $2.5M minimum","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001213900-26-063575","json":"https://secwatch.observer/filing/0001213900-26-063575.json","markdown":"https://secwatch.observer/filing/0001213900-26-063575.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1558569/000121390026063575/0001213900-26-063575-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1558569/000121390026063575/ea0292875-8k_ispecimen.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"May 29, 2026, iSpecimen Inc. (the “Company”)\nreceived a letter (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”)\nnotifying the Company that it no longer complies with Nasdaq Listing Rule 5550(b)(1) (the “Rule”), which requires a minimum\nof $2,500,000 in stockholders’ equity for continued listing on the Nasdaq Capital Market (the “Capital Market”). As reported in the Company’s Quarterly Report\non Form 10-Q for the period ended March 31, 2026, the Company had stockholders’ equity of $814,038. Nasdaq noted that, as of May\n29, 2026, the Company doe","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1558569/000121390026063575/0001213900-26-063575-index.htm"}},{"accession":"0001193125-26-251421","ticker":"GENC","company_name":"GENCOR INDUSTRIES INC","filed_at":"2026-06-01T20:09:26+00:00","headline":"Gencor receives NYSE American delinquency notice for late Q2 2026 10-Q filing","event_type":"regulatory","sec_items":["3.01","7.01","9.01"],"materiality_score":0.65,"calibrated_materiality_score":0.65,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001193125-26-251421","json":"https://secwatch.observer/filing/0001193125-26-251421.json","markdown":"https://secwatch.observer/filing/0001193125-26-251421.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/0001193125-26-251421-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/d135716d8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"May 19, 2026, Gencor Industries, Inc. (the “Company”) received a notice (the “Delinquency Notification”) from NYSE Regulation (the “NYSE”) indicating the Company was not in compliance with the NYSE American LLC (“NYSE American”) continued listing standards as a result of its failure to timely file its Quarterly Report on Form 10-Q for the period ended March 31, 2026 (the “Form 10-Q”) with the Securities and Exchange Commission (“SEC”) prior to May 18, 2026, the end of the extension period provided by Form 12b-25, and as a result was subject to the procedures set forth in Section 1007 of the NY","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/64472/000119312526251421/0001193125-26-251421-index.htm"}},{"accession":"0001493152-26-026442","ticker":"HWH","company_name":"HWH International Inc.","filed_at":"2026-05-29T21:21:49+00:00","headline":"HWH International receives Nasdaq deficiency notice for equity below $2.5M threshold","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.75,"calibrated_materiality_score":0.75,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-026442","json":"https://secwatch.observer/filing/0001493152-26-026442.json","markdown":"https://secwatch.observer/filing/0001493152-26-026442.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1897245/000149315226026442/0001493152-26-026442-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1897245/000149315226026442/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"May 29, 2026 HWH International Inc. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications\nDepartment of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with the minimum stockholders’\nequity requirement for continued listing on the Nasdaq Capital Market, under Listing Rule 5550(b)(1) because the Company’s stockholders’\nequity of $2,078,220 as reported in the Company’s Quarterly Report on Form 10-Q for the period ended March 31, 2026 was below the\nrequired minimum of $2.5 million, and because, as of May 29, 2026, the Company did","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1897245/000149315226026442/0001493152-26-026442-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","same event type: regulatory"],"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":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-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":"0001683168-26-004399","ticker":"CSAI","company_name":"CLOUDASTRUCTURE, INC.","filed_at":"2026-05-29T21:09:11+00:00","headline":"Cloudastructure receives Nasdaq delinquency notice for late Q1 10-Q filing","event_type":"regulatory","sec_items":["3.01","9.01"],"materiality_score":0.7,"calibrated_materiality_score":0.7,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001683168-26-004399","json":"https://secwatch.observer/filing/0001683168-26-004399.json","markdown":"https://secwatch.observer/filing/0001683168-26-004399.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/0001683168-26-004399-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/cloud_8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"December 4, 2025, the Company received official notice of non-compliance from the NYSE with respect to this deficiency. The Company expects to appoint, as soon as practicable, an additional member to the Board and audit committee who meets the independence requirements of Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and Section 303A.02 of the Listed Company Manual. Upon appointing such new member of the Board and the audit committee, the Company will regain compliance with Section 303A.07(a) of the Listed Company Manual.","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1511737/000151173725000083/0001511737-25-000083-index.htm","comparable_excerpt":"May 26, 2026, Cloudastructure,\nInc. (the “Company”) received a notice (the “Notice”) from the Nasdaq Listing Qualifications staff of The Nasdaq\nStock Market LLC (“Nasdaq”) indicating that, as a result of not having timely filed its Quarterly Report on Form 10-Q for\nthe period ended March 31, 2026 (“Form 10-Q”), the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which\nrequires timely filing of all required periodic financial reports with the Securities and Exchange Commission. The Company requires additional\ntime to review and confirm the accounting treatment for its outstand","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1709628/000168316826004399/0001683168-26-004399-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}