Estrella Immunopharma, Inc. (ESLA): Nasdaq/NYSE listing notice — TradeUP Acquisition receives Nasdaq deficiency notice for failing minimum public holders rule

Estrella Immunopharma, Inc.

Nasdaq notified TradeUP on April 19, 2023 it fails to meet minimum 300 public holders required by Listing Rule 5550(a)(3).
Company has 45 calendar days to submit a compliance plan; extension of up to 180 days may be granted if plan accepted.
Notice is a deficiency notification, not an immediate delisting; securities continue trading on Nasdaq Capital Market.
If plan is not accepted, Company may appeal to a Nasdaq Hearings Panel.

item 3.01

Key facts

Extracted from this filing and checked against the source text.

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

Estrella Immunopharma, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(3)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: minimum bid price
Rules: 5550(a)(3)

Exact text from the filing

April 19, 2023, TradeUP Acquisition Corp. (the “Company”) received a written notice (the “Notice”) from the listing qualifications department staff of The Nasdaq Stock Market (“Nasdaq”) notifying the Company that the Company was not in compliance with Listing Rule 5550(a)(3) (the “Minimum Public Holders Rule”), which requires the Company to have at least 300 public holders for continued listing on the Nasdaq Capital Market. The Notice is only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or trading of the Company’s securities on the Nasdaq Ca

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Estrella Immunopharma, Inc. filing history →

Source: SEC EDGAR

accession 0001575872-23-000592

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