---
schema_version: "secwatch.filing_event.v1"
accession: "0001628280-23-040224"
form_type: "8-K"
ticker: null
cik: "0001770141"
company_name: "UpHealth, Inc."
filed_at: "2023-11-29T23:59:59+00:00"
generated_at: "2026-06-07T20:22:58.847491+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# UpHealth warrants (UPH.WS) delisted from NYSE due to abnormally low price; now trading OTC

## Summary
- NYSE Regulation determined warrants unsuitable for listing due to 'abnormally low' price levels under Section 802.01D.
- Trading in warrants suspended immediately on Nov 28, 2023; company does not intend to appeal.
- Warrants began trading over-the-counter on Nov 29 under symbol UPHLW.
- Common stock (UPH) remains listed on NYSE; delisting does not affect operations or SEC reporting.
- Transition to OTC likely reduces liquidity and could further depress warrant trading price.

## SEC filing metadata
- accession: 0001628280-23-040224
- form_type: 8-K
- cik: 0001770141
- company_name: UpHealth, Inc.
- filed_at: 2023-11-29T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1770141/000162828023040224/0001628280-23-040224-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1770141/000162828023040224/uph-20231128.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001628280-23-040224
- JSON: https://secwatch.observer/filing/0001628280-23-040224.json
- Plain text: https://secwatch.observer/filing/0001628280-23-040224.txt

## Key facts
- Listing & Compliance Notices
  UpHealth, Inc. received a nyse delisting notice notice regarding other (rules 802.01D).
  - Exchange: nyse
  - Notice: delisting notice
  - Rules: 802.01D
  source text: November 28, 2023, UpHealth, Inc. (the “Company”) received written notice from the staff of NYSE Regulation (“NYSE Regulation”) that it has determined to commence proceedings to delist the Company’s redeemable warrants, exercisable for one share of common stock of the Company at an exercise price of $115.00 per share (ticker symbol: UPH.WS) (the “Warrants”), from the New York Stock Exchange (the “NYSE”) and that trading in the Warrants was suspended immediately. NYSE Regulation reached its determination that the Company’s Warrants are no longer suitable for listing based on “abnormally low” pr
  evidence_url: https://www.sec.gov/Archives/edgar/data/1770141/000162828023040224/0001628280-23-040224-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.