---
schema_version: "secwatch.filing_event.v1"
accession: "0001628280-23-041443"
form_type: "8-K"
ticker: null
cik: "0001770141"
company_name: "UpHealth, Inc."
filed_at: "2023-12-13T23:59:59+00:00"
generated_at: "2026-06-07T13:34:07.879699+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.75
calibrated_materiality_score: 0.75
confidence: "high"
source: SEC EDGAR
---

# UpHealth common stock (UPH) delisted from NYSE for market cap deficiency; now trades OTC under UPHL

## Summary
- NYSE Regulation commenced delisting proceedings for UpHealth common stock (UPH) on Dec 11, 2023, due to failure to maintain $15M average global market cap over 30 days.
- Trading in UPH was suspended immediately and moved to OTC under symbol 'UPHL' effective Dec 12, 2023.
- Company's warrants (UPH.WS) were already delisted on Nov 28, 2023, and now trade OTC under 'UPHLW'.
- Company is evaluating options including appeal within 10 business days; can't assure continued OTC trading or liquidity.

## SEC filing metadata
- accession: 0001628280-23-041443
- form_type: 8-K
- cik: 0001770141
- company_name: UpHealth, Inc.
- filed_at: 2023-12-13T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.75
- calibrated_materiality_score: 0.75
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1770141/000162828023041443/0001628280-23-041443-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1770141/000162828023041443/uph-20231211.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001628280-23-041443
- JSON: https://secwatch.observer/filing/0001628280-23-041443.json
- Plain text: https://secwatch.observer/filing/0001628280-23-041443.txt

## Key facts
- Listing & Compliance Notices
  UpHealth, Inc. received a nyse delisting notice notice regarding market value (rules 802.01B).
  - Exchange: nyse
  - Notice: delisting notice
  - Deficiency: market value
  - Rules: 802.01B
  source text: mpany’s Common Stock is no longer suitable for listing because the Company had fallen below the continued listing standard of the NYSE requiring listed companies to maintain an average global market capitalization over a consecutive 30 trading day period of at least $15,000,000, pursuant to Section 802.01B of the NYSE Listed Company Manual. The NYSE will apply to the SEC to delist the Common Stock upon completion of all applicable procedures, which provide, among other things, that the Company has the right to appeal NYSE Regulation’s decision within 10 business days following receipt of notic
  evidence_url: https://www.sec.gov/Archives/edgar/data/1770141/000162828023041443/0001628280-23-041443-index.htm

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