{"schema_version":"secwatch.filing_event.v1","accession":"0001628280-26-023176","form_type":"8-K","ticker":"VTGN","cik":"0001411685","company_name":"Vistagen Therapeutics, Inc.","filed_at":"2026-04-02T23:59:59+00:00","discovered_at":"2026-05-14T18:02:32.251227+00:00","generated_at":"2026-05-15T07:49:34.591146+00:00","sec_items":["3.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.4,"calibrated_materiality_score":0.4,"confidence":"high","headline":"Vistagen falls below Nasdaq audit committee minimum after director resignation","bullets":["Ms. Mary Rotunno resigned from the Board effective April 1, 2026, reducing Audit Committee from 3 to 2 members.","Company notified Nasdaq of non-compliance with Listing Rule 5605(c)(2) requiring at least three audit committee members.","Nasdaq listing not affected; cure period of up to one year from resignation date to regain compliance.","Board plans to fill vacancy and return to compliance within the cure period."],"urls":{"canonical":"https://secwatch.observer/filing/0001628280-26-023176","json":"https://secwatch.observer/filing/0001628280-26-023176.json","markdown":"https://secwatch.observer/filing/0001628280-26-023176.md","text":"https://secwatch.observer/filing/0001628280-26-023176.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/vtgn-20260401.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-15T07:49:34.591146+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":"3bf838f1862babdb0a3d0ea12e984ae2ab5fb41b","claim":"Vistagen Therapeutics, Inc. received a nasdaq noncompliance notice notice regarding audit committee (rules 5605(c)(2)).","evidence_excerpt":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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":"0001823878-26-000034","ticker":"MYPS","company_name":"PLAYSTUDIOS, Inc.","filed_at":"2026-05-05T23:59:59+00:00","headline":"PLAYSTUDIOS receives Nasdaq Capital Market transfer; second compliance period to Nov 2, 2026","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"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/0001823878-26-000034","json":"https://secwatch.observer/filing/0001823878-26-000034.json","markdown":"https://secwatch.observer/filing/0001823878-26-000034.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1823878/000182387826000034/0001823878-26-000034-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1823878/000182387826000034/myps-20260505.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-index.htm","comparable_excerpt":"May 5, 2026, Nasdaq staff approved the Company’s application to transfer its listing to the Nasdaq Capital Market. The transfer will become effective at the opening of business on May 6, 2026 (the “Transfer Date”) and wi","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1823878/000182387826000034/0001823878-26-000034-index.htm"}},{"accession":"0001628280-26-029106","ticker":"GREE","company_name":"Greenidge Generation Holdings Inc.","filed_at":"2026-05-01T23:59:59+00:00","headline":"Greenidge receives Nasdaq notice for audit committee non-compliance after director resignation","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"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/0001628280-26-029106","json":"https://secwatch.observer/filing/0001628280-26-029106.json","markdown":"https://secwatch.observer/filing/0001628280-26-029106.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1844971/000162828026029106/0001628280-26-029106-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1844971/000162828026029106/gree-20260429.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-index.htm","comparable_excerpt":"April 29, 2026, the Company received a notice from Nasdaq (the “Notice”) confirming the Company’s non-compliance with Nasdaq Listing Rule 5605(c)(2)(A) as a result of Mr. Fearn’s resignation from the Audit Committee. As","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1844971/000162828026029106/0001628280-26-029106-index.htm"}},{"accession":"0001493152-26-019328","ticker":"ARAI","company_name":"Arrive AI Inc.","filed_at":"2026-04-28T23:59:59+00:00","headline":"Arrive AI regains compliance with Nasdaq MVPHS rule; delisting notice closed","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.5,"calibrated_materiality_score":0.5,"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/0001493152-26-019328","json":"https://secwatch.observer/filing/0001493152-26-019328.json","markdown":"https://secwatch.observer/filing/0001493152-26-019328.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1818274/000149315226019328/0001493152-26-019328-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1818274/000149315226019328/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-index.htm","comparable_excerpt":"March 31, 2026, Arrive AI Inc. (the “ Company ”) received a letter from The Nasdaq Listing Qualifications Department\n(the “ Staff ”) indicating that the Company’s common stock had failed to maintain a minimum market valu","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1818274/000149315226019328/0001493152-26-019328-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":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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":"April 1, 2026, Vistagen Therapeutics, Inc. (the “ Company ”) notified The Nasdaq Stock Market LLC (“ Nasdaq ”) of its current non-compliance with Nasdaq Listing Rule 5605(c)(2), which requires the Audit Committee of a Nasdaq-listed company to have at least three members from its Board of Directors, each meeting independence and certain other criteria. As disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 18, 2026, Ms. Mary Rotunno resigned from the Company’s Board of Directors (the “ Board ”), effective April 1, 2026 (the “ Resignat","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1411685/000162828026023176/0001628280-26-023176-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"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}