{"schema_version":"secwatch.filing_event.v1","accession":"0001671933-25-000148","form_type":"8-K","ticker":"TTD","cik":"0001671933","company_name":"Trade Desk, Inc.","filed_at":"2025-12-15T23:59:59+00:00","discovered_at":"2026-05-14T18:02:40.106708+00:00","generated_at":"2026-05-16T13:13:34.219343+00:00","sec_items":["3.01"],"event_type":"regulatory","sentiment":"neutral","materiality_score":0.25,"calibrated_materiality_score":0.25,"confidence":"high","headline":"Nasdaq reprimands Trade Desk for inadvertent voting-rights rule violation; matter closed","bullets":["Nasdaq staff issued a letter of reprimand on Dec 9, 2025 for violating Rule 5640 over Class B conversion extension.","Company does not concur with violation but will not appeal; Nasdaq considered matter closed without further action.","No impact on listing of Class A common stock; dual-class structure unchanged; amendment remains in effect.","Stockholders approved the amendment on Sept 16, 2025; Nasdaq contacted company on Oct 15, 2025."],"urls":{"canonical":"https://secwatch.observer/filing/0001671933-25-000148","json":"https://secwatch.observer/filing/0001671933-25-000148.json","markdown":"https://secwatch.observer/filing/0001671933-25-000148.md","text":"https://secwatch.observer/filing/0001671933-25-000148.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/ttd-20251209.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-16T13:13:34.219343+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":"2e0559b51c72839e2a36dcd0d2254e5f04077d02","claim":"Trade Desk, Inc. received a nasdaq deficiency notice notice regarding other (rules 5640).","evidence_excerpt":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-index.htm","confidence":0.9}],"comparable_filings":[{"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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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":"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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-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"}},{"accession":"0001477932-26-003501","ticker":"EDBL","company_name":"Edible Garden AG Inc","filed_at":"2026-05-29T21:00:24+00:00","headline":"Edible Garden receives Nasdaq delisting notice for bid price non-compliance; intends to appeal","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.85,"calibrated_materiality_score":0.85,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001477932-26-003501","json":"https://secwatch.observer/filing/0001477932-26-003501.json","markdown":"https://secwatch.observer/filing/0001477932-26-003501.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1809750/000147793226003501/0001477932-26-003501-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1809750/000147793226003501/edbl_8k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-index.htm","comparable_excerpt":"May 27, 2026, Edible Garden AG Incorporated (the “Company”) received a letter from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for at least 30 consecutive business days, the Company no longer meets Nasdaq Listing Rule 5550(a)(2), which requires listed companies to maintain a minimum bid price of at least $1 per share (the “Bid Price Rule”). Under Nasdaq Listing Rule 5810(c)(3)(A)(iv), because the Company has effected a reverse stock split over the prior one-year per","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1809750/000147793226003501/0001477932-26-003501-index.htm"}},{"accession":"0001493152-26-026412","ticker":"CETY","company_name":"Clean Energy Technologies, Inc.","filed_at":"2026-05-29T20:57:27+00:00","headline":"Clean Energy Technologies receives Nasdaq delisting notice for late Q1 filing","event_type":"regulatory","sec_items":["3.01"],"materiality_score":0.6,"calibrated_materiality_score":0.6,"match_reasons":["same fact type: exchange_compliance_notice","same SEC item: 3.01","same event type: regulatory"],"urls":{"canonical":"https://secwatch.observer/filing/0001493152-26-026412","json":"https://secwatch.observer/filing/0001493152-26-026412.json","markdown":"https://secwatch.observer/filing/0001493152-26-026412.md","edgar_index":"https://www.sec.gov/Archives/edgar/data/1329606/000149315226026412/0001493152-26-026412-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1329606/000149315226026412/form8-k.htm"},"side_by_side_evidence":{"fact_type":"exchange_compliance_notice","source_excerpt":"edule 14A dated July 24, 2025. On October 15, 2025, the Nasdaq Staff contacted the Company regarding the Articles Amendment and application of the Voting Rights Rule thereto. The Nasdaq Staff concluded that it was appropriate to close the matter with the Letter issued in accordance with Nasdaq Rule 5810(c)(4). Accordingly, with the issuance of the Letter, the matter is closed by the Nasdaq Staff, with no further action to be taken on its part. Although the Company does not concur that the Articles Amendment violated the Voting Rights Rule, it welcomes Nasdaq’s closing of this matter and does n","source_evidence_url":"https://www.sec.gov/Archives/edgar/data/1671933/000167193325000148/0001671933-25-000148-index.htm","comparable_excerpt":"May 26, 2026, Clean Energy Technologies, Inc. (the “ Company ”) received a written notice (the “ Notice ”)\nfrom the Listing Qualifications Department of The Nasdaq Stock Market (“ Nasdaq ”) indicating that the Company is not\nin compliance with Nasdaq Listing Rule 5250(c)(1) (the “ Rule ”) because the Company had not yet filed its Quarterly\nReport on Form 10-Q for the period ended March 31, 2026 (the “ Quarterly Report ”). The\nRule requires listed companies to timely file all required periodic reports with the Securities and Exchange Commission. The Notice has\nno immediate effect on the listing","comparable_evidence_url":"https://www.sec.gov/Archives/edgar/data/1329606/000149315226026412/0001493152-26-026412-index.htm"}}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}