---
schema_version: "secwatch.filing_event.v1"
accession: "0001731122-23-002077"
form_type: "8-K"
ticker: "KAVL"
cik: "0001762239"
company_name: "Kaival Brands Innovations Group, Inc."
filed_at: "2023-11-13T23:59:59+00:00"
generated_at: "2026-06-08T05:19:24.109975+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# Kaival Brands gets Nasdaq deficiency notice for missing annual meeting; names Barry Hopkins Executive Chairman

## Summary
- Received Nasdaq notice on Nov 7 for failing to hold annual meeting within 12 months after fiscal year ended Oct 31, 2022.
- Must submit compliance plan by Dec 22, 2023; no immediate delisting effect.
- Created Executive Chairman role; appointed Barry M. Hopkins as Executive Chairman and principal executive officer.
- Eric Mosser remains President and CEO, managing day-to-day operations under Hopkins' supervision.
- Hopkins brings 30 years at Altria and 11 years at Turning Point Brands.

## SEC filing metadata
- accession: 0001731122-23-002077
- form_type: 8-K
- ticker: KAVL
- cik: 0001762239
- company_name: Kaival Brands Innovations Group, Inc.
- filed_at: 2023-11-13T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01, 5.02
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1762239/000173112223002077/0001731122-23-002077-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1762239/000173112223002077/e5201_8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001731122-23-002077
- JSON: https://secwatch.observer/filing/0001731122-23-002077.json
- Plain text: https://secwatch.observer/filing/0001731122-23-002077.txt

## Key facts
- Listing & Compliance Notices
  Kaival Brands Innovations Group, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Rules: 5620(a)
  source text: November 7, 2023, Kaival Brands Innovations Group, Inc., a Delaware corporation (the “ Company ”) received written notice (the “ Notice ”) from the Listing Qualifications Department of The Nasdaq Stock Market (“ Nasdaq ”) stating that the Company failed to hold an annual meeting of shareholders within twelve ( 12) months after its fiscal year ended on October 31, 2022, as required by Nasdaq Listing Rule 5620(a) (the “ Annual Meeting Listing Rule ”). The Notice is only a notification of deficiency, not of imminent delisting. Therefore, the Notice has no current effect on the listing or trading
  evidence_url: https://www.sec.gov/Archives/edgar/data/1762239/000173112223002077/0001731122-23-002077-index.htm
- Executive change
  Barry M. Hopkins was appointed as Executive Chairman at Kaival Brands Innovations Group, Inc..
  - Action: appointed
  - Role: Executive Chairman
  source text: On November 6, 2023, the Company’s board of directors (the “ Board ”), pursuant to the powers of the Board provided for under applicable Delaware law, approved the creation of the new officer position of Executive Chairman and appointed Barry M. Hopkins, the current Chairman of the Board of the Company, to the office of Executive Chairman.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1762239/000173112223002077/0001731122-23-002077-index.htm

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