Roth CH Acquisition Co.: Nasdaq/NYSE listing notice — TKB Critical Technologies 1 receives Nasdaq deficiency notice for low public float; regains compliance

Roth CH Acquisition Co.

On April 11, 2023, TKB Critical Technologies 1 received a Nasdaq notice that its market value of publicly held shares was below $15M for 30 consecutive days.
On April 13, 2023, the company demonstrated compliance by filing an amended 10-K with an updated beneficial ownership table.
On April 14, 2023, Nasdaq confirmed the company had regained compliance with the continued listing rule.

item 3.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

Roth CH Acquisition Co. received a nasdaq deficiency notice notice regarding market value (rules 5450(b)(2)(C)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: market value
Rules: 5450(b)(2)(C)

Exact text from the filing

April 11, 2023, TKB Critical Technologies 1 (the “Company”) received a letter (the “MVPHS Notice”) from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that for the last 30 consecutive trading days prior to the date of the MVPHS Notice, the Company’s minimum market value of publicly held shares was less than $15.0 million, which does not meet the requirement for continued listing on The Nasdaq Global Market, as required by Nasdaq Listing Rule 5450(b)(2)(C) (the “MVPHS Rule”). On April 13, 2023, the Company demonstrated complia

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Source: SEC EDGAR

accession 0001829126-23-002743

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