Roth CH Acquisition Co.: Nasdaq/NYSE listing notice — Roth CH Acquisition receives Nasdaq deficiency notice for failure to meet minimum 400 shareholders

Roth CH Acquisition Co.

Received Nasdaq notice on Oct 16, 2023 for non-compliance with Listing Rule 5450(a)(2) requiring at least 400 total holders.
Company has until Nov 30, 2023 to submit a plan to regain compliance.
If plan accepted, Nasdaq may grant up to 180-day extension; no immediate effect on listing or trading.
Formerly known as TKB Critical Technologies 1; trades on Nasdaq Global Market as USCT.

item 3.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.95

Roth CH Acquisition Co. received a nasdaq deficiency notice notice regarding shareholders (rules 5450(a)(2)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: shareholders
Rules: 5450(a)(2)

Exact text from the filing

October 16, 2023, Roth CH Acquisition Co. (formerly known as TKB Critical Technologies 1) (the “Company”) received a letter (the “Notice”) from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that the Company was not in compliance with Listing Rule 5450(a)(2), which requires the Company to have at least 400 shareholders for continued listing on the Nasdaq Global Market (the “Minimum Total Holders Rule”). The Notice is only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or

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Source: SEC EDGAR

accession 0001829126-23-006697

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