Recent 8-K filings for ALZN
Highest-materiality recent filing
Alzamend Neuro regains Nasdaq compliance; avoids delisting
- Received written notice from Nasdaq Hearings Panel on Oct 14, 2024 that it has regained compliance with minimum stockholders' equity rule ($2.5M required).
- Had been notified of delisting in March 2024, appealed to Panel, granted extension until Sept 23, 2024.
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Alzamend Neuro annual meeting: all proposals pass, including reverse stock split up to 1:10
All seven director nominees elected, including William B. Horne, Milton C. Ault III, Stephan Jackman, Henry C. Nisser, Mark Gustafson, Lynne F. McGrath, Jeffrey Oram.
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Alzamend Neuro receives Nasdaq deficiency notice for stockholders' equity below $2.5M minimum
Stockholders' equity reported at ~$2.2M as of Jan 31, 2026, below Nasdaq's $2.5M minimum requirement for continued listing.
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Alzamend Neuro enters $3M at-the-market equity agreement with Ascendiant Capital
Up to $3.0M in common stock may be sold periodically via ATM offering with sole agent Ascendiant Capital Markets.
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Alzamend Neuro director Andrew H. Woo, M.D., Ph.D. passed away on Nov. 14, 2025
Andrew H. Woo served as a director since the company's IPO in June 2021.
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Alzamend Neuro eliminates Series B and Series C convertible preferred stock
Filed Certificates of Elimination for Series B and Series C convertible preferred stock with Delaware Secretary of State on October 14, 2025.
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Alzamend Neuro issues 361,743 shares on Series B Preferred conversion
Between Oct 1-8, 2025, 361,743 shares issued upon conversion of ~839.2 Series B Convertible Preferred shares.
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Alzamend Neuro issues 300,000 shares on conversion of Series B Preferred Stock
Issued 300,000 common shares upon conversion of 696 Series B Preferred shares between Sep 17-25, 2025.
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Alzamend Neuro issues 243,429 common shares on conversion of Series B Preferred (Jul 23-30, 2025)
243,429 common shares issued upon conversion of ~564.76 shares of Series B Convertible Preferred Stock.
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Alzamend Neuro FY2025 cash $3.9M, equity $3.9M; $5M financing completed ahead of schedule
Cash of $3.9M at April 30, 2025 vs $0.4M prior year; stockholder equity of $3.9M vs deficit $2.6M.
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Alzamend Neuro eliminates Series A convertible preferred stock via Certificate of Elimination
Filed Certificate of Elimination with Delaware Secretary of State on July 9, 2025 to cancel Series A Preferred Stock.
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Alzamend Neuro announces 1-for-9 reverse stock split effective May 12 to maintain Nasdaq listing
Shares outstanding reduce from ~7,208,591 to ~800,954 at 1-for-9 ratio.
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Alzamend Neuro stockholders approve reverse stock split and Series C conversion at annual meeting
Elected eight directors including William B. Horne, Milton C. Ault III, and others with substantial support; broker non-votes of 2,270,160.
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Alzamend Neuro amends bylaws to lower stockholder quorum to 35%, creates Series C Preferred Stock
Board reduced quorum for stockholder meetings from majority of outstanding shares to 35%.
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Exchanges 97.75 Series A shares for 87.99 Series C shares; cancels existing 640K-share warrants.
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Net cash from financing $8.3M for six months ended Oct 31, 2024; stockholder equity improved to $3.8M from a $2.6M deficit.
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Alzamend Neuro regains Nasdaq compliance; avoids delisting
Received written notice from Nasdaq Hearings Panel on Oct 14, 2024 that it has regained compliance with minimum stockholders' equity rule ($2.5M required).
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Alzamend Neuro enters ATM offering for up to $6.5M in common stock
Entered ATM Sales Agreement with Ascendiant Capital Markets for up to $6.5M of common stock.
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Alzamend Neuro regains Nasdaq bid price compliance; MVLS deficiency still pending
Nasdaq notified Alzamend on July 30, 2024 that bid price compliance is regained after 10 consecutive days above $1.00.
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Alzamend Neuro announces 1-for-10 reverse stock split to regain Nasdaq compliance
Reverse split effective July 16, 2024; reduces outstanding shares from ~7.98M to ~798K.
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Stockholders approve conversion of Series A Preferred Stock for up to $25M financing
Proposal approved with 5,356,845 votes for, 79,371 against, 3,043 abstentions; no broker non-votes.
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Alzamend Neuro gets Nasdaq extension to meet $2.5M equity rule by Sept 23, 2024
Nasdaq Hearings Panel granted continued listing on Capital Market, subject to compliance with Listing Rule 5550(b)(1).
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Filed under Item 7.01 as a Regulation FD disclosure; presentation furnished as Exhibit 99.1.
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Alzamend Neuro stockholders approve $6 million Series B transaction with Ault Lending
Stockholders approved issuance of up to 6,000 shares of Series B convertible preferred stock and warrants for 6,000,000 common shares at $6 million total.
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Alzamend Neuro raises up to $25M via Series A Preferred and warrants; initial $500K closed
Up to $25 million financing via Series A Convertible Preferred Stock and warrants; initial tranche of $500,000 closed May 10, 2024.
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Alzamend Neuro dismisses Baker Tilly as auditor, appoints Haskell & White
Audit Committee dismissed Baker Tilly US, LLP on May 5, 2024; no accounting disagreements.
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Alzamend Neuro enters $25M financing via preferred stock and warrants at 15% dividend
Initial $500,000 closing of 50 Series A Preferred shares at $10,000 each; up to $25M total.
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Alzamend Neuro terminates ATM equity program after raising ~$1.3M at ~$1.20/share
Terminated ATM agreement with Ascendiant Capital Markets effective May 16, 2024.
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Alzamend Neuro annual meeting results: reverse split approved, Proposal 3 vote adjourned
All eight director nominees elected; Baker Tilly ratified as auditor for FY ending April 30, 2024.
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Alzamend Neuro raises $400K via convertible preferred and short-term note
Sold 100 Series B preferred shares and warrants for 100K common shares to Ault Lending for $100K; total $2.1M of $6M facility drawn.
Earnings & guidance
Materiality & sentiment trend
Max materiality 0.85 · Median 0.60 · Most common event other_material