Alzamend Neuro, Inc. — fact timeline

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).

“March 20, 2026, Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”) received a letter (the “ Letter ”) from the Listing Qualifications staff (the “ Staff ”) of the Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that the Company’s stockholders’ equity as reported in its Quarterly Report on Form 10-Q for the fiscal quarter ended January 31, 2026 (the “ Form 10-Q ”), did not satisfy the continued listing requirement under Nasdaq Listing Rule 5550(b)(1) for the Nasdaq Capital Market, which requires that a listed company’s stockholders’ equity be at least $2.5 million. As reported on it”

Alzamend Neuro, Inc. entered into At-the-Market Issuance Sales Agreement with Ascendiant Capital Markets, LLC valued at up to $3.0 million (effective 2026-03-06).

“On March 6, 2026, Alzamend Neuro, Inc. (the “ Company ”) entered into an At-the-Market Issuance Sales Agreement (the “ Sales Agreement ”) with Ascendiant Capital Markets, LLC, as sales agent (the “ Agent ”) to sell shares of its common stock, par value $0.0001 (the “ Common Stock ”), having an aggregate offering price of up to $3.0 million (the “ Shares ”) from time to time, through an “at the market offering””

Alzamend Neuro, Inc.: Filed Certificates of Elimination to remove Series B and Series C preferred stock designations from the Certificate of Incorporation (effective 2025-10-14).

“On October 14, 2025, Alzamend Neuro , Inc., a Delaware corporation (the “ Company ”), filed Certificates of Elimination (collectively, the “ Certificates of Elimination ”) with the Secretary of State of the State of Delaware with respect to the Company’s Series B convertible preferred stock and Series C convertible preferred stock (collectively, the “ Preferred Stock ”), which, effective upon filing, eliminated from the Company’s Certificate of Incorporation, as amended, all matters set forth in the Certificates of Designations for the Preferred Stock.”

Alzamend Neuro, Inc. issued 361,743 shares of common stock.

“Between October 1, 2025 and October 8, 2025, Alzamend Neuro, Inc. (the “ Company ”) issued an aggregate of 361,743 shares of common stock, par value $0.0001 per share (“ Common Stock ”) upon conversion of an aggregate of approximately 839.2 shares of Series B Convertible Preferred Stock.”

Alzamend Neuro, Inc. issued 300,000 shares of common stock of common stock to Series B Convertible Preferred Stock holders for conversion of 696 shares of Series B Convertible Preferred Stock.

“Between September 17, 2025 and September 25, 2025, Alzamend Neuro, Inc. (the “ Company ”) issued an aggregate of 300,000 shares of common stock, par value $0.0001 per share (“ Common Stock ”) upon conversion of an aggregate of 696 shares of Series B Convertible Preferred Stock.”

Alzamend Neuro, Inc.: Eliminated Series A Preferred Stock Certificate of Designations from Certificate of Incorporation (effective 2025-07-09).

“On July 9, 2025, Alzamend Neuro , Inc., a Delaware corporation (the “ Company ”), filed a Certificate of Elimination (the “ Certificate of Elimination ”) with the Secretary of State of the State of Delaware with respect to the Company’s Series A convertible preferred stock (the “ Series A Preferred Stock ”), which, effective upon filing, eliminated from the Company’s Certificate of Incorporation, as amended, all matters set forth in the Certificate of Designations for the Series A Preferred Stock.”

Alzamend Neuro, Inc.: Certificate of Incorporation amendment effectuating a one-for-nine reverse stock split (effective 2025-05-12).

“On May 6, 2025, Alzamend Neuro, Inc. (the “ Company ”), filed an amendment to the Company’s Certificate of Incorporation (the “ Amendment ”) with the State of Delaware to effectuate a reverse stock split of the issued and outstanding shares of the Company’s common stock, $0.0001 par value (“ Common Stock ”) by a ratio of one-for-nine (the “ Reverse Stock Split ”). The Reverse Stock Split will become effective in the State of Delaware at 12:01 AM ET on Monday, May 12, 2025.”

Alzamend Neuro, Inc.: Decreased stockholder meeting quorum requirement from majority to 35% of outstanding capital stock entitled to vote (effective 2025-02-28).

“The only substantive change of the First Amendment from the Bylaws was to amend Article II, Section 2.6 of the Bylaws to decrease the quorum requirement for a meeting of stockholders from a majority of the outstanding capital stock of the Company entitled to vote, represented in person or by proxy, to 35% of the outstanding capital stock of the Company entitled to vote, represented in person or by proxy.”

Alzamend Neuro, Inc. shareholders approved Approval of issuance of additional shares of Common Stock upon conversion of Series B Preferred Stock and exercise of warrants pursuant to Securities Purchase Agreement with Ault Lending, LLC to comply with Nasdaq Listing Rule 5635 at the 2024-05-13 meeting.

“Proposal Three : Approval, for purposes of complying with Listing Rule 5635 of The Nasdaq Stock Market, LLC, the issuance by the Company of additional shares of Common Stock issuable upon the (i) conversion of up to 6,000 shares of Series B Preferred Stock and (ii) exercise of warrants to purchase up to 6,000,000 shares of Common Stock, for a total purchase price of up to $6,000,000.00, pursuant to the Securities Purchase Agreement dated January 31, 2024 with Ault Lending, LLC. For Against Abstain Broker Non-Votes 2,787,961 208,270 49,368”

Alzamend Neuro, Inc.: Company filed Certificate of Designation for Series A Preferred Stock (effective 2024-05-09).

“On May 9, 2024, the Company filed the Certificate designating 3,000 shares of Series A Preferred Stock, with the Secretary of State of the State of Delaware.”

Alzamend Neuro, Inc. entered into Securities Purchase Agreement with a sophisticated investor valued at up to $25,000,000.00 (effective 2024-05-08).

“On May 8, 2024 (the “ Execution Date ”), Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”) entered into a Securities Purchase Agreement (the “ Agreement ”) with a sophisticated investor (the “ Purchaser ”), pursuant to which the Company agreed to sell to the Purchaser up to 2,500 shares of Series A Convertible Preferred Stock (the “ Series A Preferred Stock ”) and warrants (the “ Warrants ”) to purchase shares of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”) for a total purchase price of up to $25,000,000.00 (the “ Financing ”)”

Alzamend Neuro, Inc. entered into Securities Purchase Agreement with a sophisticated investor valued at up to $25,000,000.00 (effective 2024-05-08).

“On May 8, 2024 (the “ Execution Date ”), Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”) entered into a Securities Purchase Agreement (the “ Agreement ”) with a sophisticated investor (the “ Purchaser ”), pursuant to which the Company agreed to sell to the Purchaser up to 2,500 shares of Series A Convertible Preferred Stock (the “ Series A Preferred Stock ”) and warrants (the “ Warrants ”) to purchase shares of the Company’s common stock, par value $0.0001 per share (the “ Common Stock ”) for a total purchase price of up to $25,000,000.00 (the “ Financing ”) in several tranche closings”

Alzamend Neuro, Inc. engaged Haskell & White LLP as its auditor.

“On May 5, 2024, the Audit Committee approved the engagement of Haskell & White LLP”

Alzamend Neuro, Inc. dismissed Baker Tilly US, LLP as its auditor.

“̈ Item 4.01 Changes in Registrant’s Certifying Accountant (a) Dismissal of Previous Independent Registered Public Accounting Firm On May 5, 2024, the Audit Committee (the “ Audit Committee ”) of the Board of Directors of Alzamend Neuro, Inc. (the “ Company ”) dismissed Baker Tilly US, LLP (“ Baker Tilly ”) as the Company's independent registered public accounting firm, effective”

Alzamend Neuro, Inc. terminated Agreement with Ascendiant Capital Markets, LLC (effective 2024-05-16).

“Item 1.02 Termination of a Material Agreement On May 6, 2024, Alzamend Neuro, Inc. (the “ Company ”) provided written notice to Ascendiant Capital Markets, LLC, as sales agent (the “ Agent ”) of its election to terminate the At-the-Market (“ ATM ”) Issuance Sales Agreement (the “ Agreement” ), dated September 8, 2023, between the Company and the Agent with regards to sales of the Company’s common stock under the Agreement. The Company had sold 1.08 million shares of common stock and raised approximately $1.3 million in gross proceeds, or approximately $1.20 per share, under the ATM. The termination is effective as of May 16, 2024. The material terms of the Agreement are summarized in the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 8, 2023.”

Alzamend Neuro, Inc. shareholders approved Approval of amendment to Certificate of Incorporation to effect a reverse stock split of Common Stock by a ratio of not less than one-for-two and not more than one-for-twenty at any time prior to April 29, 2025 at the 2024-04-30 meeting.

“Proposal Four : Approval of the amendment to the Company’s Certificate of Incorporation to effect a reverse stock split of the Common Stock by a ratio of not less than one-for-two and not more than one-for-twenty at any time prior to April 29, 2025, with the exact ratio to be set at a whole number within this range as determined by the Company’s board of directors in its sole discretion. For Against Abstain Broker Non-Votes 4,476,092 108,096 42,325 0”

Alzamend Neuro, Inc. shareholders approved Ratification of Baker Tilly US, LLP as independent registered public accounting firm for fiscal year ending April 30, 2024 at the 2024-04-30 meeting.

“Proposal Two : The ratification of Baker Tilly US, LLP, as the Company’s independent registered public accounting firm for the fiscal year ending April 30, 2024. For Against Abstain Broker Non-Votes 5,114,481 443,299 41,600 0”

Alzamend Neuro, Inc. shareholders approved Election of eight director nominees at the 2024-04-30 meeting.

“Proposal One : The election of eight (8) director nominees named by the Company to hold office until the next annual meeting of stockholders. For Against Abstain Broker Non-Votes Milton C. Ault, III 3,492,046 395,262 14,002 1,698,070 William B. Horne 3,486,146 400,229 14,935 1,698,070 Stephan Jackman 3,714,790 175,219 11,301 1,698,070 Henry C. Nisser 3,698,330 188,030, 14,949 1,698,070 Mark Gustafson 3,514,765 371,660 14,885 1,698,070 Lynne F. McGrath 3,724,920 164,504 11,886 1,698,070 Andrew H. Woo 3,726,599 162,827 11,884 1,698,070 Jeffrey Oram 3,520,732 365,511 15,067 1,698,070”

Alzamend Neuro, Inc. incurred loan of $310,000 with an accredited investor at fifteen percent (15%) per annum maturing May 13, 2024.

“Effective April 29, 2024, the Company issued to an accredited investor a term note (the “ Note ”) with a principal face amount of $310,000. The Note bears interest at the rate of fifteen percent (15%) per annum and the Note was issued with an original issuance discount. The maturity date of the Note is May 13, 2024.”

Alzamend Neuro, Inc. entered into the Guaranty with Ault Lending (effective 2024-04-29).

“Ault Lending Additional Closing On April 29, 2024, Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”), pursuant to the Securities Purchase Agreement (the “ Agreement ”)”

Alzamend Neuro, Inc. entered into the Note with an accredited investor valued at $310,000 (effective 2024-04-29).

“Effective April 29, 2024, the Company issued to an accredited investor a term note (the “ Note ”) with a principal face amount of $310,000”

Alzamend Neuro, Inc. entered into the Securities Purchase Agreement with Ault Lending, LLC valued at $2.1 million (effective 2024-01-31).

“lzamend Neuro, Inc., a Delaware corporation (the “ Company ”), pursuant to the Securities Purchase Agreement (the “ Agreement ”) entered into with Ault Lending, LLC, a California limited liability company (“ Ault Lending ”) on January 31, 2024, sold”

Alzamend Neuro, Inc. entered into Agreement with Ault Lending, LLC valued at purchase price of $2.0 million (effective 2024-01-31).

“On March 26, 2024, Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”), pursuant to the Securities Purchase Agreement (the “ Agreement ”) entered into with Ault Lending, LLC, a California limited liability company (the “ Purchaser ”) on January 31, 2024”

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding market value (rules 5550(b)(2)).

“iled with the Securities and Exchange Commission (the “ SEC ”), which will remove the Common Stock from listing and registration on Nasdaq. The Company will request an appeal of the Staff’s determination to a Hearings Panel (the “ Panel ”), pursuant to the procedures set forth in the Nasdaq Listing Rule 5800 Series, which is required to be submitted electronically no later than April 2, 2024. The hearing request will stay the suspension of the Common Stock and the filing of the Form 25-NSE pending the Panel’s decision, and the Common Stock will continue to trade on the Nasdaq Capital Market un”

Alzamend Neuro, Inc.: Deleted sections 5(b) and 5(c) from the First Amended and Restated Certificate of Designations of Series B Convertible Preferred Stock to remove language regarding liquidation preference rights (effective 2024-03-21).

“The COD Amendment amended the First Amended and Restated Certificate of Designations to delete sections 5(b) and 5(c) to remove certain language regarding liquidation preference rights that could have caused the Series B Convertible Preferred Stock to not be classified as equity.”

Alzamend Neuro, Inc.: Filed Certificate of Elimination for Series A Convertible Preferred Stock, removing its designation from the Certificate of Incorporation (effective 2024-03-01).

“on March 1, 2024, the Company filed with the Secretary of State of the state of Delaware, a Certificate of Elimination of the Certificate of Designations of Preferred Stock of Alzamend Neuro, Inc. (the “ Certificate of Elimination ”), with respect to the Company’s Series A convertible preferred stock, par value $0.0001 per share (“ Series A Convertible Preferred Stock ”).”

Alzamend Neuro, Inc.: Filed Amended and Restated Certificate of Designations for Series B Preferred Stock to correct references and clarify voting rights (effective 2024-03-01).

“On March 1, 2024, the Company filed with the Secretary of State of the state of Delaware an Amended and Restated Certificate of Designations of Preferences, Rights and Limitations of the Series B Preferred Stock (the “ Amended and Restated Certificate of Designations ”).”

Alzamend Neuro, Inc.: Filed Series A Certificate of Designation for Series A Convertible Preferred Stock (effective 2024-01-31).

“On January 31, 2024, in connection with the Agreement and the Initial Closing , the Company filed the Series A Certificate of Designation with the Secretary of State of the State of Delaware.”

Alzamend Neuro, Inc. entered into Securities Purchase Agreement with Ault Lending, LLC valued at $6 million (effective 2024-01-31).

“On January 31, 2024 (the “ Execution Date ”), Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”) entered into a Securities Purchase Agreement (the “ Agreement ”) with Ault Lending, LLC, a California limited liability company (the “ Purchaser ”), pursuant to which the Company agreed to sell to the Purchaser up to 6,000 shares of Series A convertible preferred stock”

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2), 5810(c)(3)(A)).

“February 1, 2024, the Company received a notice in the form of a letter (“ Deficiency Letter ”) from the Listing Qualifications Staff of the Nasdaq stating that the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2) because the bid price for the Common Stock had closed below $1.00 per share for the previous 30 consecutive business days. In accordance with Nasdaq listing rule 5810(c)(3)(A), the Company has 180 calendar days, or until July 30, 2024, to regain compliance. The Deficiency Letter states that to regain compliance, the bid price for the Common Stock must close at $1.00”

Milton C. Ault, III was appointed as Vice Chairman at Alzamend Neuro, Inc..

“Effective January 4, 2024, Alzamend Neuro, Inc., a Delaware corporation (the “ Company ”), appointed Milton C. Ault, III as a director and Vice Chairman of its board of directors (the “ Board ”).”

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding minimum bid price.

“November 15, 2023. On November 15, 2023, the Company received notice from Nasdaq that the Company has regained compliance with the Minimum Bid Price Requirement and stated that the matter is now closed. On November 16, 2023, the Company issued a press release to announce that the Company has regained compliance with the Minimum Bid Price Requirement. A copy of the press release is furnished herewith as Exhibit 99.1 and is incorporated by reference herein. In accordance with General Instruction B.2 of Form 8-K, the information under this item shall not be deemed filed for purposes of Section 18”

Alzamend Neuro, Inc.: Filed amendment to certificate of incorporation to effect a one-for-fifteen reverse stock split (effective 2023-10-31).

“On October 27, 2023, Alzamend Neuro, Inc. (the “ Company ”), filed an amendment to the Company’s Certificate of Incorporation (the “ Amendment ”) with the State of Delaware to effectuate a reverse stock split of the issued and outstanding shares of the Company’s common stock, $0.0001 par value (“ Common Stock ”) by a ratio of one-for-fifteen (the “ Reverse Stock Split ”).”

Alzamend Neuro, Inc. shareholders approved Approval of the amendment to the Company's Certificate of Incorporation to effect a reverse stock split of the Common Stock by a ratio of not less than one-for-two and not more than one-for-twenty at any time prior to September 28, 2024 at the 2023-09-29 meeting.

“Proposal One : Approval of the amendment to the Company’s Certificate of Incorporation to effect a reverse stock split of the Common Stock by a ratio of not less than one-for-two and not more than one-for-twenty at any time prior to September 28, 2024, with the exact ratio to be set at a whole number within this range as determined by the Company’s Board of Directors in its sole discretion.”

Alzamend Neuro, Inc. received a nasdaq noncompliance notice notice regarding market value (rules 5550(b)(2)).

“September 26, 2023, Alzamend Neuro, Inc. (the “Company” ) received a notice from the staff of The Nasdaq Stock Market LLC (“ Nasdaq ”) indicating that, for the previous 30 consecutive business days, the minimum Market Value of Listed Securities (“ MVLS ”) for the Company’s common stock, par value $0.0001 per share (the “Common Stock” ), was below the $35 million minimum MVLS requirement for continued listing on The Nasdaq Capital Market under Nasdaq Listing Rule 5550(b)(2) (the “ MVLS Rule ”). In accordance with Nasdaq Listing Rule 5810(c)(3)(C), the Company will have 180 calendar days, or unt”

Alzamend Neuro, Inc. received a nasdaq extension granted notice regarding minimum bid price.

“September 22, 2023, the Company issued a press release to announce the extension granted by the Nasdaq Hearings Panel. A copy of the press release is furnished herewith as Exhibit 99.1 and is incorporated by reference herein. In accordance with General Instruction B.2 of Form 8-K, the information under this item shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific referen”

Alzamend Neuro, Inc. entered into Sales Agreement with Ascendiant Capital Markets, LLC valued at up to approximately $9.8 million (effective 2023-09-08).

“On September 8, 2023, Alzamend Neuro, Inc. (the “ Company ”) entered into an At-the-Market Issuance Sales Agreement (the “ Sales Agreement ”) with Ascendiant Capital Markets, LLC, as sales agent (the “ Agent ”) to sell shares of its common stock, par value $0.0001 (the “ Common Stock ”), having an aggregate offering price of up to approximately $9.8 million”

Alzamend Neuro, Inc. shareholders approved Ratification of the Independent Registered Public Accounting Firm at the 2023-04-26 meeting.

“The stockholders ratified the selection of Baker Tilly US, LLP as the Company’s independent registered public accounting firm for the fiscal year ending April 30, 2023. For Against Abstain Broker Non-Votes 49,628,290 331,775 80,923 0”

Alzamend Neuro, Inc. shareholders approved Advisory Vote on Frequency of Future Advisory Votes on Named Executive Officer Compensation at the 2023-04-26 meeting.

“The stockholders approved, on a non-binding advisory basis, the frequency of the stockholder vote to approve the compensation of the Company’s Named Executive Officers as described in the Proxy Statement as follows: 3 Years 2 Years 1 Year Abstain Broker Non-Votes 39,734,366 712,873 9,530,011 63,738 0”

Alzamend Neuro, Inc. shareholders approved Advisory Vote on Executive Compensation at the 2023-04-26 meeting.

“The shareholders approved, on a non-binding advisory basis, the compensation of the Company’s Named Executive Officers as disclosed in the executive compensation tables contained in the Proxy Statement. For Against Abstain Broker Non-Votes 48,354,282 1,332,190 354,516 0”

Alzamend Neuro, Inc. shareholders approved Election of Directors at the 2023-04-26 meeting.

“The shareholders elected the following individuals to the Company’s Board of Directors, to serve until the close of the Company’s 2024 Annual Meeting of Shareholders, their successors are duly elected or appointed, or such director’s earlier resignation or removal: For Against Abstain Broker Non-Votes William B. Horne 48,331,149 1,608,194 101,645 0 Stephan Jackman 48,764,875 932,276 343,837 0 Henry C.W. Nisser 48,356,036 1,331,634 353,318 0 Mark Gustafson 49,173,713 519,189 348,086 0 Lynne F. McGrath 48,800,233 890,218 350,537 0 Andrew H. Woo 49,165,224 527,277 348,487 0 Jeffrey Oram 46,688,974 2,996,276 355,738 0”

Alzamend Neuro, Inc. reported third quarter ended January 31, 2023 results: net income $5.4 million, or $0.06 per share.

“Net loss for the three months ended January 31, 2023 was $5.4 million, or $0.06 per share.”

Alzamend Neuro, Inc. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).

“January 30, 2023, Alzamend Neuro, Inc. (the “Company”) received a notice in the form of a letter (“Deficiency Letter”) from the Listing Qualifications Staff of the Nasdaq stating that the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2) because the bid price for the Company’s common stock had closed below $1.00 per share for the previous 30 consecutive business days. In accordance with Nasdaq listing rule 5810(c)(3)(A), the Company has 180 calendar days, or until July 31, 2023, to regain compliance. The Deficiency Letter states that to regain compliance, the bid price for the”

David J. Katzoff was appointed as Chief Financial Officer at Alzamend Neuro, Inc..

“On August 5, 2022, the Company appointed David J. Katzoff, who has been serving as the Company’s Chief Operating Officer, as its new Chief Financial Officer.”

Lien Escalona resigned as Chief Financial Officer at Alzamend Neuro, Inc..

“On August 1, 2022, Lien Escalona resigned as the Chief Financial Officer of Alzamend Neuro, Inc. (the “Company”), effective immediately.”