Each material 8-K filed by a company listed on a US stock exchange (NYSE, Nasdaq, Cboe), read and summarized: what happened, the key numbers, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). This page lists the last 45 days; every brief stays on its company's 8-K page (4787 companies, A–Z).
Netcapital received a Nasdaq letter on November 5, 2026 granting it an exception to regain compliance with the periodic filing rule, after it missed deadlines for its annual report for the fiscal year ended April 30, 2026 and its quarterly report for the quarter ended July 31, 2026. The company must file both reports by February 9, 2027, or Nasdaq will issue a delisting notice, which the company could appeal to a Nasdaq Hearings Panel. The letter has no immediate effect on trading, but the company says there can be no assurance it will meet the deadline.
Nasdaq Staff letter dated November 5, 2026 grants an exception under Listing Rule 5250(c)(1).
Delinquent Form 10-K (fiscal year ended April 30, 2026) and Form 10-Q (quarter ended July 31, 2026) must be filed on or before February 9, 2027.
If the deadline is missed, Nasdaq will provide written notice of delisting, and the company may appeal to a Nasdaq Hearings Panel.
The letter has no immediate effect on the listing or trading of the common stock.
Novocure said it received a Not Approvable Letter from the U.S. Food and Drug Administration for its Premarket Approval application for Optune Mya, which treats adult patients with brain metastases from non-small cell lung cancer after stereotactic radiation. The FDA said uncertainty about the degree of clinical benefit prevented approval, and the company said it has no assurance that further discussions or submissions will lead to approval.
The FDA's Not Approvable Letter cites uncertainty around the degree of clinical benefit provided by Optune Mya.
The FDA did not raise concerns about the device's safety profile.
Novocure plans to meet with the FDA to see whether any options could support approval without additional clinical studies.
The filing gives no timeline for those discussions and no assurance of approval.
Knightscope received a Nasdaq deficiency letter on November 4, 2026, because its Class A Common Stock closed below the $1.00 minimum bid price for 30 consecutive business days. The company has until May 3, 2027 to regain compliance, and the notice has no immediate effect on its listing, which continues under the symbol KSCP.
Nasdaq deficiency letter received November 4, 2026 for closing below $1.00 minimum bid price for 30 consecutive business days
Compliance Date is May 3, 2027, a 180 calendar day compliance period
Regaining compliance requires closing at $1.00 or more for at least ten consecutive business days
If not compliant, the company may qualify for a second 180 calendar day period, possibly through a reverse stock split; otherwise delisting proceedings could begin, with a right to appeal to a Nasdaq Hearings Panel
Curis received a Nasdaq letter on November 2, 2026 stating its stock closed below the $1.00 minimum bid price for 30 consecutive business days, and it is not eligible for a standard compliance period because of its recent reverse stock split. The company intends to request a new hearing, which would stay further delisting actions, but says there is no assurance the appeal will succeed or that its shares will remain listed on Nasdaq.
Nasdaq letter dated November 2, 2026 cites bid price below $1.00 for 30 consecutive business days under Rule 5550(a)(2)
Company effected a 1-for-20 reverse stock split on July 6, 2026, which makes it ineligible for a compliance period
Following a Nasdaq Hearings Panel decision dated July 24, 2026, Curis is subject to a Discretionary Panel Monitor for one year
Company intends to request a new hearing; no assurance of success or continued Nasdaq listing
Nasdaq granted Fifth Era Acquisition Corp I (FERA) an extension to show its Class A Ordinary Shares have at least 400 Total Holders, the minimum for continued listing on the Nasdaq Global Market. If the company does not meet the terms, Nasdaq will issue a delisting notice, and the company may then appeal to a Listing Qualifications Panel, so the listing remains at risk.
Nasdaq notice dated September 14, 2026 cited non-compliance with Listing Rule 5450(a)(2), which requires at least 400 Total Holders
Company submitted its compliance plan to Nasdaq on October 28, 2026
Nasdaq granted an extension on November 5, 2026; documentation is due on or before March 15, 2027
Barfresh Food Group received a Nasdaq letter on November 5, 2026 saying its common stock closed below $1.00 for 30 consecutive business days. The company has until May 4, 2027 to regain compliance, and it also faces a separate market value requirement deadline of February 1, 2027. The notice does not change current trading, but a failure to cure could lead to delisting risk for shareholders.
Nasdaq notice received November 5, 2026 for failing the $1.00 minimum closing bid price for 30 consecutive business days
Compliance requires at least $1.00 closing bid for 10 consecutive business days by May 4, 2027, with a possible extension
Company must meet MVLS of $35,000,000 by February 1, 2027; a reverse split must be completed no later than ten business days before May 4, 2027
Common stock continues to trade on The Nasdaq Capital Market under the symbol BRFH
Pantages Capital Acquisition Corporation received a Nasdaq extension to regain compliance with the minimum 400 Total Holders requirement for its Class A ordinary shares. The company must file proof of at least 400 Total Holders by March 1, 2027, or Nasdaq will provide notice that its securities will be delisted, with a right to appeal to a Listing Qualifications Panel.
Nasdaq notice of non-compliance with Listing Rule 5450(a)(2) was received September 2, 2026
Company submitted its compliance plan to Nasdaq on October 16, 2026
Nasdaq granted an extension on October 27, 2026; deadline to file holder documentation is March 1, 2027
If requirement is not met, Nasdaq will issue a delisting notice; the company may appeal to a Listing Qualifications Panel
Myriad Genetics said it detected unauthorized access to its IT network on November 2, 2026, and temporarily suspended testing operations and order management systems while it investigates. The company said most systems have returned to normal, that it is still assessing whether any patient records were accessed, and that it does not believe the incident will have a material adverse effect on its business.
Unauthorized access detected on November 2, 2026, within the company's IT network environment
Testing operations and order management systems were temporarily suspended; most systems have since returned to normal operations
Whether patient records were accessed is still under investigation; external experts have been engaged
Company states it does not believe the incident will have a material adverse effect on its business
Local Bounti received a notice on November 4, 2026, that the NYSE accepted its request to extend the deadline to regain compliance with the minimum market capitalization standard from November 5, 2026 to August 5, 2027. The company must reach an average global market capitalization of at least $50 million or stockholders' equity of at least $50 million by then, and the NYSE could start delisting proceedings if progress is insufficient, so shareholders face continued listing risk.
NYSE accepted the company's October 20, 2026 request for a nine-month extension.
The compliance deadline moves from November 5, 2026 to August 5, 2027, the maximum 18-month period under NYSE rules.
To regain compliance, the company needs average global market capitalization of at least $50 million over 30 trading days, or stockholders' equity of at least $50 million.
Common stock remains listed on the NYSE during the cure period, subject to quarterly NYSE reviews of progress.
Karyopharm Therapeutics filed for Chapter 11 bankruptcy protection on November 2, 2026, and Nasdaq notified the company on November 4 that its common stock will be delisted. The company will not appeal, and the stock is expected to move to an over-the-counter market under the symbol KPTIQ. The filing says the proposed reorganization plan gives common stock and Series A preferred holders no payment, so existing equity is expected to have no value.
Nasdaq trading in common stock suspends at the opening of business on November 11, 2026.
Common stock expected to trade over the counter under the symbol KPTIQ on or after November 11, 2026.
Joint prepackaged Chapter 11 plan filed November 2, 2026 provides no distribution to common or 0% Series A Convertible Perpetual Preferred Stock holders.
The company expects existing equity securities to have no value and holders to face a complete loss.
Intrusion Inc. received a Nasdaq notice granting it a second 180-day period, until May 3, 2027, to regain compliance with the $1.00 minimum bid price requirement after missing the initial deadline of November 3, 2026. The stock continues to trade on the Nasdaq Capital Market under INTZ, but if the company does not regain compliance, Nasdaq will move toward delisting, and the company may need a reverse stock split.
Nasdaq granted an additional 180 calendar days, until May 3, 2027, to regain the $1.00 minimum bid price requirement.
The company did not regain compliance during the initial 180-day period, which expired November 3, 2026.
To regain compliance, the closing bid price must be at least $1.00 for 10 consecutive business days before May 3, 2027, and any reverse stock split must be completed no later than ten business days before that date.
The company makes no assurance it will regain compliance or successfully appeal any future delisting determination.
Bio Green Med Solution, Inc. filed a Form 8-K dated November 4, 2026, that lists Item 3.01 (Delisting or Listing Rule Notice) and Item 9.01 (Financial Statements and Exhibits). The text provided includes only the Item 9.01 exhibit list and signature block, so the specific exchange, rule, and deadline are not stated in the material reviewed. Because the item concerns a listing notice, shareholders should review the full filing for its terms.
Exhibit 104 is the Cover Page Interactive Data File; the text provided does not state the exchange or compliance deadline
Signed by Datuk Dr. Doris Wong Sing Ee, Chief Executive Officer and Executive Director
Nasdaq has started procedures to delist Cayson Acquisition Corp's securities after the company did not show it met the Minimum Total Holders Rule by its extended October 26, 2026 deadline. The company has appealed the determination to keep its listing and says it expects to provide documentation that could make the matter moot before an appeal hearing is scheduled.
Nasdaq Listing Rule 5450(a)(2) requires at least 400 Total Holders, counting beneficial holders and holders of record.
Nasdaq extended the compliance deadline to October 26, 2026, but the company did not evidence compliance within that period.
Nasdaq notified the company on October 29, 2026 that it has initiated delisting procedures.
The company has appealed, and its appeal right ran through November 5, 2026.
Peapack Private Bank & Trust filed a complaint in New York State Supreme Court, Queens County, demanding repayment of all amounts outstanding under Fly-E Group's revolving credit facility. The lender seeks at least $3.9 million in principal plus interest, fees and possession of the collateral securing the debt, which could weigh on the company's finances and operations.
Complaint filed October 30, 2026, against the company, two subsidiaries as co-borrowers, corporate guarantors and two individual guarantors, including CEO Zhou Ou
Lender seeks at least $3.9 million in outstanding principal, plus accrued interest at a post-forbearance rate of 15.375% per annum, default interest, late charges and attorneys' fees
Credit facility matured August 31, 2025; forbearance agreement, amended May 28, 2026, ran through June 30, 2026; lender demanded collateral on October 20, 2026
The company said it is reviewing the complaint and evaluating its defenses and other available responses
Driven Brands said its Audit Committee found material fixed asset accounting errors in prior financial statements, including fiscal 2023 through 2025 and the first two 2026 quarterly reports, which must be restated and should not be relied upon. The company delayed its third quarter earnings call and will miss the November 5, 2026 deadline for its third quarter Form 10-Q, and it lowered its 2026 Adjusted EBITDA and Adjusted Diluted EPS outlook.
Audit Committee concluded prior financial statements for fiscal years 2023 to 2025 and the 2026 quarterly reports should not be relied upon; errors primarily involve fixed assets.
Third quarter 2026 Form 10-Q will not be filed by the November 5, 2026 due date; share repurchases are temporarily halted until the company is current on reporting.
2026 Adjusted EBITDA outlook cut to $410 million to $430 million from $430 million to $460 million; Adjusted Diluted EPS cut to $1.10 to $1.20 from $1.15 to $1.25.
Restatement-related costs expected to be at least $50 million in 2026; preliminary third quarter same store sales rose 2.0% for Driven Brands and 4.9% for Take 5.
Ribbon Acquisition Corp. received a Nasdaq notice on October 30, 2026, saying its market value of listed securities has been below the $35 million minimum for 30 consecutive business days. The company has until April 28, 2027 to regain compliance, and its RIBB shares continue to trade on the Nasdaq Capital Market for now, but failing to regain compliance could lead to delisting.
Nasdaq notice dated October 30, 2026; MVLS below $35,000,000 from September 18, 2026 through October 29, 2026
Compliance deadline is April 28, 2027; MVLS must close at $35,000,000 or more for at least 10 consecutive business days
Company does not meet Nasdaq's alternative stockholders' equity or net income requirements
Shares continue to trade under RIBB; the company says it will monitor MVLS and evaluate options
Nasdaq's Staff issued a Staff Delisting Determination after House of Doge's stock closed at $0.10 or less for ten consecutive trading days, and trading in the common stock will be suspended at the open on November 3, 2026. The company is evaluating whether to request a hearing before a Nasdaq Hearings Panel, and a timely request will not stay the suspension. For shareholders, the suspension could reduce liquidity and the stock price and may limit the company's ability to raise equity capital.
Trading suspension begins at the opening of business on November 3, 2026, with a Form 25-NSE to be filed with the SEC to remove the securities from Nasdaq.
A hearing request and a non-refundable $20,000 fee must reach Nasdaq by 4:00 p.m. Eastern Time on November 3, 2026.
The Staff Delisting Determination is dated October 27, 2026, based on a closing bid price of $0.10 or less from October 13 through October 26, 2026.
The company had been given until March 8, 2027 to regain the $1.00 minimum bid price and has not regained compliance; it expects to file a proxy for a reverse stock split proposal.
Annovis Bio received a New York Stock Exchange notice on October 29, 2026, that it no longer meets continued listing standards because its 30-day average market capitalization and stockholders' equity were both below $50 million. The company has 9 months to regain compliance, and its common stock will keep trading under the symbol ANVS with a ".BC" designation while it works on a plan.
NYSE notice received October 29, 2026, under Section 802.01B of its Listed Company Manual
30-day average market capitalization was approximately $48.4 million as of October 28, 2026
Stockholders' deficit was approximately $(4.3) million as of June 30, 2026
Company must submit a compliance plan within 45 days of the notice; cure period is 9 months
Alset Inc. received a Nasdaq notice on October 28, 2026, because its closing bid price was below $1.00 for 30 consecutive trading days. The company has until April 26, 2027 to regain compliance, and the notice has no immediate effect on its listing, but failure to comply could lead to delisting proceedings.
Nasdaq notice dated October 28, 2026 cites a closing bid price below $1.00 for 30 consecutive trading days
Compliance deadline is April 26, 2027; regaining it requires a closing bid of at least $1.00 for 10 consecutive business days
The company previously announced a planned 1-for-5 reverse stock split and expects to announce its timing soon
Bridger Aerospace received a Nasdaq deficiency letter on October 28, 2026, because its common stock closed below $1.00 per share for 30 consecutive business days ended October 27, 2026. The letter has no immediate effect, and the stock continues to trade on The Nasdaq Global Market as BAER, but the company must regain compliance or face possible delisting.
Nasdaq letter dated October 28, 2026 cites a minimum bid price of $1.00 per share under Listing Rule 5450(a)(1)
Compliance period runs until April 26, 2027
Regaining compliance requires a closing bid of at least $1.00 for ten consecutive business days, unless Nasdaq extends that period
The company may consider a reverse stock split if necessary; it cannot assure it will regain compliance
Nasdaq's Listing Qualifications Department issued a Staff Delisting Determination because the company's bid price stayed below $1.00 for 30 consecutive business days, and it is not eligible for a compliance period after its cumulative reverse stock splits totaled 1-for-2,000. The company intends to request a hearing before a Nasdaq Panel, which would stay the suspension; otherwise trading is scheduled to be suspended on November 5, 2026. Shareholders also approved raising authorized shares to 850,000,000, with the amendment effective October 30, 2026.
Nasdaq letter dated October 27, 2026 cites a closing bid price below $1.00 from September 15 through October 26, 2026.
Company is not eligible for a 180-day compliance period after 1-for-10 (July 8, 2025), 1-for-20 (May 8, 2026) and 1-for-10 (October 27, 2026) reverse splits.
Hearing request and $20,000 fee must reach Nasdaq by 4:00 p.m. Eastern Time on November 3, 2026, or trading is suspended at the opening on November 5, 2026.
Shareholders approved increasing authorized shares from 350,000,000 to 850,000,000; the proposal received 2,221,561 votes for and 53,946 against.
Actuate Therapeutics received a Nasdaq notice on October 28, 2026, stating its stock closed below the $1.00 minimum bid price for 30 consecutive business days. The company has until April 26, 2027 to regain compliance, and the stock continues to trade on The Nasdaq Global Market as ACTU for now. If it does not regain compliance, the stock could become subject to delisting, which matters to shareholders.
Nasdaq notice received October 28, 2026 under Listing Rule 5450(a)(1)
Compliance deadline is April 26, 2027; stock must close at or above $1.00 for at least 10 consecutive business days
Separate July 15, 2026 notice on minimum market value of listed securities; regain compliance by January 11, 2027
A second 180-day period may be available if the company moves its listing to the Nasdaq Capital Market
Neumora Therapeutics received a Nasdaq notice on October 26, 2026 that its common stock is below the $1.00 minimum bid price required for continued listing on the Nasdaq Global Select Market. The company has 180 calendar days, until April 26, 2027, to regain compliance, and the filing states there can be no assurance it will do so, which raises the risk of future delisting for shareholders.
Nasdaq notice received October 26, 2026 under Listing Rule 5450(a)(1) for the $1.00 minimum bid price
Compliance period runs 180 calendar days, until April 26, 2027
Regaining compliance requires a closing bid of at least $1.00 per share for ten consecutive business days
If not compliant, the company may need to apply to transfer to The Nasdaq Capital Market and may consider a reverse stock split
Game Your Game Inc. (GYGY) received a Nasdaq notice that its stock has traded below the $1.00 minimum bid price for 30 consecutive business days, and it has until April 26, 2027 to regain compliance. The company's shares remain listed on the Nasdaq Capital Market for now, but failure to cure could lead to delisting proceedings.
Nasdaq letter dated October 27, 2026 cites closing bid below $1.00 over 30 business days ending October 26, 2026
Compliance period runs 180 calendar days to April 26, 2027; shares must close at or above $1.00 for 10 consecutive business days
Veronica V. Montenegro appointed to the board effective October 28, 2026, as governance committee chair and audit and compensation committee member
Director pay: $50,000 annual cash retainer, $27,500 additional cash for committee roles, and $77,500 in annual stock option grants
Revolve Group disclosed in an 8-K that unauthorized access to certain of its systems may have exposed names, contact details, payment card numbers and expiration dates for customers who saved payment information on its e-commerce platform. The company says the activity was remediated, there was no operational disruption, and it does not believe the incident will have a material impact on its business.
Unauthorized actor may have obtained, through automated means, customer names, contact information, payment card numbers and card expiration dates for customers who saved payment information.
Incident caused no operational disruption or interruption of service to customers, per the filing.
Company notified federal law enforcement and engaged external cybersecurity experts; it believes the incident will not have a material impact on its business.
Filing is dated October 29, 2026 and was signed by CFO Jesse Timmermans.
On October 23, 2026, Verisk issued a statement after the Delaware Supreme Court affirmed the Delaware Chancery Court judgment relating to its AccuLynx (ExactLogix) acquisition. Verisk said it will proceed in accordance with the order, but the filing states the transaction remains subject to customary closing conditions and FTC review and that there is no guarantee it will be completed.
October 23, 2026: Verisk issued a press release responding to the Delaware Supreme Court order on the ExactLogix (AccuLynx) merger.
The Delaware Supreme Court order affirmed the judgment of the Delaware Chancery Court.
Verisk says the transaction remains subject to customary closing conditions and FTC review, and that there is no guarantee it will be completed.
Propanc Biopharma received a Nasdaq notice on October 23, 2026, saying its common stock no longer meets the $1.00 minimum bid price. Because the company had a reverse stock split in the prior year, it is not eligible for a standard compliance period, and Nasdaq says the stock will be delisted on November 2, 2026 unless the company appeals by October 30, 2026. The company intends to appeal, which would stay the delisting, and says it has since cured the deficiency; a delisting would hurt the stock's liquidity and its ability to raise capital.
Nasdaq notice dated October 23, 2026 cites non-compliance with the $1.00 minimum bid price under Listing Rule 5550(a)(2)
Stock was below $1.00 based on closing bid prices for the 30 consecutive business days before October 21, 2026
Scheduled delisting from The Nasdaq Capital Market on November 2, 2026, unless an appeal to a hearings panel is requested by October 30, 2026
Company intends to request the appeal, which would keep the stock listed until the Panel decides
Enanta Pharmaceuticals said the Unified Patent Court of the European Union ruled on October 29, 2026 that its European Patent No. EP 4 051 265 is invalid and that its infringement action against Pfizer was unfounded. The ruling ends Enanta's infringement claim over Pfizer's Paxlovid sales in the 18 participating EU member states, which the filing does not quantify.
Court decision released October 29, 2026, following a hearing held September 29, 2026
UPC concluded the '265 Patent is invalid, responding to Pfizer's counterclaim for revocation
Court also found the infringement action unfounded in light of the validity decision
Filing does not state any financial impact, damages, or next steps
On October 23, 2026, Milestone Pharmaceuticals received a Nasdaq notice that its common shares fell below the $1.00 minimum bid price for 30 consecutive business days. The company has until April 21, 2027 to regain compliance, and Nasdaq says the notice has no present impact on the listing, though failure to comply could lead to delisting.
Nasdaq notice dated October 23, 2026 cites Listing Rule 5450(a)(1) for the $1.00 minimum bid price.
Compliance period runs 180 calendar days, until April 21, 2027, requiring a closing bid of $1.00 or more for at least 10 consecutive business days.
If not compliant, the company may seek a transfer to the Nasdaq Capital Market, which requires a $5,000 application fee, or pursue a reverse stock split.
The filing states there can be no assurance the shares will remain listed.
NextNRG received a Nasdaq notice that its market value of listed securities stayed below the $35,000,000 minimum for 30 consecutive business days, and it does not meet the alternative equity or net income standards. The notice has no immediate effect on trading, and the company has until April 19, 2027 to regain compliance, but a separate delisting determination is under appeal before a Nasdaq Hearings Panel with no decision yet issued.
Nasdaq notice dated October 21, 2026 cites MVLS below $35,000,000 from September 9, 2026 through October 20, 2026.
Compliance deadline is April 19, 2027, under a 180-day period.
Company is appealing a September 15, 2026 delisting determination; hearing held October 22, 2026, and the Panel's written decision is pending.
Company effected a one-for-ten reverse split effective September 14, 2026.
Advasa Holdings received a Nasdaq notice on October 21, 2026, saying its common stock had closed below the $1.00 per share minimum bid price for 30 consecutive business days. The company has until April 19, 2027 to regain compliance, which requires meeting the standard for at least 10 consecutive business days, and the filing says it may transfer to the Nasdaq Capital Market or face delisting if it does not. The notice has no immediate effect, and the stock continues to trade as ADBT on the Nasdaq Global Market.
Nasdaq notice received October 21, 2026, under Listing Rule 5450(a)(1)
Stock must meet the $1.00 minimum bid price for 10 consecutive business days before April 19, 2027 to regain compliance
If not compliant by April 19, 2027, the company may transfer to the Nasdaq Capital Market or receive a delisting notice that it could appeal
Common stock continues trading as ADBT on the Nasdaq Global Market for now
Dollar General disclosed that the FTC and various states filed a lawsuit against it on October 26, 2026, in federal court in Tennessee, alleging violations of the FTC Act, the Gramm-Leach-Bliley Act and state consumer protection laws. The FTC had also demanded significant monetary relief, and the company says it intends to defend the case but cannot assure a successful outcome, which could have a material adverse effect on its consolidated financial statements.
FTC and states filed suit October 26, 2026, in the U.S. District Court for the Middle District of Tennessee
Plaintiffs seek injunctive relief, monetary judgment and civil penalties; the filing does not state an amount
Draft complaint and draft settlement order were received September 23, 2026, after a Civil Investigative Demand dated January 30, 2026
Company says it will vigorously defend the matter and that defense could involve significant costs
Nasdaq granted Zeo Energy Corp. an additional 180 calendar days to regain compliance with the $1.00 minimum bid price rule for its Class A common stock. The company's stock listing and trading on the Nasdaq Capital Market are not immediately affected, but the company says there is no assurance it will regain compliance.
Nasdaq letter dated October 22, 2026 extends the compliance deadline to April 19, 2027.
The original 180-day compliance period was set to end October 20, 2026, after Nasdaq's April 23, 2026 notice.
The minimum closing bid price required is $1.00 per share for Class A common stock.
The company intends to monitor its bid price and consider options to regain compliance.
Phathom Pharmaceuticals said the FDA has opened a public docket to seek comment on legal and regulatory questions tied to a challenge by generic filer BDR Pharmaceuticals over VOQUEZNA's exclusivity. The challenge follows FDA's June 6, 2025 decision that VOQUEZNA has 10 years of NCE exclusivity through May 3, 2032. If the challenge succeeds, exclusivity could be shortened and competing generic applications could be approved earlier than expected.
FDA docket No. FDA-2026-N-13038; comments due November 23, 2026
FDA's June 6, 2025 decision granted Phathom's Citizen Petition, recognizing NCE exclusivity through May 3, 2032
A second purported ANDA filer, Saba Ilac Sanayii Ve Ticaret AS, says it has a related case and plans to seek consolidation with BDR's case
Phathom believes the exclusivity remains in effect and will say so in its FDA comments and in court
Innventure, Inc. received a Nasdaq letter stating its common stock closed below the $1.00 minimum bid price for thirty consecutive business days ended October 22, 2026. The company has until April 21, 2027 to regain compliance, and the letter does not trigger immediate delisting, but there is no assurance the company will regain compliance or secure an additional compliance period.
Nasdaq notice dated October 23, 2026 cites the $1.00 minimum bid price requirement under Listing Rule 5450(a)(1).
Initial Compliance Period runs 180 calendar days, until April 21, 2027, requiring a closing bid of at least $1.00 for ten consecutive business days.
If not regained, the company may receive an additional 180 days by transferring its listing from the Nasdaq Global Market to the Nasdaq Capital Market and meeting other requirements.
The company states it is making diligent efforts to maintain its listing.
Generic drugmaker BDR Pharmaceuticals has sued the FDA in federal court in Washington, D.C., challenging how the agency applied the GAIN Act to extend Phathom's new chemical entity exclusivity for VOQUEZNA tablets. If BDR succeeds, the exclusivity period could be shortened and generic versions could be approved earlier than Phathom currently expects.
BDR filed suit against the FDA in the U.S. District Court for the District of Columbia.
FDA recognized 10 years of NCE exclusivity for VOQUEZNA tablets through May 3, 2032, in a June 6, 2025 decision on Phathom's December 11, 2024 Citizen Petition.
Phathom says it is evaluating the filings and intends to take appropriate action to protect its statutory exclusivities.
ARC Group Securities Acquisition I received a Nasdaq notice on October 20, 2026, saying its outstanding warrants no longer meet the $1 million minimum aggregate market value requirement. The notice is a deficiency warning, not an imminent delisting, and it has no current effect on trading of the warrants; the company plans to submit a compliance plan.
Nasdaq notice dated October 20, 2026; warrants fell below the $1 million aggregate market value minimum under Listing Rule 5452(b)(C)
Compliance plan due to Nasdaq by December 4, 2026
If the plan is accepted, Nasdaq may extend the compliance period to April 18, 2027
Notice affects only the warrants, not other securities, and does not currently affect their listing or trading
Dragonfly Energy Holdings received a Nasdaq extension, granted October 22, 2026, to regain compliance with the minimum stockholders' equity requirement, which its June 30, 2026 10-Q showed as a $(184,000) deficit against a $2.5 million minimum. The company must file a public report evidencing compliance by December 31, 2026, and failing that could face delisting, with a right to appeal to a Nasdaq hearings panel.
Stockholders' equity deficit of $(184,000) as of June 30, 2026, versus a $2.5 million minimum
Company submitted a compliance plan to Nasdaq staff on October 5, 2026
Nasdaq extension runs through December 31, 2026; compliance report is due on or before that date
If compliance is not evidenced, staff will issue written notice of delisting and the company may appeal
Century Casinos received a Nasdaq deficiency notice on October 19, 2026, because its common stock did not maintain the minimum market value of listed securities of $35 million for 30 consecutive business days. The company has until April 19, 2027 to regain compliance, and the notice has no immediate effect on its listing, but if it does not comply by then, Nasdaq will notify it that the stock is subject to delisting.
Notice received October 19, 2026 under Nasdaq Listing Rule 5550(b)(2) for the $35 million minimum market value of listed securities
Compliance Date is April 19, 2027, 180 calendar days after the notice
To regain compliance, market value must close at $35 million or more for at least 10 consecutive business days before the Compliance Date
Alternative standards are stockholders' equity of at least $2.5 million or net income from continuing operations of $500,000
Laser Photonics received a Nasdaq letter on October 20, 2026, saying its common stock closed below $1.00 per share for the last 30 consecutive business days. The notice has no immediate effect, and the stock continues to trade on The Nasdaq Capital Market as LASE, but the company has until April 19, 2027 to regain compliance or face possible delisting.
Closing bid price below $1.00 for the last 30 consecutive business days
Compliance period runs 180 calendar days to April 19, 2027
Regaining compliance requires a closing bid of at least $1.00 for a minimum of 10 consecutive business days; the company may be eligible for a second 180-day period
Stem, Inc. received a non-compliance letter from the New York Stock Exchange on October 20, 2026, confirming it does not meet the NYSE requirement for average market capitalization and stockholders' equity of at least $50 million each. The company plans to submit a business plan to regain compliance within 18 months, and its common stock will continue trading on the NYSE during the cure period if the plan is accepted.
NYSE non-compliance letter received October 20, 2026; company notified NYSE October 19, 2026
Standard requires average market capitalization of at least $50 million over 30 trading days and stockholders' equity of at least $50 million
Business plan due within 45 days of receipt of the letter, with a target of regaining compliance within 18 months
Stock remains listed on the NYSE during the cure period, subject to NYSE acceptance of the plan and quarterly monitoring
Akebia Therapeutics received a Nasdaq deficiency letter on October 21, 2026, because its common stock closed below $1.00 for 30 consecutive business days. The notice has no immediate effect on the listing, and the company has until April 19, 2027 to regain compliance, but it may face delisting if it does not.
Nasdaq notice received October 21, 2026 for closing bid price below $1.00 over 30 consecutive business days
Initial compliance period runs 180 calendar days, until April 19, 2027
Regaining compliance requires at least $1.00 closing bid for 10 consecutive business days; a second 180-day period may be possible
Company says it may consider a reverse stock split, but cannot assure it will regain compliance
Lunai Bioworks received a Nasdaq determination that it no longer meets the $2,500,000 minimum stockholders' equity requirement, citing a stockholders' deficit of $(9,024,946). The company's board approved voluntary withdrawal of its common stock from Nasdaq and from registration under the Exchange Act, and it will not request a hearing. Trading on Nasdaq is expected to be suspended on October 30, 2026, and shareholders may have no over-the-counter quotation or trading market after that.
Stockholders' deficit of $(9,024,946) in the fiscal year ended June 30, 2026 10-K, versus the $2,500,000 minimum
Nasdaq trading expected to be suspended at the opening of business on October 30, 2026, unless a hearing is requested by October 28, 2026; the company does not intend to request one
Form 25 expected on or about November 2, 2026, with delisting effective on or about November 12, 2026
Chief Financial Officer Nathen Fuentes resigned effective October 22, 2026, with no successor appointed; the company does not intend to quote its stock over the counter
Atlantic American Corporation received a Nasdaq Staff Delisting Determination on October 16, 2026, because it had not filed its 2025 Form 10-K and two 2026 Forms 10-Q by the October 12, 2026 deadline. The company filed the 2025 10-K on October 16 and plans to request a Nasdaq Hearings Panel appeal by October 23, 2026, which would temporarily stay suspension of its stock.
Nasdaq Staff Determination received October 16, 2026 under Listing Rule 5250(c)(1)
2025 Form 10-K filed October 16, 2026; 10-Qs for quarters ended March 31 and June 30, 2026 remain unfiled
Hearing request due by October 23, 2026; hearings typically 30 to 45 days after request
Request automatically stays suspension for 15 days; no assurance of an extended stay
Nasdaq notified Globa Terra Acquisition Corp on October 16, 2026, that it has not completed a business combination within the required timeframe, and has begun procedures to delist its securities. The company intends to request a hearing before a Nasdaq Hearing Panel, which would keep its shares listed while the appeal is pending, but there is no assurance the appeal will succeed.
Nasdaq Staff Determination received October 16, 2026, citing failure to complete a business combination within the required timeframe under IM-5101-2(b)
Hearing request deadline is 4:00 p.m. Eastern Time on October 23, 2026
If no hearing is requested, trading suspension begins at the opening of business on October 27, 2026
The company is seeking a shareholder extension of its deadline to July 9, 2027
Quest Diagnostics said on October 21, 2026 it learned of unauthorized access to its Quanum LSM system, which clients use to place test orders and look up results. The company believes an unauthorized party accessed certain patient records, and the full scope is still under investigation. The company said the incident has not materially disrupted its business operations or its ability to serve patients.
Unauthorized access to Quanum LSM system discovered October 21, 2026
Company believes certain patient records were accessed; full scope under investigation
Federal law enforcement notified and external cybersecurity experts engaged
Company states business operations and patient service not materially disrupted
On October 14, 2026, SEGG Media received a Nasdaq Staff Determination because it had not filed its Form 10-Q for the quarter ended June 30, 2026. Absent a hearing request, trading in its common stock and warrants would be suspended on October 23, 2026, and Nasdaq would start the process to remove the securities from listing. The company has requested a hearing and an extended stay, but the filing says there is no assurance either will be granted.
The Q2 Form 10-Q for the quarter ended June 30, 2026 is the one remaining delinquent report; the company says it expects to file it as soon as practicable.
Suspension is scheduled for October 23, 2026, unless the company requested a hearing by 4:00 p.m. Eastern Time on October 21, 2026.
The hearing request stays suspension for 15 days, and the company will ask the Nasdaq Hearings Panel to extend the stay through the hearing and its written decision.
Safe Harbor Financial (SHF Holdings, Inc., Nasdaq: SHFS) received a Nasdaq letter granting an additional 180 calendar days, until April 19, 2027, to regain compliance with the $1.00 minimum bid price requirement. The company's shares will continue to trade on The Nasdaq Capital Market, but if it does not regain compliance by that date, Nasdaq will provide written notice of delisting, and the company may appeal to a Nasdaq Hearings Panel.
Nasdaq's extension follows an initial compliance period that ran through October 19, 2026; Nasdaq first notified the company on April 22, 2026.
Regaining compliance requires a closing bid price of at least $1.00 per share for 10 consecutive business days.
The company intends to monitor its share price and may effect a reverse stock split if necessary.
The company states there can be no assurance that it will regain or maintain compliance with Nasdaq listing standards.
Onity Group filed a declaratory judgment action on October 20, 2026, in the U.S. District Court for the Northern District of New York. The company asks the court to clarify how a New York mortgage servicing regulation applies to optional expedited payment fees, arguing that a key phrase has never been defined. The filing also notes ongoing information requests from regulators and discussions with New York regulators about the company's fee practices, which adds legal and regulatory uncertainty for shareholders.
Action filed October 20, 2026, in the U.S. District Court for the Northern District of New York
Company says the regulation's phrase "reasonably related to the cost of rendering that service" is undefined in nearly seven years since adoption
Onity says it has voluntarily reduced these fees and eliminated them for online and automated phone payments
Company is presently engaged in discussions with New York regulators, which were previously disclosed as ongoing information requests
XWELL, Inc. received a Nasdaq notice on October 7, 2026, saying its stock closed below the $1.00 minimum bid price for 30 consecutive business days. The company has 180 calendar days, until April 5, 2027, to regain compliance, and its common stock continues to trade on the Nasdaq Capital Market under XWEL. The notice has no immediate effect on trading, but shareholders face a risk of delisting if compliance is not regained.
Notice dated October 7, 2026, based on closing bid prices from August 25, 2026 through October 6, 2026
Nasdaq minimum bid price requirement is $1.00 per share; compliance deadline is April 5, 2027
Stock must close at or above $1.00 for at least ten consecutive business days to regain compliance
A closing bid price of $0.10 or less for ten consecutive trading days would trigger a Staff Delisting Determination
Curanex Pharmaceuticals disclosed two putative securities class actions in New York state court tied to its August 2025 initial public offering. The suits allege material misstatements and omissions in the IPO registration statement and prospectuses, including risks of stock-price manipulation and underwriter due diligence failures; the Company says it intends to defend them vigorously. The cases are at a preliminary stage and seek unspecified damages, so shareholders cannot yet assess the potential financial effect.
Morales action filed July 23, 2026 (Index No. 159271/2026), naming the Company and its underwriters among more than 20 other defendants
Lovett action filed September 14, 2026 (Index No. 655238/2026), also naming the Company's former CFO, directors and independent auditor
Both complaints seek unspecified compensatory damages and rescission or rescissory damages; neither asserts a fraud claim against the Company
Response deadlines: November 15, 2026 for Morales and December 11, 2026 for Lovett
Rekor Systems filed a complaint on October 16, 2026, in the Delaware Court of Chancery against former director Viraj Mehta, alleging breach of his fiduciary duty of loyalty in connection with the company's December 2025 financing. The company seeks damages, disgorgement and restitution of director compensation, but the allegations have not been adjudicated and the company cannot predict the outcome.
Complaint filed October 16, 2026; the Board authorized the action and the company announced it on October 19, 2026.
Complaint alleges Mehta failed to disclose material facts and misrepresented his familiarity with the buyer in the December 2025 financing, which included 8,571,428 seven-year warrants.
Relief sought includes compensatory damages, disgorgement, restitution of director compensation and other relief.
The filing states Rekor faces a $15 million Revenue Notes maturity on December 15, 2026, which it cannot meet without refinancing, restructuring or new capital.
Apogee Acquisition Corp said errors in its June 30, 2026 quarterly report require a restatement of the financial statements, which should no longer be relied upon, with Amendment No. 1 to be filed October 16, 2026. The company also disclosed that director Anna Brunelle and COO Tom Watson have resigned, which affects board and officer staffing.
Errors involve the portion of private placement unit proceeds contributed to the trust account, plus the number of private placement units, Class A shares subject to redemption, and warrants.
Audit committee concluded on October 14, 2026 that the Q2 10-Q should be restated and no longer relied upon.
Anna Brunelle resigned from the Board, audit committee and compensation committee, effective October 13, 2026.
Tom Watson resigned as Chief Operating Officer, effective October 14, 2026; Christopher Valentine was appointed to the audit committee.
GoPro said its previously issued financial statements for fiscal 2025, the third quarter of 2025, and the first two quarters of 2026 should no longer be relied upon because of errors in accounting for debt instruments, including warrants issued to Mateo Financing and convertible debentures issued to YA II PN. The company identified a material weakness in internal control over financial reporting and plans to file restated amended reports. The filing says revenue, gross margin, operating loss, cash, and operating cash flows were not affected, but net loss was.
Audit Committee concluded on October 9, 2026 that the 2025 audited statements, the Q3 2025 statements, and the 2026 quarterly statements are materially misstated and should not be relied upon.
Warrant liability was understated, and long-term debt overstated, by $8.1 million at initial measurement on August 4, 2025.
Convertible debenture embedded conversion derivative of $30.9 million was initially recorded incorrectly, with the errors affecting interest expense and other income (expense).
Restated filings planned include a 2025 10-K/A, a Q1 2026 10-Q/A, and a Q2 2026 10-Q/A, with management's internal control report for 2025 also to be updated.
Bridgeline Digital received a Nasdaq letter stating its common stock has not maintained the $1.00 minimum bid price for 30 consecutive business days ended October 13, 2026. The company has until April 12, 2027 to regain compliance by closing at or above $1.00 for at least ten consecutive business days, and the letter does not trigger immediate delisting. Shareholders should note that failure to regain compliance could lead to further Nasdaq action.
Nasdaq letter received October 14, 2026, citing Listing Rule 5550(a)(2) minimum bid price of $1.00 per share
Compliance deadline is April 12, 2027, a 180-calendar-day Initial Compliance Period
Company may be eligible for an additional 180-calendar-day period if it meets other listing standards and gives written notice of intent to cure
Letter does not result in immediate delisting from The Nasdaq Capital Market
Canopy Growth received a Nasdaq letter dated October 14, 2026, saying its common shares have traded below $1.00 for 30 consecutive business days. The Letter has no immediate effect on the Nasdaq listing, and the company has until April 12, 2027 to regain compliance, with a possible reverse stock split proposed to shareholders at an October 23, 2026 reconvened meeting.
Nasdaq Letter dated October 14, 2026 cites Listing Rule 5450(a)(1) minimum bid price requirement of $1.00 per share
Compliance period runs 180 calendar days to April 12, 2027; shares must close at or above $1.00 for at least ten consecutive business days
Share Consolidation Proposal would allow a ratio of one new share for every five to 15 old shares, set by the board, before October 23, 2027
Annual Meeting reconvenes Friday, October 23, 2026 after a lack of quorum on September 25, 2026; the company states no assurance of approval or price increase
Lucid Diagnostics received a Nasdaq notice on October 12, 2026, saying its common stock closed below the $1 minimum bid price for 30 consecutive business days through October 9, 2026. The company has until April 12, 2027 to regain compliance, and Nasdaq says the listing is not affected at this time, so shareholders can keep trading the stock under LUCD.
Nasdaq notice dated October 12, 2026 cites a closing bid price below $1 for 30 consecutive business days through October 9, 2026
Compliance period runs 180 calendar days, until April 12, 2027, and requires at least $1 for ten consecutive business days
Nasdaq says the notice has no effect on the listing now; common stock continues to trade as LUCD
Health In Tech received two Nasdaq letters: one because it is not compliant with independent director and audit committee requirements after a director resigned, and one because its Class A shares closed below $1.00 for 30 consecutive business days. Neither letter has an immediate effect on the listing or trading of the stock, but the company faces cure deadlines and could face delisting if it fails to meet them.
Nasdaq letter dated October 14, 2026 cites non-compliance with independent director and audit committee rules after Sanjay Shrestha resigned on August 10, 2026; the Audit Committee has two members, and the company expects a new independent
Cure period for the board and audit committee rules ends at the earlier of the next annual meeting or August 10, 2027; the company must show compliance by February 8, 2027 if that meeting is held before then
Nasdaq letter dated October 12, 2026 cites a closing bid price below $1.00 for 30 consecutive business days; the company has until April 12, 2027 to regain compliance, which could require a reverse stock split
eHealth received a Nasdaq notice that its common stock closed below the $1.00 minimum bid price for 30 consecutive business days. The notice has no immediate effect, and the stock continues to trade on the Nasdaq Global Select Market under EHTH, but the company must regain compliance by April 12, 2027, or face possible delisting.
Notice received October 14, 2026, under Nasdaq Listing Rule 5450(a)(1)
Compliance period runs 180 calendar days, through April 12, 2027
Stock must close at or above $1.00 for at least 10 consecutive business days to regain compliance
Company may seek stockholder approval for a reverse stock split and says there is no assurance it will regain compliance
Callan JMB Inc. received a Nasdaq Staff determination on October 12, 2026 that it did not meet the terms of an extension to regain compliance with the $2,500,000 minimum stockholders' equity requirement, because it could not complete its capital raising initiatives. The company requested a hearing before a Nasdaq Hearings Panel on October 14, 2026, which stays the planned trading suspension, but the company says there is no assurance the Panel will grant continued listing.
Nasdaq Listing Rule 5550(b)(1) requires at least $2,500,000 in stockholders' equity for continued listing on The Nasdaq Capital Market.
Absent an appeal, trading in the common stock would have been suspended at the opening of business on October 21, 2026, and a Form 25-NSE would have been filed.
The company requested a hearing before a Nasdaq Hearings Panel on October 14, 2026, which stays the suspension and the Form 25-NSE pending the Panel's decision.
The filing states the Panel may not grant continued listing and the company may not regain compliance.
Aether Holdings, Inc. received a Nasdaq notice on October 12, 2026, saying it no longer complies with Nasdaq Listing Rule 5620(a) because it did not hold an annual shareholder meeting within 12 months after its fiscal year ended September 30, 2025. Nasdaq said the notice has no immediate effect on the listing or trading of the company's common stock, but the company must submit a compliance plan by November 27, 2026, and the company says it intends to hold an annual meeting.
Nasdaq notice dated October 12, 2026, citing Listing Rule 5620(a) for failure to hold an annual meeting within 12 months after the fiscal year ended September 30, 2025
Nasdaq says the notice has no immediate effect on the listing or trading of the common stock
Compliance plan due by November 27, 2026 under Listing Rule 5810(c)(2)(G)
If Nasdaq accepts the plan, it may grant an exception until March 29, 2027; the company states there is no assurance of acceptance or compliance
Cyngn Inc. received a Nasdaq letter on October 14, 2026, saying its stock closed below $1.00 for 30 consecutive business days, so it no longer meets Nasdaq's minimum bid price requirement. The notice has no immediate effect on the listing, and the company has 180 calendar days, until April 12, 2027, to regain compliance. Shareholders face the risk of delisting if the company cannot regain compliance, and the company states there is no assurance it will do so.
Nasdaq notice dated October 14, 2026 cites closing bid price below $1.00 for 30 consecutive business days
Compliance deadline is April 12, 2027; compliance requires a closing bid of at least $1.00 for 10 consecutive business days
If not compliant by April 12, 2027, the company may be eligible for an additional 180 days, potentially requiring a reverse stock split
Company states there can be no assurance it will regain or maintain compliance
Innovative Eyewear, Inc. (LUCY) received a Nasdaq notice on October 9, 2026, saying its common stock closed below $1.00 for 30 consecutive business days, so it is not meeting the minimum bid price rule. The notice has no immediate effect on the stock's listing, but the company has until April 7, 2027 to regain compliance, and failure could lead to delisting proceedings.
Nasdaq notice dated October 9, 2026; stock closed below $1.00 for 30 consecutive business days
Company has 180 calendar days, until April 7, 2027, to regain compliance
Regaining compliance requires a closing bid of at least $1.00 for 10 consecutive business days
Company may seek a second 180-day period or request a Nasdaq Hearings Panel review; no assurance either will be granted
Plum Acquisition Corp. IV received a Nasdaq notice on October 7, 2026, saying it did not meet the 400 total holders requirement for continued listing on the Nasdaq Global Market. Nasdaq states the notice has no immediate effect on the listing or trading of the company's securities, but the company must submit a compliance plan and may be granted up to 180 days to regain compliance.
Nasdaq Listing Rule 5450(a)(2) requires at least 400 total holders; the company was found not in compliance.
The company has 45 calendar days to submit a plan to regain compliance.
If Nasdaq accepts the plan, an extension of up to 180 calendar days from the notice date may be granted.
The filing says there is no assurance the company will regain compliance.
AMASS Brands received a Nasdaq notice on October 9, 2026, saying its common stock closed below $1.00 for 30 consecutive business days and it is out of compliance with the minimum bid price rule. The notice has no immediate effect on the listing, but if the stock does not regain compliance, the company faces possible delisting, and shareholders should note the separate market value deadline of January 19, 2027.
Bid price closed below $1.00 for 30 consecutive business days, from August 26, 2026 to October 8, 2026
Nasdaq notice received October 9, 2026; grace period to regain compliance runs through April 7, 2027
Compliance requires a closing bid price of at least $1.00 for at least ten consecutive business days
Separate Nasdaq notice of July 22, 2026 on market value requirements has a compliance deadline of January 19, 2027
Equus Total Return, Inc. was notified by the NYSE on October 6, 2026, that its common stock fell below the $1.00 minimum average closing price over 30 consecutive trading days. The notice is a deficiency notice, not a delisting, and the stock continues to trade on the NYSE for now. Shareholders should note the company plans to cure the deficiency within a six-month period, with a reverse stock split among the options it is considering.
NYSE notice dated October 6, 2026 cites Section 802.01C: average closing price below $1.00 over 30 consecutive trading days
Company plans to notify the NYSE by October 20, 2026 of its intent to cure the deficiency
Cure period is six months from receipt of the notice; a reverse stock split is among the alternatives under consideration
Common stock continues to trade on the NYSE; the company said the notice does not affect its operations or SEC reporting
Park Dental Partners disclosed that unauthorized access to its network in August 2026 led to data being acquired, including patients' protected health information, and it is completing notifications under state and federal law. Four putative class actions have been filed in Minnesota state court, and the company says it has not identified any material impact on its financial condition or results to date.
Unauthorized network access identified on August 28, 2026; law enforcement notified
Four putative class actions filed in Ramsey County, Minnesota; first filed September 3, 2026
Plaintiffs moved on October 7, 2026 to consolidate the actions and appoint interim lead class counsel
No material impact on financial condition or results identified to date, including expected legal and advisor costs
Newton Golf Company received a Nasdaq Staff determination on October 6, 2026, that it has not shown compliance with the $2,500,000 minimum stockholders' equity requirement for continued listing. Unless the company requests an appeal by October 13, 2026, its common stock will be suspended at the opening of business on October 15, 2026, and delisted from Nasdaq.
Nasdaq Staff determination dated October 6, 2026 cites the $2,500,000 stockholders' equity minimum under Listing Rule 5550(b)(1)
Appeal request deadline is October 13, 2026; without it, trading suspension begins October 15, 2026
Company intends to request a hearing before a Nasdaq Hearings Panel, which would stay the suspension and delisting pending the Panel's decision
The filing states there is no assurance the Panel will grant continued listing
On October 9, 2026, a federal court temporarily barred Corteva and EIDP from paying dividends or repurchasing shares, and from disposing of assets outside the ordinary course of business, in litigation filed by 15 states and one sovereign over the Corteva and Vylor separation. On October 10 the court stayed the order at the companies' request, and the companies have appealed to the Seventh Circuit, where the motion for a stay pending appeal remains pending. Shareholders face uncertainty over dividends and buybacks while the appeal is pending, and the filing states the separation itself was not affected.
Litigation commenced October 1, 2026 in the U.S. District Court for the Southern District of Indiana by 15 states and one sovereign
Temporary restraining order issued October 9, 2026 would have barred dividends and share repurchases absent a court order
On October 10, 2026 the court stayed the order; the companies filed an appeal and motion with the Seventh Circuit, both still pending
The separation of Corteva and Vylor was completed October 1, 2026, and the filing says the order does not affect it
ClearOne received a Nasdaq Staff determination on October 8, 2026 that it had not met the $2,500,000 minimum stockholders' equity requirement and will be delisted from The Nasdaq Capital Market. The company plans to request a hearing before a Nasdaq Hearings Panel by October 15, 2026, which would automatically stay the delisting, but trading is set to be suspended October 19, 2026 if no hearing is requested.
Nasdaq Staff determination letter received October 8, 2026
Stockholders' equity below the $2,500,000 minimum under Nasdaq Listing Rule 5550(b)(1)
Company intends to request a Panel hearing by October 15, 2026; trading suspension at the opening of business October 19, 2026 if not timely requested
Nasdaq compliance exception ran until October 5, 2026; the company says there is no assurance it will regain compliance or keep its listing
Streamex Corp. received a Nasdaq notice on October 7, 2026, saying its stock has not met the $1.00 minimum bid price for 30 consecutive business days. The company has until April 5, 2027 to regain compliance, and its shares continue to trade on the Nasdaq Capital Market under STEX for now. The notice does not change the listing today, but it signals that the stock has traded below the required level and could lead to delisting if the company fails to comply.
Nasdaq notice dated October 7, 2026, covers closing bid prices from August 25, 2026 through October 6, 2026
Compliance period runs 180 calendar days, until April 5, 2027, to regain the $1.00 minimum bid price
A possible reverse stock split would need to be completed no later than ten business days before April 5, 2027
Company may be eligible for an additional 180-day period, and the filing says there is no assurance it will regain compliance
Factorial Energy Inc. disclosed that an arbitrator issued a final award on October 7, 2026, in favor of a vendor in a contractual dispute, requiring the company to pay a net amount of approximately $4.5 million. The dispute was previously disclosed in the company's quarterly report for the quarter ended June 30, 2026, and the filing does not state how the payment will be funded or how it affects the company's financial results.
Final arbitration award issued October 7, 2026 by the International Centre for Dispute Resolution
Company must pay a net amount of approximately $4.5 million to the vendor
Arbitration began March 14, 2025 over a contractual dispute with a vendor
Dispute was previously disclosed in the Form 10-Q filed August 11, 2026
Lunai Bioworks asked Nasdaq on October 9, 2026 to immediately suspend trading in its stock, citing trading records from its pending Delaware litigation that it says raise serious questions about whether trading has occurred in a fair and orderly market. Nasdaq has not decided, and the request itself does not halt trading, so shareholders face uncertainty about whether trading will continue.
Request submitted to Nasdaq on October 9, 2026, asking for an immediate trading suspension while Nasdaq, FINRA and other authorities review trading records
Records cited include substantial short selling, locate deficiencies and concentrated failures to deliver, based on court-ordered discovery in Lunai Bioworks, Inc. v. Seven Points Capital LLC et al.
As of the filing, Nasdaq had not responded, and the company cannot predict if or when it will act; allegations have not been adjudicated
IT Tech Packaging, Inc. is not in compliance with NYSE American continued listing standards because it has not filed its 2025 Form 10-K or its Form 10-Qs for the quarters ended March 31 and June 30, 2026 on time. NYSE Regulation accepted the company's extension request and set a plan period through April 15, 2027, so the stock remains listed for now. If the company misses the deadline or does not make progress under the plan, the exchange will start delisting proceedings, which would put shareholders' listing at risk.
Delayed filings: Form 10-K for the year ended December 31, 2025, and Forms 10-Q for the quarters ended March 31, 2026 and June 30, 2026.
Extension request submitted October 1, 2026; NYSE Regulation accepted it in a letter received October 7, 2026.
New cure deadline is April 15, 2027; failure to complete the filings or make progress could lead to delisting proceedings.
Stock continues trading on NYSE American with a late filer (.LF) indicator; the company expects to file on time but states there is no assurance.
SEGG said sworn deposition testimony and a later internal inquiry showed that 2020 and 2021 transactions tied to its former Lottery.com and AutoLotto management were circular and overstated revenue and the Global Gaming acquisition cost. The company will correct its 2023, 2024 and 2025 annual and quarterly financials, which reduces previously reported losses and goodwill, and says its 2021 and 2022 reports should no longer be relied upon.
A $9,000,000 transaction with Datassure was recorded as revenue and cash in December 2020; the Global Gaming acquisition cost was overstated to $10,572,674 in June 2021.
Restated 2023 net loss attributable to SEGG is $(22,652,139), down from $(25,563,699) as previously reported; restated 2024 is $(24,749,831), down from $(28,221,605).
Restated 2025 net loss attributable to SEGG is $(19,687,362), compared with $(20,303,608) previously reported.
Former CEO Vadim Komissarov was sentenced to three years in prison on June 24, 2026; two former executives pleaded guilty on May 22, 2025 and await sentencing.
An ICC arbitration tribunal ruled 2-1 in a partial final award that Venture Global's VGCP unit breached its obligation to timely declare commercial operation of the Calcasieu Project under its SPA with Galp. Remedies will be set in a damages hearing not yet scheduled, expected in 2027 or 2028, and the final award will be capped at $170 million, which the company says does not change ongoing deliveries.
Tribunal found VGCP breached its obligation to declare COD on time; one of three arbitrators dissented.
Final award expected after a damages hearing anticipated in 2027 or 2028; final award subject to a $170 million seller aggregate liability cap.
Company says it is disappointed, is evaluating all options, and notes 20 cargos delivered to Galp since COD on April 15, 2025.
American Resources Corporation received a Nasdaq letter granting an additional exception through November 16, 2026 to file its delinquent quarterly reports for the periods ended March 31 and June 30, 2026. The company says it is working to file both reports before the earlier October 15, 2026 deadline, and that the Nasdaq letter has no immediate effect on the listing or trading of its Class A common stock under the symbol AREC.
Nasdaq granted an exception through November 16, 2026 to file the March and June 2026 Forms 10-Q, after an earlier October 15, 2026 deadline for the March report.
The June Form 10-Q became delinquent, which led the company to submit an updated compliance plan requesting more time.
The company is working toward filing both reports before October 15, 2026, and says the stock continues to trade on The Nasdaq Capital Market as AREC.
Nasdaq granted Onfolio an extension, set in an October 5, 2026 letter, to regain compliance with its $2.5 million minimum stockholders' equity requirement by November 23, 2026. The company also did not meet the alternative market value or net income standards, and the filing states there is no assurance it will regain or maintain compliance. If it does not, Nasdaq Staff will issue a written delisting notice that the company may appeal to a Nasdaq Hearings Panel.
Nasdaq notified the company on May 26, 2026 that it failed to meet the $2.5 million minimum stockholders' equity requirement under Listing Rule 5550(b)(1).
Nasdaq's letter dated October 5, 2026 extends the compliance deadline to November 23, 2026.
The company may be subject to delisting if it fails to evidence compliance when filing its periodic report for the year ending December 31, 2026.
The letter has no immediate effect on the listing or trading of the common stock on the Nasdaq Capital Market.
On October 5, 2026, Nasdaq notified IB Acquisition Corp. that it is not compliant with Listing Rule 5620(a) because it has not held an annual shareholder meeting within twelve months of its fiscal year end. The company plans to submit a compliance plan within 45 calendar days, and Nasdaq can grant an exception until March 29, 2027. The notice has no immediate effect on the listing or trading of the common stock, which continues to trade as IBAC.
Nasdaq letter dated October 5, 2026 cites Listing Rule 5620(a), the Annual Meeting Requirement.
The company has 45 calendar days to submit a plan to regain compliance.
If the plan is accepted, Nasdaq can grant an exception until March 29, 2027.
Common stock continues to trade as IBAC on the Nasdaq Capital Market during the compliance period.
Virtuix Holdings Inc. (VTIX) received a Nasdaq notice on September 30, 2026, saying its market value of listed securities fell below the $50 million minimum for the Nasdaq Global Market. The company has until March 29, 2027 to regain compliance, and its shares continue to trade under VTIX for now. If it fails to meet the requirement, Nasdaq could begin delisting proceedings, which would put the stock's listing at risk.
Nasdaq notice dated September 30, 2026, based on market value of listed securities from August 18 to September 29, 2026
Minimum market value requirement is $50 million for continued listing on the Nasdaq Global Market
Compliance period runs until March 29, 2027, requiring at least ten consecutive business days at or above $50 million
Company also does not meet the alternative total assets and total revenue standard; it may apply to transfer to the Nasdaq Capital Market
Nasdaq's Listing Qualifications Staff determined to delist Kyntra Bio's common stock after the company did not show compliance with Listing Rule 5450(b) by the September 29, 2026 deadline. Kyntra Bio has requested a hearing before a Nasdaq Hearings Panel, and the stock will keep trading under KYNB while the Panel decides, so shareholders face continued uncertainty over the listing.
Staff determination letter dated September 30, 2026; compliance deadline was September 29, 2026
Company timely requested a Nasdaq Hearings Panel review, which stays the suspension and delisting
Extension period could be up to 180 days from the Staff determination under Listing Rule 5815(c)(1)(A)
Company previously received a April 2, 2026 notice on total assets, total revenue and stockholders' equity or market value standards; no assurance the Panel will grant continued listing
Purple Innovation received a Nasdaq letter on September 30, 2026, stating that its Market Value of Publicly Held Shares was below the $15 million minimum for the last 30 consecutive business days. The notice has no immediate effect on the listing or trading of its Class A common stock, but if the company does not regain compliance by the stated Compliance Date, Nasdaq will notify it that its securities are subject to delisting.
Nasdaq notice dated September 30, 2026 cites a $15 million minimum MVPHS requirement under Nasdaq Listing Rules 5450(b)(2)(C) and 5450(b)(3)(C)
To regain compliance, MVPHS must close at $15 million or more for at least ten consecutive business days within the Compliance Period
The filing states the Compliance Date as March 29, 2026, and says the company may appeal a delisting determination to a hearings panel
The company may also consider transferring to the Nasdaq Capital Market if it meets that market's continued listing requirements
Healthcare Triangle, Inc. received a Nasdaq Staff Delisting Determination because its closing bid price has been below $1.00 and the company is not eligible for a compliance period after cumulative reverse stock splits of 1-for-14,940 over two years. The company intends to request a Panel hearing, which would stay suspension, and its shares continue to trade as HCTI for now, but without a successful appeal the stock would be suspended from Nasdaq on October 12, 2026.
Nasdaq notice dated October 1, 2026 cites failure to meet the $1.00 minimum bid price under Rule 5550(a)(2)
Company is ineligible for a compliance period after a 1-for-249 reverse split (August 1, 2025) and a 1-for-60 reverse split (February 10, 2026)
Appeal to a Nasdaq Hearings Panel must be requested by October 8, 2026; otherwise trading suspension begins October 12, 2026
Company intends to request a hearing and may propose a reverse stock split; the Panel's outcome is not assured
On October 1, 2026, Tonix Pharmaceuticals received notice that Dr. Reddy's Laboratories had filed an ANDA with the FDA for a generic version of TONMYA, challenging four Orange Book patents. The filing matters to shareholders because it signals possible generic competition for TONMYA, and the company says it intends to vigorously enforce its intellectual property rights but cannot predict the outcome.
Notice received October 1, 2026 from Dr. Reddy's Laboratories Ltd. and Dr. Reddy's Laboratories, Inc.
ANDA covers a generic version of TONMYA (cyclobenzaprine hydrochloride) sublingual tablets, 2.8 mg, with a Paragraph IV certification
Certification targets U.S. Patent Nos. 9636408, 9956188, 10117936 and 10864175, all listed in the Orange Book
A patent infringement suit filed within 45 days of the notice would automatically block FDA approval of the ANDA for up to 30 months, subject to the outcome of litigation
Xcel Brands, Inc. received a letter from Nasdaq on September 29, 2026, saying its common stock closed below $1.00 per share for 30 consecutive business days, so it does not meet the minimum bid price requirement. The company has until March 29, 2027 to regain compliance, which requires a closing bid price of at least $1.00 for 10 consecutive business days; if it cannot, its shares could face delisting from the Nasdaq Capital Market.
Nasdaq notice dated September 29, 2026 cites a bid price below $1.00 for 30 consecutive business days.
Compliance period runs 180 calendar days, until March 29, 2027.
Regaining compliance requires a closing bid of at least $1.00 for 10 consecutive business days.
A reverse stock split may be needed; the company says there is no assurance it will regain compliance.
BeyondSpring Inc. received a Nasdaq notice on September 29, 2026, stating its market value of listed securities has been below $35 million for 30 consecutive business days, so it no longer meets the continued listing requirement. The notice does not cause immediate delisting, and shares continue to trade on Nasdaq, but the company must regain compliance by March 29, 2027, or face a delisting process, which the company says it cannot assure.
Nasdaq notice received September 29, 2026 under Listing Rule 5550(b)(2)
Market value of listed securities fell below $35 million for 30 consecutive business days
Compliance period runs 180 calendar days, until March 29, 2027
Shares continue to trade on Nasdaq during the compliance period
Daré Bioscience received a Nasdaq letter dated September 28, 2026, stating that its common stock closed below the $1.00 minimum bid price for 30 consecutive business days. The letter has no immediate effect on the stock's listing, but the company has until March 29, 2027 to regain compliance, and failure to do so could lead to delisting proceedings unless it qualifies for an additional compliance period.
Nasdaq letter received September 28, 2026 cites the $1.00 minimum bid price requirement under Listing Rule 5550(a)(2)
Compliance Date is March 29, 2027, a 180-calendar-day initial period
Regaining compliance requires a closing bid price of at least $1.00 for 10 consecutive business days, unless Nasdaq extends that period
A reverse stock split may be needed if the company seeks an additional 180-day period; the company states there is no assurance it will regain compliance
Solesence, Inc. received a Nasdaq notice on September 29, 2026 stating its stock closed below $1.00 per share for 30 consecutive trading days, so it no longer meets Nasdaq's minimum bid price rule. The notice has no immediate effect on the stock's listing, but the company must regain compliance by March 29, 2027, or face possible delisting, and it says there is no assurance it will do so.
Nasdaq notice dated September 29, 2026; stock below $1.00 for 30 consecutive trading days
Initial compliance period of 180 calendar days, ending March 29, 2027
To regain compliance, closing bid must be at or above $1.00 for at least 10 consecutive trading days before March 29, 2027
Company may get an additional 180-day grace period if it meets listing criteria and notifies Nasdaq of its intent to cure
SKYX Platforms said independent director Efrat L. Greenstein Brayer died on September 26, 2026, leaving the company out of compliance with Nasdaq rules requiring a majority-independent board and an audit committee of at least three members. Nasdaq sent a cure-period letter on September 30, 2026, and the filing says there is no immediate effect on the listing, but the company cannot assure it will regain compliance in time.
Director Efrat L. Greenstein Brayer died on September 26, 2026; she sat on the audit, compensation and nominating committees.
Company notified Nasdaq on September 28, 2026 of non-compliance with Listing Rules 5605(b)(1) and 5605(c)(2)(A).
Nasdaq cure period ends at the earlier of the next annual meeting or September 26, 2027; if that meeting is before March 25, 2027, compliance is due by March 25, 2027.
The filing states there is no immediate effect on the Nasdaq listing, but no assurance was given that compliance will be regained within the cure period.
Gaxos.ai Inc. was notified on September 28, 2026 by Nasdaq that its common stock is not meeting the $1.00 minimum bid price required for continued listing on The Nasdaq Capital Market. The notice has no immediate effect on trading, and the company has until March 29, 2027 to regain compliance, with a possible second 180-day period and a reverse stock split under consideration.
Notice dated September 28, 2026, based on closing bid prices from August 14, 2026 to September 25, 2026
Compliance period ends March 29, 2027; stock must close at or above $1.00 for at least 10 consecutive business days
If not compliant, a second 180-day period may be available; otherwise Nasdaq would issue a delisting determination with a right to appeal to a Hearings Panel
Company may consider a reverse stock split; shares continue to trade as GXAI
Lantern Pharma received a Nasdaq notice on September 25, 2026 saying it is out of compliance with the minimum market value of listed securities requirement of $35 million over the last 30 consecutive business days. The company has until March 24, 2027 to regain compliance, or it expects Nasdaq could begin delisting proceedings from the Nasdaq Capital Market.
Nasdaq notice dated September 25, 2026 cites Listing Rule 5550(b)(2) with a $35 million minimum market value requirement
Nasdaq also said the company does not meet Listing Rules 5550(b)(1) and 5550(b)(3)
Compliance period runs 180 calendar days, ending March 24, 2027
Regaining compliance requires a market value of at least $35 million for 10 consecutive business days
Outlook Therapeutics received a Nasdaq notice on September 25, 2026, stating its stock closed below $1.00 for 30 consecutive business days. The notice has no immediate effect on the listing, but the company has until March 24, 2027 to regain compliance, which requires a closing bid of at least $1.00 for ten consecutive business days.
Nasdaq notice dated September 25, 2026 cites a closing bid below $1.00 for 30 consecutive business days under Listing Rule 5550(a)(2)
Compliance Date is March 24, 2027, 180 calendar days under Rule 5810(c)(3)(A)
Company may be eligible for a second 180-day period and may need a reverse stock split; if not compliant, Nasdaq would issue a delisting notice that the company could appeal
Maison Solutions Inc. said on September 23, 2026 that Nasdaq notified it of noncompliance with Listing Rule 5250(c)(1) because its quarterly report for the quarter ended July 31, 2026 was not filed on time and its annual report for the fiscal year ended April 30, 2026 remains delinquent. The notice has no immediate effect on the listing, but the company must submit a compliance plan by October 19, 2026, and Nasdaq may grant an exception until February 9, 2027 if it accepts the plan.
Nasdaq letter received September 23, 2026 cites late Form 10-Q for the quarter ended July 31, 2026 and delinquent Form 10-K for the fiscal year ended April 30, 2026
Compliance plan due to Nasdaq by October 19, 2026, a deadline set in an earlier August 20, 2026 notice
If Nasdaq accepts the plan, the exception could run to February 9, 2027; if not, the company may appeal to a Nasdaq Hearings Panel
Class A common stock continues to trade on The Nasdaq Capital Market under the symbol MSS
SurgePays received a Nasdaq letter granting an additional 180-day period, to March 22, 2027, to regain compliance with the $1.00 minimum bid price requirement. Nasdaq also said the company now meets the stockholders' equity requirement, but could face delisting if it fails to show compliance with continued listing criteria in its next periodic report.
Nasdaq granted an additional 180-calendar-day period, ending March 22, 2027, to regain the $1.00 minimum bid price.
The initial compliance period expired September 21, 2026, after Nasdaq first flagged the deficiency on March 23, 2026.
Nasdaq separately determined the company complies with the stockholders' equity requirement, addressing its March 18, 2026 letter.
If the company does not regain compliance by March 22, 2027, Nasdaq will issue a delisting notice; the company has said it may reverse split if necessary.
Nexalin Technology received a Nasdaq Hearings Panel decision allowing its common stock to stay listed on The Nasdaq Capital Market, subject to conditions. The company must meet the $1.00 minimum bid price by September 28, 2026 and the $2,500,000 stockholders' equity requirement by January 4, 2027, or its stock faces delisting.
Panel granted continued listing in a notice received September 25, 2026.
Company must show a closing bid price of $1.00 or greater for at least 20 consecutive trading sessions.
Stockholders' equity must meet the $2,500,000 minimum by January 4, 2027.
Filing states there can be no assurance the company will meet the conditions.
Unicycive Therapeutics disclosed that a securities class action was filed on September 3, 2026, in the U.S. District Court for the Northern District of California against the company and certain officers. The suit alleges violations of federal securities laws tied to public statements about the company's new drug application for oxylanthanum carbonate phosphate binder. The company says the claims are meritless and plans to defend the lawsuit vigorously, but the filing does not state any financial impact.
Class action filed September 3, 2026, in U.S. District Court for the Northern District of California
Suit names the company and certain officers and alleges federal securities law violations
Allegations relate to public statements about the new drug application for oxylanthanum carbonate phosphate binder for hyperphosphatemia in dialysis patients with chronic kidney disease
Company says the claims are meritless and intends to vigorously defend
GEE Group's audit committee is conducting an independent inquiry into an Executive Employment Agreement dated April 27, 2023 with Allison Dewan, the daughter of Chairman and CEO Derek Dewan, who is named Vice President of Corporate Development. The agreement and its terms had not previously been disclosed in SEC filings, and the committee is reviewing its origin, authorization, related disclosure controls, and whether it should have been disclosed as a related party transaction.
Agreement dated April 27, 2023 names Allison Dewan Vice President of Corporate Development
Initial base salary of $110,000 per year, with a five-year term ending April 26, 2028
Audit committee is reviewing whether the agreement should have been disclosed as a related party transaction, given compensation above $120,000
Filing signed by CFO Kim Thorpe on September 28, 2026
Southland Holdings received a notice from NYSE American on September 23, 2026, saying it is not in compliance with stockholders' equity listing standards after reporting a $248.2 million stockholders' deficit at June 30, 2026. The shares and warrants remain listed for now, but the company must submit a compliance plan by October 23, 2026, and regain compliance by March 23, 2028, or face delisting proceedings.
NYSE American notice received September 23, 2026, citing Sections 1003(a)(i) and 1003(a)(ii) of the Company Guide
Stockholders' deficit of $248.2 million at June 30, 2026; company reported net losses in its last three fiscal years
Compliance plan due October 23, 2026; compliance deadline March 23, 2028
Shares (SLND) and warrants (SLND WS) continue trading on NYSE American for now
Dyadic International received two Nasdaq deficiency notices on September 25, 2026: one for its stock trading below the $1 minimum bid price for 30 consecutive business days, and one for its market value of listed securities falling below $35 million over the same period. Both notices have no immediate effect on the common stock's listing on the Nasdaq Capital Market, but the company must regain compliance by March 24, 2027 or face delisting notice.
Bid price below $1 per share for the last 30 consecutive business days under Nasdaq Rule 5550(a)(2)
Market value of listed securities below the $35 million minimum for the last 30 consecutive business days under Rule 5550(b)(2)
Compliance Date is March 24, 2027, requiring 10 consecutive business days at or above the thresholds
Company may appeal any delisting determination to a Nasdaq hearings panel, with no assurance of success
Nasdaq notified Fusemachines on September 24, 2026 that its securities are subject to delisting because it did not meet the $50,000,000 minimum market value of listed securities as of September 23, 2026, the deadline for regaining compliance. The company plans to request a hearing before a Nasdaq Hearings Panel, which would pause delisting action, but the filing says there is no assurance the panel will grant continued listing or that the company will regain compliance.
Nasdaq first notified the company on March 27, 2026 that it no longer met the $50,000,000 MVLS requirement
Compliance deadline was September 23, 2026; Nasdaq said the company remained non-compliant as of that date
Company plans to timely request a hearing before the Nasdaq Hearings Panel, which would stay delisting action until the hearing and any panel extension expire
Calidi Biotherapeutics received a notice from NYSE American on September 21, 2026, saying it does not meet the $4.0 million stockholders' equity requirement, as it reported $3.1 million as of June 30, 2026. The company must submit a compliance plan by October 21, 2026, and regain compliance by March 21, 2028, or face delisting proceedings, which raises the risk of delisting for shareholders.
Stockholders' equity was $3.1 million as of June 30, 2026, below the $4.0 million NYSE American requires for companies with net losses in three of four recent fiscal years
Notice received September 21, 2026; plan of compliance due October 21, 2026
Company must regain compliance by March 21, 2028; delisting proceedings begin if no plan is submitted or accepted
Common stock continues to trade as CLDI with a ".BC" designation for noncompliance
Future Money Acquisition Corp (Nasdaq: FMAC) received a Nasdaq deficiency letter on September 22, 2026, because it has not yet filed its Form 10-Q for the quarter ended July 31, 2026. The notice has no immediate effect on the listing or trading of the company's securities, but the company must submit a plan to regain compliance by November 23, 2026, and the company says it cannot assure that Nasdaq will accept the plan or grant an exception.
Nasdaq notice dated September 22, 2026, cites Listing Rule 5250(c)(1) on timely periodic reports
Form 10-Q for the fiscal quarter ended July 31, 2026, has not been filed
Company must submit a compliance plan by November 23, 2026
If the plan is accepted, Nasdaq may allow an exception until March 22, 2027
Netcapital Inc. received a Nasdaq notice on September 21, 2026, saying it is not in compliance with the rule requiring timely periodic reports because it has not filed its quarterly report for the period ended July 31, 2026, and remains delinquent on its annual report for the fiscal year ended April 30, 2026. The notice has no immediate effect on the stock, which continues to trade on the Nasdaq Capital Market as NCPL, but the company must submit a compliance plan by October 23, 2026, and there is no assurance Nasdaq will accept it.
Nasdaq notice received September 21, 2026, citing Listing Rule 5250(c)(1)
Company must submit a plan to regain compliance by October 23, 2026
If accepted, Nasdaq may allow an exception until February 9, 2027; if not, the company can appeal to a Nasdaq Hearings Panel
Stock continues to trade on the Nasdaq Capital Market under NCPL for now
SANUWAVE Health received a Nasdaq notice on September 23, 2026, because its Market Value of Listed Securities was below $50 million for 30 consecutive business days, the minimum for continued listing on The Nasdaq Global Market. The notice has no immediate effect on the listing, but if the company does not regain compliance by March 22, 2027, it will receive a delisting notice, and the company cannot guarantee it will keep its listing.
Nasdaq notice received September 23, 2026, citing Listing Rule 5450(b)(2)(A)
Company must close at or above $50 million MVLS for 10 consecutive business days to regain compliance
Compliance period runs 180 calendar days from the notice, until March 22, 2027
Company may consider transferring to The Nasdaq Capital Market if it meets that market's requirements
NextCure filed a petition on September 14, 2026 in the Delaware Court of Chancery asking the court to validate its July 2025 reverse split and the shares issued in reliance on it. The company says a 2026 change to Delaware law creates uncertainty over whether a higher supermajority vote standard should have applied to the 2025 approval, which could affect its pending business combination with Avere Therapeutics and its capitalization. The filing describes the court hearing as the venue where the uncertainty will be addressed.
Petition filed September 14, 2026 under Section 205 of the Delaware General Corporation Law; the court ordered notice to stockholders on September 21, 2026.
The 2025 reverse split amendment received about 89.92% of votes cast and about 64.76% of outstanding shares, short of the 66 2/3% supermajority standard in the charter.
Hearing set for 3:00 p.m. Eastern Time on November 6, 2026 in Wilmington, Delaware.
Stockholders wishing to oppose the petition must file a written submission by October 27, 2026, or appear at the hearing.
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.
Frequently asked questions
Which filings get a brief?
Form 8-K filings by companies listed on a US stock exchange (NYSE, Nasdaq, Cboe; not over-the-counter stocks) that report a material event: results (Item 2.02), deals (1.01, 2.01), executive changes (5.02), restructuring (2.05), impairments (2.06), delisting notices (3.01), restatements (4.02), cybersecurity incidents (1.05), bankruptcy (1.03) and Regulation FD or other events (7.01, 8.01). Routine filings such as vote results or exhibits only are skipped.
How is the impact score set?
The AI rates each filing from 1 (routine) to 5 (major, such as a merger, bankruptcy or restatement) based only on what the filing says. It is a reading aid for sorting the day's filings, not a prediction of how the stock will move.
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On weekdays the SEC filing feed is checked every 5 minutes from 6 am to 5:45 pm Eastern, when nearly all 8-Ks come in, and every hour after that until 10 pm. Briefs of the 1,000 largest companies follow within minutes; the others usually within the hour, or later the same day when many filings arrive at once.
Which companies are covered?
Every company with shares listed on the NYSE, Nasdaq or Cboe that files 8-Ks, about 4,500 of them. Foreign companies that report on Form 6-K instead are not included. The S&P 1500 only filter above narrows the list to the large, mid and small caps of the S&P Composite 1500.
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