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 (3292 companies, A–Z).
Vistagen reported constructive FDA feedback from a Type C meeting on registrational paths for its lead product candidate, fasedienol, in social anxiety disorder. The company plans to use interim assessments, submit a revised protocol, and focus development on the general SAD population rather than acute treatment alone.
FDA gave constructive feedback on using the Liebowitz Social Anxiety Scale as the primary endpoint in a future Phase 3 study.
Vistagen plans to add interim assessments using eDiaries and qualitative patient surveys and to submit a revised protocol to the FDA.
The company plans to pursue fasedienol for overall, not only acute, treatment of SAD, and cited the FDA's recognition of its reported safety profile.
The filing contains no financial results, and the company states that future FDA feedback may not lead to a successful registrational pathway.
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
On November 5, 2026, the Public Service Commission of Wisconsin approved rate changes in rate cases filed in April 2026 by Wisconsin Electric Power Company, Wisconsin Gas LLC and Wisconsin Public Service Corporation. The presentation slides attached to the filing list an authorized return on equity of 9.50% and an equity ratio of 53.0%, and say a final written order is expected before year-end.
PSCW approved rate changes on November 5, 2026 for Wisconsin Electric, Wisconsin Gas and Wisconsin Public Service
Authorized return on equity of 9.50% and equity ratio of 53.0%
Earnings sharing: no sharing on the first 15 basis points above the allowed ROE, 50/50 on the next 25 basis points, and 100% to customers beyond 40 basis points
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
BioCardia said it finished its clinical consultation with Japan's PMDA on application materials for the CardiAMP Cell Therapy System for ischemic heart failure, a step toward submitting a marketing approval application. The company states that completing consultations does not constitute regulatory approval, and the product remains subject to PMDA review.
Consultation with Japan's PMDA on application materials completed, announced November 6, 2026
CardiAMP is intended for ischemic heart failure; CEO Peter Altman targets first patient treatments in Japan and commercial revenues in 2028
Completion does not equal regulatory approval; product remains subject to PMDA review
Essential Utilities disclosed that American Water, Essential Utilities and their affiliates filed a Stipulation of Settlement with the New Jersey Board of Public Utilities (NJBPU) on November 2, 2026, in the proceeding to approve the proposed merger. The stipulation was entered into with all parties, including NJBPU staff and the New Jersey Division of Rate Counsel, and is subject to review and approval by the NJBPU. The filing shows progress on regulatory approval, but the merger still requires the NJBPU's approval before it can proceed.
Stipulation of Settlement filed November 2, 2026, with all parties in the NJBPU proceeding
Stipulation posted to the NJBPU website as of November 5, 2026, and remains subject to NJBPU review and approval
Merger agreement with American Water was signed October 26, 2025; Essential Utilities would become a wholly owned subsidiary
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
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
Polar Power received written confirmation from Nasdaq that it complies with the $2.5 million minimum stockholders' equity requirement. The company also announced Phase 2 of its restructuring, which targets further facility consolidation and lower fixed overhead, and it is evaluating refinancing and other capital-raising options. Nasdaq said the company must keep showing compliance in its next periodic report or it may face delisting proceedings.
Nasdaq staff determined Polar complies with the $2.5 million minimum stockholders' equity requirement, based on its Form 8-K dated October 23, 2026
Phase 1 of the restructuring delivered about $1.03 million in annualized cost reductions; the target is about $2 million in total annualized savings, including Phase 1
Polar is evaluating refinancing and other capital-raising alternatives, and Nasdaq cautioned that delisting proceedings may follow if compliance is not evidenced in the next periodic report
3M agreed on November 3, 2026 to a settlement intended to resolve most PFAS-related personal injury claims in the AFFF multidistrict litigation. The company will contribute a nominal $7.35 billion from 2026 through 2034, with a present value of $5.8 billion, and will record that amount as a pre-tax charge in the fourth quarter of 2026. The company says the charge does not change its previously issued 2026 guidance, and payments depend on claimant participation thresholds.
Nominal commitment of $7.35 billion over 2026 to 2034; present value of $5.8 billion
Pre-tax charge of $5.8 billion in Q4 2026, treated as a special item in adjusted results; 3M says 2026 guidance is unchanged
$50 million payment due in 2026 and no payments in 2027; payments subject to claimant participation thresholds
Settlement covers about 99% of current personal injury claims, involving roughly 115,000 to 120,000 eligible plaintiffs; 3M does not admit liability
Spire Missouri filed a general rate case with the Missouri Public Service Commission on November 2, 2026, requesting a total revenue requirement increase of $228 million. The filing is based on an average fiscal 2028 future test year rate base of $5.1 billion, and the commission has 11 months to review it, with new rates expected by October 2027. For shareholders, the outcome will determine how much of the utility's infrastructure investment is recovered through customer rates.
Total requested revenue increase of $228 million, including $57 million through the Infrastructure System Replacement Surcharge and $171 million in net new revenues
Proposed rates are based on an average fiscal 2028 future test year rate base of $5.1 billion, assuming a 55.0% common equity ratio and 10.5% return on equity
Company estimates the average residential bill would rise about $10 per month (11%) in western Missouri and about $13 per month (15%) in eastern Missouri if approved as filed
Missouri Public Service Commission has 11 months to consider the filing; new rates expected to be effective by October 2027
NRx Pharmaceuticals said the FDA approved its Abbreviated New Drug Application for Preservative-Free Ketamine ahead of the November 10, 2026 GDUFA goal date. The company says it now has commercial supply on hand to label the product and sell it to American hospitals and clinics, but the filing gives no sales, revenue or earnings figures.
FDA approved the company's ANDA for Preservative-Free Ketamine, announced October 30, 2026, ahead of the November 10, 2026 goal date.
The company says the product contains no benzethonium chloride, a preservative it describes as not GRAS-designated by the FDA.
Manufacturing is with Nephron Pharmaceuticals in West Columbia, South Carolina.
The company says it can now label the product and supply American hospitals and clinics.
uniQure N.V. said the FDA accepted its Biologics License Application for ifezuntirgene inilparvovec, an investigational gene therapy for Huntington's disease, and granted Priority Review with a PDUFA target action date of May 1, 2027. The FDA also said it is tentatively planning an Advisory Committee meeting, with dates to be set later, and the company and FDA have aligned on the design of a confirmatory trial.
FDA accepted the BLA under the Accelerated Approval pathway and granted Priority Review
PDUFA target action date is May 1, 2027
FDA tentatively plans to discuss the application at an Advisory Committee meeting; the company will be notified once the date is set
Confirmatory trial design: randomized, standard-of-care, about 200 patients in a 2:1 ratio, Total Functional Capacity at 36 months as primary endpoint; U.S. patient screening planned to start by end of 2026
INOVIO announced on October 30, 2026 that the FDA granted accelerated approval for VOCERYQ, a DNA-based immunotherapy, to reduce the frequency of surgery in adults with recurrent respiratory papillomatosis (RRP). The company expects to make the product available to order and ship in about 60 days and to deploy its full field team in the first quarter of 2027, and it must submit a draft confirmatory study protocol by the end of 2026. The filing does not disclose revenue, pricing, or financial projections, so the near-term financial effect on shareholders is not quantified.
FDA granted accelerated approval on October 30, 2026 for VOCERYQ in combination with the CELLECTRA 5PSP delivery device
In the efficacy population of 26 patients, 7 (27%) had a complete response after 12 months of follow-up, based on the RRP-001 study
Order-and-ship availability expected in about 60 days; full field deployment expected in Q1 2027 with Syneos Health support
Continued approval may depend on a confirmatory study; draft protocol due by end of 2026 and final protocol expected by mid-2027
A Delaware Court of Chancery granted FBB Holdings I's motions and enjoined Destination XL from terminating its merger agreement with FBB while the court makes further expedited determinations. The order is temporary and not a ruling on the merits, and DXL says it believes FBB's claims are without merit and will defend against them.
The Court of Chancery held a hearing on October 29, 2026 and granted both motions after it.
The merger agreement, dated December 11, 2025, allows either party to terminate if the merger is not completed by October 30, 2026.
FBB filed its complaint on October 26, 2026; DXL filed an answer and counterclaims on October 28, 2026.
DXL's preliminary proxy statement was filed July 17, 2026 and amended most recently on October 19, 2026.
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
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
Zillow Group entered a settlement agreement on October 27, 2026, to resolve the consolidated securities class action Jaeger v. Zillow Group, Inc. The company will pay $212.5 million in cash into an escrow fund within 20 business days after preliminary court approval, with about $48 million expected to come from insurance proceeds. The settlement is subject to court approval and does not affect the related shareholder derivative actions, which remain pending.
Settlement payment totals $212.5 million, with about $48 million expected from insurance proceeds
Payment due within 20 business days after the court preliminarily approves the settlement
Class covers stock purchases from August 5, 2021, to November 2, 2021; agreement includes no admission of liability
Related shareholder derivative actions remain pending and are not resolved by this settlement
Palvella Therapeutics said the FDA accepted for filing and granted Priority Review to its New Drug Application for QTORIN 3.9% rapamycin anhydrous gel for microcystic lymphatic malformations, with a Prescription Drug User Fee Act target action date of February 28, 2027. The company says the drug could be the first FDA-approved therapy for this condition and is preparing for a potential U.S. launch in the first half of 2027, but approval is not assured.
FDA accepted the NDA and granted Priority Review for QTORIN 3.9% rapamycin anhydrous gel
PDUFA target action date set for February 28, 2027
Phase 3 SELVA study met all six prespecified efficacy endpoints (all p<0.001)
Potential standalone U.S. commercial launch planned for the first half of 2027, subject to FDA approval
TXNM Energy disclosed that hearing examiners at the New Mexico Public Regulation Commission published a revised procedural schedule for the merger application on October 27, 2026. Evidentiary hearings are set for January 19 to February 1, 2027. TXNM still expects the merger with Troy ParentCo to close in the first half of 2027, but says it cannot predict the outcome.
NMPRC hearing examiners set evidentiary hearings for January 19 to February 1, 2027
The merger still requires NMPRC approval and satisfaction or waiver of customary conditions
TXNM continues to anticipate the merger closing in the first half of 2027
Nasdaq granted Rekor Systems an additional 180 calendar days, until April 26, 2027, to regain compliance with its minimum $1.00 bid price requirement. The notice has no immediate effect, and the common stock continues to trade on The Nasdaq Capital Market under REKR, but the company must close at or above $1.00 for at least ten consecutive business days by that date or face delisting.
Initial compliance period expired October 26, 2026; extension runs to April 26, 2027
Nasdaq first notified the company on April 27, 2026 after the stock closed below $1.00 for 30 consecutive business days
To regain compliance, the closing bid price must be at least $1.00 for ten consecutive business days
If not compliant by April 26, 2027, Nasdaq will issue a delisting notice; a hearing request would not stay trading suspension
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
Cumberland Pharmaceuticals plans to submit a New Drug Application to the FDA for ifetroban as a treatment for cardiomyopathy associated with Duchenne muscular dystrophy, seeking Traditional Approval based on its FIGHT DMD trial and natural history data. The FDA raised concerns that the proposed data package may not be sufficient to show substantial evidence of efficacy and requested additional analysis, and the company states there is no assurance the FDA will accept the filing or approve the drug.
The 12-month Phase 2 FIGHT DMD trial showed a statistically significant 5.4% absolute improvement in left ventricular ejection fraction (p=0.002) versus a control group.
The FDA suggested a Phase 3, randomized, placebo-controlled trial earlier in the review process, and expressed concerns about the sufficiency of the proposed data package at a pre-NDA meeting held this fall.
The FDA granted the company's request for rolling review of the NDA, allowing completed sections to be submitted before the full application.
The planned submission includes safety data from more than 1,400 subjects across approximately 30 clinical studies of ifetroban.
Azio AI Holdings told the SEC it believes it has regained compliance with Nasdaq's $2,500,000 minimum stockholders' equity requirement. The company cites a third-quarter 2026 business combination with Azio AI Corporation, warrant exercises, and stock issued under an equity purchase agreement, and it notes Nasdaq will keep monitoring compliance and may delist the stock if compliance is not shown at the next periodic report.
Nasdaq notified the company on April 29, 2026 that stockholders' equity was below the $2,500,000 minimum, based on its Form 10-K for 2025.
Nasdaq extended the deadline; the company had to file a public report demonstrating compliance on or before October 26, 2026.
In the third quarter of 2026 the company issued 2,460,351 common shares and 973,450 Series A Preferred shares in the Azio AI Corporation business combination, plus warrant exercises for 450,000 common shares and about 920,000 common shares
The company says actual results for the quarter ended September 30, 2026 may differ materially from preliminary unaudited figures.
Alaunos Therapeutics said Nasdaq confirmed it has regained compliance with the $2,500,000 minimum stockholders' equity requirement, closing the matter and canceling the November 10, 2026 hearing before the Nasdaq Hearings Panel. Its common stock will continue to be listed and traded on The Nasdaq Capital Market, removing the near-term delisting risk for shareholders.
Nasdaq notified the company on April 9, 2026 that it was not in compliance with the $2,500,000 stockholders' equity requirement.
The company said a private placement completed on October 14, 2026 led it to believe it had regained compliance.
On October 22, 2026, Nasdaq's Office of General Counsel confirmed compliance and closed the matter.
The hearing scheduled for November 10, 2026 was cancelled.
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
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
Polar Power, Inc. reported that it believes it has regained compliance with Nasdaq's $2.5 million minimum stockholders' equity requirement, based on a series of convertible note, preferred stock, warrant and equity line transactions. The company estimates pro forma stockholders' equity of approximately $2.9 million, but the figures are preliminary and unaudited, and Nasdaq will keep monitoring compliance, so the company may still face delisting if it does not show compliance at its next periodic report.
Nasdaq deficiency letter dated May 1, 2026 cited the $2,500,000 minimum stockholders' equity rule; extension granted June 29, 2026
Company estimates preliminary pro forma stockholders' equity of approximately $2.9 million as of the filing date
Nasdaq will monitor compliance; the company may be subject to delisting if it does not evidence compliance at its next periodic report
Compliance must be demonstrated in a public report on or before October 28, 2026
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
SenesTech received a Nasdaq letter on October 20, 2026, saying its stock has closed below $1.00 for 30 consecutive business days, so it no longer meets Nasdaq's minimum bid price requirement. The company has until April 19, 2027 to regain compliance, and the notice has no immediate effect on its listing, but the company says it cannot assure it will regain compliance. In the same release, the company reported preliminary third-quarter revenue of about $1.1 million, the highest in its history.
Nasdaq notice received October 20, 2026; stock closed below $1.00 for 30 consecutive business days
Compliance period ends April 19, 2027; regaining compliance requires a closing bid of $1.00 or more for at least 10 consecutive business days
Preliminary Q3 revenue of about $1.1 million, up 40% from Q2 and 55% from Q3 2025
Long-term holder Glenbrook Capital Management reports a 38% ownership position and has offered to work with the board and management
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
Supernus said the FDA recognized seven years of orphan-drug exclusive approval for ONAPGO (apomorphine HCl) for motor fluctuations in adults with advanced Parkinson's disease, with the exclusivity period starting on the February 3, 2025 approval date. The company also submitted a supplemental New Drug Application for a second supplier of ONAPGO and continues to expect potential FDA approval of that supplier by mid-year 2027. The filing gives no financial figures, but the exclusivity period is a regulatory protection for the product.
FDA recognized seven years of orphan-drug exclusive approval for ONAPGO, with the period starting February 3, 2025.
ONAPGO is described as the first and only subcutaneous apomorphine infusion device for motor fluctuations in adults with advanced Parkinson's disease.
Supernus submitted an sNDA for a second supplier of ONAPGO and expects potential FDA approval by mid-year 2027.
Alaunos Therapeutics said it believes it has regained compliance with Nasdaq's $2.5 million stockholders' equity requirement, following the October 14, 2026 closing of a financing with aggregate gross proceeds of approximately $350.0 million. Nasdaq has not yet confirmed the company's determination, and a Nasdaq Hearings Panel hearing remains scheduled for November 10, 2026. The company's status could still be challenged if it does not evidence compliance when it files its 2026 annual report.
Nasdaq's April 9, 2026 deficiency letter cited stockholders' equity of $2,153,000 in the 2025 Form 10-K, below the $2,500,000 minimum.
The financing closed October 14, 2026, with approximately $350.0 million in gross proceeds before placement agent fees and other expenses.
A Fairmount Fund II waiver covers 6,268 Series C Preferred shares, valued at approximately $9.0 million, that would otherwise carry a cash settlement right.
The Panel hearing is set for November 10, 2026; the company expects it to be cancelled once Nasdaq confirms compliance, and Nasdaq will keep monitoring the requirement.
Valor Energy said it regained compliance with Nasdaq's $2.5 million minimum stockholders' equity requirement after raising its authorized common stock from 50 million to 500 million shares and reclassifying $41.90 million of warrants from liabilities to equity. The company also issued 4,510,000 warrants to investors on October 19, 2026. Nasdaq will keep monitoring, and the company may be delisted if it does not show compliance in its Form 10-Q for the period ended September 30, 2026.
Nasdaq notified the company on August 21, 2026 that its stockholders' deficit of $35,344,336 at June 30, 2026 did not meet the $2.5 million minimum
Authorized common stock was increased from 50,000,000 to 500,000,000 shares, effective August 6, 2026, and the June 2026 warrants were reclassified to equity
The company submitted a compliance plan to Nasdaq on October 5, 2026 and believes it has regained compliance
Failure to evidence compliance in the Form 10-Q for the period ended September 30, 2026 could lead to delisting
Nasdaq's Listing Qualifications staff said on October 20, 2026 that Vivos Therapeutics now meets the $2.5 million minimum stockholders' equity requirement, based on the company's October 19, 2026 8-K. The company said the SOD transaction, which included issuing Series C Convertible Preferred Stock, drove the improvement, but Nasdaq said the company could still face delisting if it does not show compliance in its next periodic report, and the preferred stock is convertible into up to 80,000,000 common shares, which could dilute existing holders.
Nasdaq letter dated October 20, 2026 says Vivos complies with the $2.5 million stockholders' equity minimum under Listing Rule 5550(b)(1).
Series C Convertible Preferred Stock with an aggregate stated value of $12,000,000 was issued as part of the SOD Sciences transaction, and is expected to increase stockholders' equity by more than $10 million.
Preferred stock converts at $0.15 per share into up to 80,000,000 common shares, subject to a 19.99% exchange cap pending stockholder approval.
Nasdaq said the company may be delisted if it does not evidence compliance upon filing its next periodic report.
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.
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
The Fifth Circuit Court of Appeals vacated the Texas District Court's order granting class certification in the securities class action against Filana Therapeutics and certain officers and employees. The case returns to the Texas District Court for further class certification proceedings, and the appeals court made no finding on whether the company's securities traded in an efficient market.
On October 16, 2026, the Fifth Circuit vacated the class certification order.
The class covered purchasers or acquirers of the company's securities between September 14, 2020 and October 12, 2023.
The Fifth Circuit found the district court misapplied the legal standard and did not properly evaluate evidence of market inefficiency.
Further class certification proceedings will take place on remand in the Western District of Texas.
Medalist Diversified filed a Certificate of Correction with Maryland on October 19, 2026, stating that a charter amendment approved at its June 16, 2026 annual meeting is of no force or effect. The company said the amendment, which restricted certain stock transfers to protect net operating loss and net capital loss tax benefits, did not receive the required stockholder vote. The board says it intends to seek stockholder approval again at a special meeting.
Certificate of Correction filed with Maryland SDAT on October 19, 2026
Charter Amendment originally filed with SDAT on June 17, 2026, after June 16, 2026 annual meeting
Amendment would have limited transfers that raise a holder's stake from under 4.9% to 4.9% or more
Over 95% of votes cast supported the proposal, but the required vote was not met
Collegium Pharmaceutical agreed on October 15, 2026 to settle all disputes with Grünenthal GmbH, including a patent infringement lawsuit over the Nucynta ER authorized generic. As part of the settlement, the company's license agreement with Grünenthal was terminated in its entirety, and the company made a $17 million payment, after which no further royalties are due under that license.
Settlement agreement dated October 15, 2026 resolves all disputes, including the Nucynta Litigation filed in February 2026 in the District of New Jersey
Collegium paid Grünenthal $17 million; the Grünenthal License terminated effective October 15, 2026
No further royalties will be due under the Grünenthal License; Grünenthal assigned certain Nucynta-related patents to Collegium and moved to dismiss the lawsuit
ZoomInfo signed a memorandum of understanding on October 16, 2026, setting terms for a proposed settlement of a securities class action filed on September 4, 2024. The settlement provides for a $44 million payment to the class, a portion of which is expected to be covered by remaining insurance funds, and requires approval by the Washington District Court. The settlement would not resolve related shareholder derivative lawsuits, a related opt-out action, or a separate class action filed on June 25, 2026.
$44 million payment to the putative class, with a portion expected to be covered by remaining insurance funds
Memorandum of understanding executed October 16, 2026; subject to preliminary and final approval by the Washington District Court
Settlement would not resolve shareholder derivative suits, an opt-out direct action, or the class action filed June 25, 2026
BioCardia said the FDA has accepted its revised De Novo pre-submission package for marketing clearance of its Helix catheter, and it expects FDA substantive review and a meeting this quarter. The filing does not report any financial results, and clearance is not yet granted, so the update is a regulatory milestone rather than a change in reported financial performance.
FDA accepted the revised De Novo pre-submission package, announced October 19, 2026
Company met with FDA in May 2026 and FDA confirmed and accepted the meeting minutes in August 2026
Revised package was re-submitted in September 2026 and BioCardia expects FDA substantive review and a meeting this quarter
Company cites clinical data from fifteen clinical trials including nearly five hundred patients
Ultragenyx and Baylor Research Institute settled patent litigation with Navinta LLC over patents covering DOJOLVI oral liquid. Navinta will receive a non-exclusive, royalty-free license to market a generic version starting January 1, 2033, which would extend to July 1, 2033 if pediatric exclusivity is granted. The filing does not give a financial impact, and other ANDA patent litigation on DOJOLVI remains pending.
Settlement with Navinta LLC resolves patent litigation filed in the U.S. District Court for the District of New Jersey
Navinta's generic DOJOLVI license begins January 1, 2033, or July 1, 2033 if pediatric exclusivity is granted
Similar patent litigation against other ANDA filers remains pending in the same court
Settlement agreement will be submitted to the FTC and the U.S. Department of Justice
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.
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.
Conduent and two subsidiaries entered a class action settlement agreement on October 16, 2026, to resolve a consolidated lawsuit over the company's January 2025 cybersecurity incident. The settlement requires a non-reversionary $80 million fund and takes effect only if the U.S. District Court for the District of New Jersey approves it. The company says it maintains cyber insurance and does not expect a material impact on its financial position, results of operations or cash flows.
Company will fund $80 million into a non-reversionary settlement fund, its total monetary obligation under the agreement
Fund covers class member recovery, credit and medical data monitoring, plaintiffs' counsel fees and administration costs
Settlement releases the company, affected clients and their customers from claims tied to the cyber incident upon final approval
Agreement is not an admission of fault and remains subject to Court approval
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
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
On October 15, 2026, Sanara MedTech and MiMedx each received a Second Request from the Federal Trade Commission as part of its review of the proposed merger in which Sanara would become a wholly-owned subsidiary of MiMedx. Under the Hart-Scott-Rodino Act, the Second Request extends the waiting period until 30 days after the parties substantially comply, so closing is likely to take longer, and completion still depends on regulatory and other conditions.
FTC issued a Second Request to Sanara and MiMedx on October 15, 2026.
The Second Request extends the HSR Act waiting period until 30 days after substantial compliance, unless extended or terminated earlier.
Completion remains subject to HSR waiting period expiration and other closing conditions in the Merger Agreement.
The filing does not state a expected closing date or any financial figures for the deal.
Mustang Bio said Nasdaq granted it an additional 180-calendar day period, until April 12, 2027, to regain compliance with the $1.00 minimum bid price rule after it missed the October 12, 2026 deadline. The company must close at or above $1.00 for at least 10 consecutive business days in that period, and it has said it may effect a reverse stock split if necessary. If it does not regain compliance, Nasdaq will issue a delisting notice, and the company says there is no assurance it will meet all continued listing requirements.
Nasdaq granted an additional 180-calendar day grace period, through April 12, 2027, letter dated October 13, 2026
Compliance requires a closing bid price of at least $1.00 per share for a minimum of 10 consecutive business days, generally no more than 20
Company has stated it may effect a reverse stock split if necessary; failure to comply would lead to a delisting notice
ImmunityBio announced on October 14, 2026 that the FDA expanded the approved indication for ANKTIVA plus BCG to include patients with BCG-unresponsive non-muscle-invasive bladder cancer (NMIBC) with papillary-only tumors. The company says this is the first FDA approval to cover that group and that access now extends to all patients with BCG-unresponsive NMIBC. The filing contains no revenue, earnings, or guidance figures, so the effect on shareholders depends on future commercial results.
FDA expanded the ANKTIVA plus BCG indication on or before October 14, 2026, adding BCG-unresponsive NMIBC with papillary-only tumors
The company states papillary disease represents approximately 85% of the NMIBC patient population
The prior FDA approval, in April 2024, covered BCG-unresponsive NMIBC with carcinoma in situ, with or without papillary tumors
In Cohort A of the QUILT-3.032 trial, 62% of 77 patients achieved a complete response
Mannatech told investors it believes it has regained compliance with Nasdaq's $2.5 million minimum stockholders' equity requirement, after a deficiency notice dated April 20, 2026. The claim rests on a pro forma adjustment tied to a share purchase agreement and a tax ruling, and the auditor review and Nasdaq's own view are still pending, so the listing outcome remains uncertain for shareholders.
Stockholders' equity was $(5,223,000) per the 2025 Form 10-K and $(4,970,000) as of June 30, 2026, per the Q2 Form 10-Q, against a $2,500,000 requirement.
Mannatech's share purchase agreement gives it 100% direct ownership of Mannatech Swiss Holdings GmbH, which the company says qualifies distributions for a 5% withholding tax rate.
Nasdaq will keep monitoring; if the 10-K for the year ending December 31, 2026 does not show compliance, the company may face delisting, with a right to appeal to a Nasdaq Hearings Panel.
The Q3 2026 Form 10-Q is expected on or before November 16, 2026, and the pro forma adjustment will be reviewed by the independent auditor.
Nathan's Famous said it is voluntarily supplementing its definitive proxy statement for the proposed $102.00-per-share merger with Smithfield Foods, after two stockholder lawsuits and fifteen demand letters challenged the proxy's disclosures. The company and its board deny the claims, but say the supplements aim to moot the disclosure claims and reduce litigation costs and risks before the October 23, 2026 special meeting of stockholders.
Two lawsuits were filed September 30, 2026, in the Supreme Court of the State of New York against the company and its board, and seek to enjoin the merger.
Purported stockholders delivered fifteen demand letters and two Section 220 books-and-records demands under Delaware law.
The supplemental disclosures cover executive retention discussions with the buyer and Jefferies LLC's selected companies analysis.
The special meeting of stockholders is scheduled for October 23, 2026; the merger consideration is $102.00 per share.
Quoin Pharmaceuticals said on October 14, 2026 that the European Medicines Agency granted Orphan Drug Designation to its lead product candidate QRX003 for treating Peeling Skin Syndrome. If QRX003 is approved for marketing by the EMA, the company would receive 10 years of market exclusivity in Europe for similar medicines for this indication, and the company plans to start the first-ever formal clinical study for the condition before year end.
EMA granted Orphan Drug Designation to QRX003 for Peeling Skin Syndrome, announced October 14, 2026
Designation brings scientific advice on study protocols, various fee reductions and access to EU grants
If approved by the EMA, QRX003 would receive 10 years of market exclusivity in Europe for this indication
The company intends to initiate the first-ever formal clinical study for Peeling Skin Syndrome before year end
Liquidia and its subsidiary Liquidia Technologies signed a settlement agreement with United Therapeutics on October 13, 2026, resolving all pending litigation between the companies. Liquidia will keep marketing YUTREPIA for pulmonary arterial hypertension but must remove the PH-ILD indication from the label and stop promoting it for that use, and it must make payments totaling a stated net $380.7 million in 2026 and 2027.
Net payment to United Therapeutics of $175.0 million due within 30 business days, plus $145.4 million in two $72.7 million installments due January 31, 2027 and April 30, 2027
Separate settlements with Sandoz, Henderson and PBM total about $60.3 million; the PBM agreement is with a related party that is controlled by a director, and the board's disinterested members approved it
Lender consent for a letter of credit tied to the settlement raised the minimum cash covenant under the revenue interest financing agreement from $15.0 million to $45.0 million
Preliminary, unaudited third-quarter 2026 YUTREPIA net product sales were $222.7 million, and cash and cash equivalents were $396.1 million as of September 30, 2026
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
SS Innovations said it submitted its response to an FDA request for additional information on its 510(k) application for the SSi Mantra surgical robotic system on October 5, 2026. The response includes final data from an expanded human clinical and human factors validation study and a bridging study, and the company expects the FDA to complete its review in the first quarter of 2027. The filing describes a regulatory milestone toward U.S. market entry but gives no financial results or timing guarantees.
Response to the FDA's request for additional information was submitted on October 5, 2026.
The response includes final data from an expanded human clinical and human factors validation study and a bridging study completed in August 2026 at Hospital Internacional de Colombia in Bucaramanga.
The company expects the FDA to complete its review of the response and the 510(k) submission in the first quarter of 2027.
The 510(k) submission covers the initial indication of cholecystectomy (gallbladder removal).
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
BridgeBio announced the FDA accepted its New Drug Application for oral infigratinib for children with achondroplasia with Priority Review, setting a PDUFA target action date of February 4, 2027. The company says the drug met its Phase 3 PROPEL 3 primary endpoint, but the filing does not describe financial results or a financial effect, so the update is mainly a regulatory milestone for shareholders.
FDA accepted the NDA with Priority Review; PDUFA target action date is February 4, 2027
PROPEL 3 met its primary endpoint: LS mean treatment difference of +1.74 cm/year and mean treatment difference of +2.10 cm/year in annualized height velocity (p<0.0001)
Oral infigratinib has Breakthrough Therapy Designation; BridgeBio plans to submit a Marketing Authorization Application to the EMA in Q4 2026
Approval is not assured; the filing notes the FDA may not approve the drug on the anticipated timeline or at all
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
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
American Express and its bank subsidiary consented to orders from the Federal Reserve and the Office of the Comptroller of the Currency to resolve regulatory reviews of parts of its financial crimes compliance program. The bank unit also agreed to pay a $350 million civil money penalty, part of which was already reserved for in prior periods. The company says the penalty does not affect its 2026 guidance, and the orders impose no asset cap and are not expected to affect 2027 guidance.
Consent orders issued October 8, 2026 by the Federal Reserve and the OCC resolve previously disclosed reviews of financial crimes compliance.
American Express National Bank agreed to pay a $350 million civil money penalty to the OCC.
A portion of the penalty was reserved for in prior periods; the company says it does not affect full-year 2026 guidance.
The orders do not impose an asset cap, and remediation costs are not anticipated to affect 2027 guidance.
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.
Perspective Therapeutics (NYSE American: CATX) announced on October 8, 2026 that the U.S. Food and Drug Administration granted Fast Track Designation for PSV359 for adult patients with locally advanced unresectable and/or metastatic FAP-positive solitary fibrous tumors. The filing says the designation is intended to facilitate development and expedite review, and that PSV359 is in an ongoing Phase 1/2a study, but it does not describe any financial effect.
FDA granted Fast Track Designation for PSV359 on or before October 8, 2026, per the press release dated October 8, 2026.
The designation covers adult patients with locally advanced unresectable and/or metastatic FAP-positive solitary fibrous tumors.
PSV359 is an investigational FAP-targeted alpha-particle therapy being evaluated in an ongoing Phase 1/2a study (NCT06710756).
The press release is filed as Exhibit 99.1; the filing reports no financial figures.
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.
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
Endovia Health Sciences announced that the FDA's Center for Veterinary Medicine determined CannEpil qualifies as a minor use for controlling bone cancer pain in dogs, making it eligible to pursue the conditional approval pathway. The product remains investigational and is not approved or conditionally approved, and the company has not given revenue or financial figures in this filing.
FDA Center for Veterinary Medicine determined CannEpil qualifies as a minor use under the MUMS program
Endovia and Lupvindol are scheduled to meet the FDA for a Pre-Submission Conference on November 19, 2026
Company is working toward a potential veterinary launch in 2027, subject to FDA approval
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
Nasdaq's Hearings Panel granted SCWorx's request for reconsideration on October 2, 2026, found the company compliant with continued listing requirements, and approved continued listing on The Nasdaq Capital Market. Trading on Nasdaq, suspended since April 14, 2026, will resume on a date Nasdaq has yet to schedule, and the stock trades on the OTCQB until then. The approval carries a one-year Panel Monitor through October 2, 2027, and the company's private placement investors waived termination rights tied to the earlier delisting decision, though those rights revive if the delisting takes effect.
On October 2, 2026, the Panel granted reconsideration of its September 17, 2026 delisting decision and approved continued listing on The Nasdaq Capital Market
Publicly held shares rose to 549,092 as of September 17, 2026, after the September 16, 2026 private placement of 350,000 shares and related warrants
Nasdaq trading has been suspended since April 14, 2026; the stock stays on the OTCQB under WORX until Nasdaq sets a reinstatement date
If all purchasers terminated their purchases, the company would have to return an aggregate of $938,000 and the placement shares and warrants would be cancelled
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
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.
Nexalin Technology received Nasdaq confirmation on September 30, 2026 that it has regained compliance with the $1.00 minimum bid price requirement. The company still must show at least $2,500,000 in stockholders' equity by January 4, 2027, or its stock faces delisting from Nasdaq.
Nasdaq confirmed on September 30, 2026 that the bid price requirement of $1.00 per share is met
Remaining condition: stockholders' equity of at least $2,500,000 by January 4, 2027
The company says it intends to meet the equity requirement, but gives no assurance it will
American Battery Technology Company received approval from the U.S. Department of Commerce's Bureau of Industry and Security for a license to export recycled black mass, allowing sales of up to $100 million under specified terms. The license follows newly enacted federal export controls on critical battery materials, and the company says it supports current operations and its market position.
BIS approved a license allowing sales of up to $100 million of recycled black mass material
The approval follows the implementation of recently enacted federal export controls on critical battery materials
The press release, dated October 1, 2026, cites over 400% year-over-year revenue growth and references the company's fiscal year 2026 results
The filing is a Form 8-K under Item 8.01 with the press release attached as Exhibit 99.1
Japan's Ministry of Health, Labour and Welfare approved Optune Pax for adults with unresectable locally advanced pancreatic cancer, used with gemcitabine and nab-paclitaxel. The approval is based on the Phase 3 PANOVA-3 trial, which met its primary endpoint of statistically significant improvement in median overall survival, and it extends the device's regulatory approvals to another market.
Approval was first announced in a September 15, 2026 press release; the October 1, 2026 exhibit repeats it.
PANOVA-3 showed a statistically significant improvement in median overall survival for patients treated with TTFields.
Optune Pax was previously approved by the U.S. FDA in February 2026 and received a CE Mark in June 2026.
Device-related skin adverse events occurred in 76.3% of Optune Pax-treated participants; 21 (7.7%) had a Grade 3 or higher event.
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
BioMarin entered into a Settlement and License Agreement with Ascendis Pharma on September 24, 2026, replacing an August 2026 binding term sheet. Ascendis receives a non-exclusive license to BioMarin patents covering TransCon CNP (navepegritide, Yuviwel), and BioMarin receives royalties on net sales until May 2030. The filing says the parties will dismiss all pending litigation between them over the patents, and it does not disclose dollar amounts.
Agreement dated September 24, 2026, deemed effective August 28, 2026, and supersedes the term sheet reported on August 31, 2026
Royalty of 20% of annual net sales in the United States and 18% in the EU, Brazil and South Korea, until May 2030
Pending litigation between the parties relating to the BioMarin patent rights to be dismissed with prejudice
Ascendis agreed not to challenge BioMarin's patent rights; no dollar figures disclosed
All In FutureTech Alliance disclosed that counsel for stockholder Primo Vital Limited sent letters in May and September 2026 claiming that its prior beneficial ownership disclosures about director Jingsheng (Jason) Lu were inaccurate. The company says it takes no position on the dispute over 11,986,523 shares it reported as roughly 31.3% of its common stock, and that this report does not resolve who controlled those shares.
Primo Letters dated May 22, 2026 and September 2, 2026 claim Mr. Lu was removed as Primo's director on May 19, 2026 and lost authority on March 3, 2026, when Ourgame was placed into liquidation in the Cayman Islands.
The company's Form 10-K and Special Meeting Proxy Statement reported Primo as record holder of 11,986,523 shares, about 31.3% of common stock, with shared voting power held by Mr. Lu.
The company relied on a December 11, 2024 joint Schedule 13D/A and says it will evaluate further information and its disclosure obligations.
DBV Technologies said it has submitted a Biologics License Application to the U.S. Food and Drug Administration for its VIASKIN Peanut Patch in children with peanut allergy aged 4 through 7 years, and has requested Priority Review. The application is supported by results from the Phase 3 VITESSE trial, which enrolled 654 children, and the FDA previously granted the patch Breakthrough Therapy Designation. The filing reports a regulatory milestone, not revenue or approval, and the company states the product has not been authorized for sale in any country.
BLA submitted to the FDA for VIASKIN Peanut Patch in children aged 4 through 7 years, announced September 29, 2026
DBV has requested Priority Review; the FDA previously granted Breakthrough Therapy Designation
VITESSE Phase 3 trial enrolled 654 children, randomized 2:1 to active patch or placebo
The company states the product has not been authorized for sale in any country
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.
A federal jury awarded Ramaco Resources' subsidiary $30.0 million in damages on September 25, 2026, in its lawsuit against Federal Insurance Company and ACE American Insurance Company over a denied claim for a 2018 silo failure at the Elk Creek plant. The court entered judgment on the verdict, but attorneys' fees remain to be decided and the defendants may still challenge the award through post-trial motions or an appeal.
Jury awarded $27.5 million for net economic loss and $2.5 million for aggravation and inconvenience.
Judgment was entered on September 25, 2026, against Federal Insurance Company and ACE American Insurance Company.
Attorneys' fees were not decided by the jury and will be determined by the Court.
Defendants may file post-trial motions within 28 days of judgment and a notice of appeal within 30 days of the final judgment.
After the market close on September 25, 2026, a jury awarded $5.7 billion in damages to the plaintiff in Taction Technology, Inc. v. Apple Inc., a case in which Burford has a financial entitlement. Burford says that if the verdict were paid as is, its entitlement would be $1.4 billion, split roughly equally between its balance sheet and its investment funds, but the amount is likely to change in post-trial and appellate proceedings. For shareholders, the verdict is not a final judgment or cash received, and Burford warns it could recover substantially less or incur a total loss.
Jury verdict of $5.7 billion in damages, announced in a release dated September 28, 2026, after the market close on Friday, September 25, 2026
If paid as is, Burford's entitlement would be $1.4 billion, split roughly equally between its balance sheet and its investment funds
Apple has filed a motion for judgment as a matter of law, and the Federal Circuit will scrutinize large verdicts on appeal
Burford states that it could recover substantially less than the verdict amount or, in certain circumstances, incur a total loss
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
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
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
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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.
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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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