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.
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
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.
Cognition Therapeutics received a Nasdaq deficiency letter on November 3, 2026, because its common stock has 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 letter has no immediate effect on its listing. Third-quarter results showed a smaller net loss than a year earlier, but the company reported $31.5 million in cash as of September 30, 2026.
Nasdaq letter dated November 3, 2026 cites a closing bid price below $1.00 for 30 consecutive business days; compliance deadline is May 3, 2027
Q3 2026 net loss was $4.1 million, or $(0.04) per share, versus $4.9 million, or $(0.06) per share, in Q3 2025
Research and development expenses rose to $5.1 million from $3.8 million, while general and administrative expenses fell to $2.3 million from $2.6 million
Cash and restricted cash equivalents were $31.5 million at September 30, 2026; the company estimates funding into the fourth quarter of 2027
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
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
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.
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.
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
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
Nasdaq's Hearings Panel granted CID HoldCo (Nasdaq: DAIC) continued listing, notified the company on October 28, 2026, but requires an application to transfer the listing to The Nasdaq Capital Market by November 2, 2026. The filing also reports that the Envoy Technologies acquisition closed on October 9, 2026, and that BladeRanger's designee, Avi Cohen, joined the board on October 23, 2026, so shareholders face a conditional listing outcome alongside a completed acquisition.
Nasdaq Hearings Panel granted continued listing, subject to submitting a transfer application to The Nasdaq Capital Market on or before November 2, 2026
Company closed the acquisition of 100% of Envoy Technologies' capital stock on October 9, 2026, paid in common stock and newly authorized Series C Convertible Non-Redeemable Preferred Stock
Avi Cohen appointed to the board on October 23, 2026, to Class I, serving until the 2029 Annual Meeting; filing states he is independent
Company filed its delinquent Form 10-Q for the quarter ended June 30, 2026, and issued a press release on October 29, 2026
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.
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
Nasdaq's Hearings Panel granted Rain Enhancement Technologies' request for continued listing, subject to conditions tied to its proposed business combination with Tensor Networks and related financing. The combined company must meet all initial listing criteria by February 16, 2027, so the decision keeps the stock listed for now but depends on meeting those milestones.
Nasdaq Hearings Panel granted continued listing, subject to conditions
Conditions include milestones tied to the proposed Tensor Networks business combination and related financing
Combined company must comply with all initial listing criteria by no later than February 16, 2027
Class A common stock and warrants continue to trade on The Nasdaq Capital Market as RAIN and RAINW
Beneficient and certain subsidiaries filed a motion to intervene in Delaware Court of Chancery litigation brought by HCLP Nominees against Delaware Trust Company, seeking to invalidate HCLP credit agreements and cancel the purported obligations. The company says success would eliminate about $130 million of purported HCLP debt and leave it with an unleveraged balance sheet, but the motion is subject to court approval and no definitive agreement has been reached.
The motion to intervene was filed October 23, 2026, and the company seeks to recover about $211 million it previously paid on the purported debt.
If successful, the action would eliminate about $130 million of purported HCLP debt and establish that HCLP has no valid right to the related collateral.
Former CEO Brad Heppner was convicted of securities fraud and wire fraud in May 2026; his sentencing is rescheduled for January 11, 2027.
No definitive agreement on a consensual resolution with Heppner has been reached, and the filing states that negotiations and litigation do not assure a particular outcome.
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
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
Nova Minerals said the Alaska Department of Natural Resources granted final approvals for the Plan of Operations and Reclamation Plan for its Alaska antimony project, completing permitting and allowing construction to proceed toward targeted production in 2027. The filing is a press release and reports no revenue, earnings, or guidance figures, so the shareholder impact rests on the project milestone and its funding.
Final approvals from the Alaska Department of Natural Resources cover the Plan of Operations and Reclamation Plan, with an initial three-year term.
Phase 1 is fully funded by a $43.4 million U.S. Department of War award.
All major long-lead and critical mining and processing equipment has been procured and delivered to project locations.
The company is targeting antimony production in 2027.
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.
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.
Medicus Pharma Ltd. said Nasdaq notified it on October 23, 2026 that it had regained compliance with the $1.00 minimum bid price requirement and that the matter is closed. The notice supersedes an October 20, 2026 delisting determination letter that would have removed the company's shares and warrants from The Nasdaq Capital Market. The company states there can be no assurance it will maintain compliance in the future.
Nasdaq notified the company on October 23, 2026 that it regained compliance with the $1.00 minimum bid price requirement.
The closing bid price was at or above $1.00 for ten consecutive business days, from October 12 to October 23, 2026.
An October 20, 2026 delisting determination letter was superseded and rendered moot by the compliance notice.
Earlier, Nasdaq had found the company ineligible for a second 180-day compliance period because it does not meet the minimum $5 million stockholders' equity requirement.
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
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
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
T3 Defense Inc. said it believes it has regained compliance with Nasdaq's $10 million minimum stockholders' equity requirement, after holders exercised about 96% of its outstanding warrants as of September 30, 2026. The company has asked Nasdaq to confirm the resolution, but Nasdaq has not done so, and the company may face delisting if its next periodic report does not show compliance.
Nasdaq notice dated August 20, 2026 cited the $10,000,000 minimum stockholders' equity requirement under Listing Rule 5450(b)(1)(A).
Warrant liability rose from about $24.5 million at December 31, 2025 to about $124.4 million at June 30, 2026, producing a stockholders' deficit of about $19.7 million at that date.
As of September 30, 2026, warrant holders had exercised about 96% of outstanding warrants; pro forma stockholders' equity was about $99.9 million.
Nasdaq has not confirmed compliance; the next test is the Form 10-Q for the quarter ending September 30, 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
Nasdaq told ARC Group Acquisition I Corp that its warrants were out of compliance because their aggregate market value was below $1 million, and granted an extension to regain compliance by February 23, 2027. If the company does not meet the terms by that date, Nasdaq will notify it that its securities will be delisted, and the company may appeal to a Listing Qualifications Panel. The company says it expects to complete its previously announced business combination before that deadline.
Warrants' aggregate market value fell below the $1 million Nasdaq minimum under Listing Rule 5452(b)(C)
Company submitted its plan to regain compliance on October 12, 2026
Nasdaq granted an extension to regain compliance until February 23, 2027
Company expects to complete its previously announced business combination before February 23, 2027
The FDA lifted the clinical hold on the Investigational New Drug application for Aardvark's ARD-101 for hyperphagia in Prader-Willi Syndrome, and Aardvark said clinical development may resume. Resumption still depends on further engagement with the FDA on the Phase 3 trial design, and the company describes the Phase 3 HERO trial and its open-label extension as terminated.
FDA lifted the clinical hold on the ARD-101 IND, following a hold placed in May 2026 on the HERO and OLE trials
Dosing in the HERO trial was voluntarily paused on February 27, 2026 after reversible ECG changes in a separate healthy-volunteer study
A recent ECG study observed no cardiac events at ARD-101 doses of 200 mg and 400 mg twice daily
Aardvark will host a webcast on October 23, 2026 at 8:00 a.m. ET to review exploratory Phase 3 HERO and OLE data
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
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
Biohaven said the FDA accepted its new drug application resubmission for Vyglxia (troriluzole) in spinocerebellar ataxia (SCA) and considers it a complete response to the November 4, 2025 action letter. The FDA set a user fee goal date in the first quarter of 2027 and plans an advisory committee meeting, with the date to be announced later, so approval is not assured.
FDA accepted the NDA resubmission for Vyglxia (troriluzole) in SCA, which includes new supportive analyses.
FDA considers the resubmission a complete response to the November 4, 2025 action letter.
User fee goal date set for the first quarter of 2027; advisory committee meeting date to be announced in the near term.
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
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
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.
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
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
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.
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.
MiMedx and Sanara MedTech each received a Second Request from the Federal Trade Commission on October 15, 2026, as part of the FTC's review of their proposed merger. The request extends the Hart-Scott-Rodino waiting period until 30 days after the parties substantially comply, which could delay closing; the filing gives no expected timing.
FTC issued Second Requests to MiMedx and Sanara on October 15, 2026.
Second Request extends the HSR Act waiting period until 30 days after substantial compliance, unless extended voluntarily or ended earlier by the FTC.
Completion still depends on HSR waiting period expiration and other closing conditions; MiMedx says it continues to work constructively with the FTC.
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
Aquestive Therapeutics said the FDA has accepted its resubmitted New Drug Application for Anaphylm as complete and classified it as a Class 2 response, with a PDUFA goal action date of March 16, 2027. The filing does not provide financial figures, and the outcome depends on the FDA's review, which the company says it expects to complete on or before the goal date.
FDA acknowledged the Anaphylm NDA resubmission as complete and classified it as a Class 2 response
PDUFA goal action date set for March 16, 2027
Aquestive submitted the resubmission on September 16, 2026, after a January 30, 2026 Complete Response Letter
Ex-U.S. submission to Health Canada remains on track for Q4 2026
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.
Netcapital regained compliance with the Nasdaq minimum bid price rule after its closing bid price was at or above $1.00 for 10 consecutive business days, from September 23 through October 6, 2026, and Nasdaq closed the matter. The company engaged Adeptus Partners, LLC to re-audit fiscal years 2022 through 2026 because its previously issued financial statements for fiscal 2022 through 2025 should no longer be relied upon, and it has not finished evaluating the corrections that may be required. The company remains out of compliance with Nasdaq Listing Rule 5250(c)(1) for not filing its late annual and quarterly reports, so listing risk on that matter continues until a plan is accepted.
Nasdaq closed the bid price deficiency after the closing bid price was at or above $1.00 for 10 consecutive business days, September 23 through October 6, 2026.
Still out of compliance with Rule 5250(c)(1) for not filing the Form 10-K for fiscal year ended April 30, 2026 or the Form 10-Q for quarter ended July 31, 2026; plan due October 23, 2026.
Adeptus Partners, LLC engaged, with the Audit Committee approving on October 8, 2026, succeeding Fruci & Associates II, PLLC, which resigned effective August 12, 2026.
Financial statements for fiscal years 2022 through 2025 should no longer be relied upon; the scope of any restatement has not been determined.
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
Nasdaq's Hearings Panel decided on October 7, 2026, that CN Healthy Food Tech Group is in compliance and may remain listed, subject to conditions. The panel found the company failed to give Nasdaq and investors accurate information about its China Securities Regulatory Commission application, though it said the omission did not relate to finances or business operations.
Panel decision dated October 7, 2026; company may remain listed on Nasdaq
Company must keep remedial measures for three years from the panel decision date
One-year Discretionary Panel Monitor: any listing standard failure leads to a Staff Delisting Determination without a cure period
Company does not intend to seek Listing Council review; the council may still review on its own within 45 days
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
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.
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
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
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
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
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
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.
Unicycive Therapeutics resubmitted its New Drug Application for oxylanthanum carbonate (OLC) on September 29, 2026, with chemistry and manufacturing data from a new third-party drug product vendor. The company expects FDA acceptance within 30 days and a new PDUFA date six months from resubmission, following a June 2026 Complete Response Letter. The company also appointed Meredith S. Manning as an independent director effective October 1, 2026.
NDA resubmitted September 29, 2026, including CMC data from a new third-party drug product manufacturing vendor and 12 months of OLC drug product stability data.
Company anticipates FDA acceptance within 30 days; new PDUFA date expected six months from resubmission.
June 2026 CRL cited the same third-party manufacturing deficiencies as the June 2025 CRL; the original vendor's FDA inspection had not occurred as of September 29, 2026.
Meredith S. Manning appointed independent director effective October 1, 2026; cash, equivalents and marketable securities were $61.4 million as of June 30, 2026.
Aldeyra Therapeutics said it intends to submit a Formal Dispute Resolution Request to the FDA, appealing the March 16, 2026 Complete Response Letter that denied approval of reproxalap for dry eye disease. The company also extended its projected operational cash runway into 2029, based on $45.1 million in cash and cash equivalents as of June 30, 2026. The appeal's outcome and timing remain uncertain, and the filing states that the FDRR submission and meeting with the Office of New Drugs are expected in the fourth quarter of 2026.
Intends to submit an FDRR to the FDA's Office of New Drugs, appealing the March 16, 2026 Complete Response Letter for reproxalap
FDRR submission and a meeting with the Office of New Drugs are expected in the fourth quarter of 2026
Cash and cash equivalents were $45.1 million as of June 30, 2026; operational cash runway extended into 2029
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.
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
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
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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