3,560 material Form 8-K filings that 2,489 companies we cover made with the SEC in October 2026, each read and summarized by AI: what happened, the key figures, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). 2,508 of them were written later, when past filings were added: a selection, not every 8-K of the month (see the note below).
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
Revolve Group disclosed in an 8-K that unauthorized access to certain of its systems may have exposed names, contact details, payment card numbers and expiration dates for customers who saved payment information on its e-commerce platform. The company says the activity was remediated, there was no operational disruption, and it does not believe the incident will have a material impact on its business.
Unauthorized actor may have obtained, through automated means, customer names, contact information, payment card numbers and card expiration dates for customers who saved payment information.
Incident caused no operational disruption or interruption of service to customers, per the filing.
Company notified federal law enforcement and engaged external cybersecurity experts; it believes the incident will not have a material impact on its business.
Filing is dated October 29, 2026 and was signed by CFO Jesse Timmermans.
Armlogi Holding Corp. received a letter from Nasdaq on October 29, 2026, confirming it has regained compliance with the $1.00 minimum closing bid price required for continued listing on the Nasdaq Capital Market. Nasdaq closed the matter after the stock closed at or above $1.00 for 10 consecutive business days, from October 15 to October 28, 2026.
Nasdaq letter dated October 29, 2026 confirmed compliance with the Minimum Bid Price Requirement under Nasdaq Listing Rule 5550(a)(2)
Closing bid price was at $1.00 or greater for 10 consecutive business days, October 15 to October 28, 2026
Nasdaq closed the matter, so the non-compliance issue is resolved
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
Greenland Energy Company received a Nasdaq letter after director Roderick McIllree resigned on October 20, 2026, leaving it out of compliance with Nasdaq's majority independent director and audit committee requirements. The company says it appointed Melanie Furlan to the audit committee on October 27, 2026, curing the audit committee deficiency, and its common stock and warrants remain listed. The company must still regain majority independence within the cure period, which runs to the earlier of its next annual meeting or October 20, 2027, with an April 19, 2027 deadline if that meeting occurs before then.
Director Roderick McIllree resigned October 20, 2026, triggering the non-compliance.
Nasdaq letter dated October 28, 2026 set a cure period ending the earlier of the next annual meeting or October 20, 2027.
Audit committee deficiency cured October 27, 2026 by appointing Melanie Furlan; committee now includes Furlan, Scott Wollney and Carol Craig.
Common stock (GLND) and public warrants (GLNDW) continue trading on the Nasdaq Global Market.
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
Enanta Pharmaceuticals said the Unified Patent Court of the European Union ruled on October 29, 2026 that its European Patent No. EP 4 051 265 is invalid and that its infringement action against Pfizer was unfounded. The ruling ends Enanta's infringement claim over Pfizer's Paxlovid sales in the 18 participating EU member states, which the filing does not quantify.
Court decision released October 29, 2026, following a hearing held September 29, 2026
UPC concluded the '265 Patent is invalid, responding to Pfizer's counterclaim for revocation
Court also found the infringement action unfounded in light of the validity decision
Filing does not state any financial impact, damages, or next steps
On October 23, 2026, Milestone Pharmaceuticals received a Nasdaq notice that its common shares fell below the $1.00 minimum bid price for 30 consecutive business days. The company has until April 21, 2027 to regain compliance, and Nasdaq says the notice has no present impact on the listing, though failure to comply could lead to delisting.
Nasdaq notice dated October 23, 2026 cites Listing Rule 5450(a)(1) for the $1.00 minimum bid price.
Compliance period runs 180 calendar days, until April 21, 2027, requiring a closing bid of $1.00 or more for at least 10 consecutive business days.
If not compliant, the company may seek a transfer to the Nasdaq Capital Market, which requires a $5,000 application fee, or pursue a reverse stock split.
The filing states there can be no assurance the shares will remain listed.
Eureka Acquisition Corp, a Cayman Islands blank-check style company listed on Nasdaq, received a Nasdaq letter on October 26, 2026 granting it until January 31, 2027 to regain compliance with the public float requirement. The company had not met Nasdaq Listing Rule 5450(a)(4) and submitted a compliance plan on October 12, 2026. The extension means the stock stays listed for now, but the company must still meet the rule by the new deadline.
Nasdaq notice of non-compliance with Public Float Rule (Listing Rule 5450(a)(4)) was received August 27, 2026
Company submitted its compliance plan to Nasdaq on October 12, 2026
On October 26, 2026, Nasdaq granted an extension through January 31, 2027 to regain compliance
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
TXNM Energy disclosed that hearing examiners at the New Mexico Public Regulation Commission published a revised procedural schedule for the merger application on October 27, 2026. Evidentiary hearings are set for January 19 to February 1, 2027. TXNM still expects the merger with Troy ParentCo to close in the first half of 2027, but says it cannot predict the outcome.
NMPRC hearing examiners set evidentiary hearings for January 19 to February 1, 2027
The merger still requires NMPRC approval and satisfaction or waiver of customary conditions
TXNM continues to anticipate the merger closing in the first half of 2027
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.
Madison Square Garden Entertainment Corp. disclosed that, following the MSG Rangers Distribution by MSG Knickerbockers, some of its officers and directors also serve at Sphere Entertainment, MSG Knickerbockers, MSG Rangers and AMC Global Media. The filing describes potential conflicts of interest and states that the board adopted an overlap policy extending the company's existing provisions to directors and officers who serve at MSG Rangers.
James L. Dolan is Executive Chairman and CEO of the Company and also serves in those roles at Sphere Entertainment, MSG Knickerbockers and MSG Rangers, and as Non-Executive Chairman of AMC Global Media.
Eight Company directors also serve on the Sphere Entertainment board, seven on the MSG Knickerbockers board, four on the MSG Rangers board and three on the AMC Global Media board.
The articles of incorporation include Overlap Provisions that limit fiduciary liability for certain corporate opportunities directed to related companies.
The Board adopted an overlap policy to extend these provisions to Company directors and officers serving at MSG Rangers or its subsidiaries.
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
Nasdaq granted Rekor Systems an additional 180 calendar days, until April 26, 2027, to regain compliance with its minimum $1.00 bid price requirement. The notice has no immediate effect, and the common stock continues to trade on The Nasdaq Capital Market under REKR, but the company must close at or above $1.00 for at least ten consecutive business days by that date or face delisting.
Initial compliance period expired October 26, 2026; extension runs to April 26, 2027
Nasdaq first notified the company on April 27, 2026 after the stock closed below $1.00 for 30 consecutive business days
To regain compliance, the closing bid price must be at least $1.00 for ten consecutive business days
If not compliant by April 26, 2027, Nasdaq will issue a delisting notice; a hearing request would not stay trading suspension
IP Strategy Holdings, Inc. said Nasdaq has determined it regained compliance with Listing Rule 5250(c)(1), which requires timely filing of periodic reports, and that the matter is closed. The company filed its delayed Form 10-Q for the period ended June 30, 2026 on October 23, 2026, and Nasdaq notified it of compliance on October 26, 2026. The filing resolves a listing deficiency that had been disclosed since September 2026.
Nasdaq notified the company of non-compliance on August 26, 2026, due to the delayed Form 10-Q.
The Form 10-Q for the period ended June 30, 2026 was filed on October 23, 2026.
Nasdaq confirmed on October 26, 2026 that compliance was regained and the matter is closed with no further action required.
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
The NYSE has begun proceedings to delist Eve Holding's public warrants, ticker EVEXW, and suspended trading in them because of an abnormally low selling price. The filing says the common stock, ticker EVEX, is not affected and continues to trade on the NYSE.
NYSE notified the company on October 21, 2026 and the company announced it publicly on October 22, 2026.
Warrants (EVEXW) are suspended from trading and the NYSE will apply to the SEC to delist them once procedures are complete.
Each warrant is exercisable for one share of common stock at $11.50 per share.
Common stock (EVEX) continues to trade on the NYSE, subject to the company's other listing requirements.
Nasdaq granted Zeo Energy Corp. an additional 180 calendar days to regain compliance with the $1.00 minimum bid price rule for its Class A common stock. The company's stock listing and trading on the Nasdaq Capital Market are not immediately affected, but the company says there is no assurance it will regain compliance.
Nasdaq letter dated October 22, 2026 extends the compliance deadline to April 19, 2027.
The original 180-day compliance period was set to end October 20, 2026, after Nasdaq's April 23, 2026 notice.
The minimum closing bid price required is $1.00 per share for Class A common stock.
The company intends to monitor its bid price and consider options to regain compliance.
Kinetik subsidiary EagleClaw Midstream Ventures agreed on October 23, 2026 to resolve a previously disclosed dispute with Energy Transfer over when an NGL purchase agreement expires. Under the settlement, both parties confirmed the agreement's final day of term is December 31, 2026. The filing notes that a related litigation over two Energy Transfer agreements, including this one, remains pending adjudication.
Settlement agreed October 23, 2026 between EagleClaw Midstream Ventures and Energy Transfer GC NGL Product Services
ECMV NGL purchase agreement final day of term confirmed as December 31, 2026
The agreement is one of two Energy Transfer agreements subject to previously disclosed litigation, which awaits adjudication
Cumberland Pharmaceuticals plans to submit a New Drug Application to the FDA for ifetroban as a treatment for cardiomyopathy associated with Duchenne muscular dystrophy, seeking Traditional Approval based on its FIGHT DMD trial and natural history data. The FDA raised concerns that the proposed data package may not be sufficient to show substantial evidence of efficacy and requested additional analysis, and the company states there is no assurance the FDA will accept the filing or approve the drug.
The 12-month Phase 2 FIGHT DMD trial showed a statistically significant 5.4% absolute improvement in left ventricular ejection fraction (p=0.002) versus a control group.
The FDA suggested a Phase 3, randomized, placebo-controlled trial earlier in the review process, and expressed concerns about the sufficiency of the proposed data package at a pre-NDA meeting held this fall.
The FDA granted the company's request for rolling review of the NDA, allowing completed sections to be submitted before the full application.
The planned submission includes safety data from more than 1,400 subjects across approximately 30 clinical studies of ifetroban.
Azio AI Holdings told the SEC it believes it has regained compliance with Nasdaq's $2,500,000 minimum stockholders' equity requirement. The company cites a third-quarter 2026 business combination with Azio AI Corporation, warrant exercises, and stock issued under an equity purchase agreement, and it notes Nasdaq will keep monitoring compliance and may delist the stock if compliance is not shown at the next periodic report.
Nasdaq notified the company on April 29, 2026 that stockholders' equity was below the $2,500,000 minimum, based on its Form 10-K for 2025.
Nasdaq extended the deadline; the company had to file a public report demonstrating compliance on or before October 26, 2026.
In the third quarter of 2026 the company issued 2,460,351 common shares and 973,450 Series A Preferred shares in the Azio AI Corporation business combination, plus warrant exercises for 450,000 common shares and about 920,000 common shares
The company says actual results for the quarter ended September 30, 2026 may differ materially from preliminary unaudited figures.
Phathom Pharmaceuticals said the FDA has opened a public docket to seek comment on legal and regulatory questions tied to a challenge by generic filer BDR Pharmaceuticals over VOQUEZNA's exclusivity. The challenge follows FDA's June 6, 2025 decision that VOQUEZNA has 10 years of NCE exclusivity through May 3, 2032. If the challenge succeeds, exclusivity could be shortened and competing generic applications could be approved earlier than expected.
FDA docket No. FDA-2026-N-13038; comments due November 23, 2026
FDA's June 6, 2025 decision granted Phathom's Citizen Petition, recognizing NCE exclusivity through May 3, 2032
A second purported ANDA filer, Saba Ilac Sanayii Ve Ticaret AS, says it has a related case and plans to seek consolidation with BDR's case
Phathom believes the exclusivity remains in effect and will say so in its FDA comments and in court
Charlton Aria Acquisition Corp notified Nasdaq that its audit committee did not meet a listing rule from at least August 25, 2026, because a director was indirectly paid $30,000 through an accounting firm he is a partner in. The board reconstituted the audit committee on October 22, 2026, and the company believes it regained compliance that day, with no Nasdaq notice received and its securities still listed.
Director Kyoung Tak Kim's firm, Leading Edge Advisory Inc., was paid $30,000, settled in full on August 25, 2026.
Audit committee was out of compliance from at least August 25, 2026, per the filing; the matter was identified on October 20, 2026.
On October 22, 2026, Kim left the audit committee; Wang Jo Cha joined it. The audit committee is now Stephen Markscheid, Umesh Patel and Wang Jo Cha.
As of the filing date, no Nasdaq notice had been received, and the units, Class A ordinary shares and rights continue to trade on Nasdaq.
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.
Generic drugmaker BDR Pharmaceuticals has sued the FDA in federal court in Washington, D.C., challenging how the agency applied the GAIN Act to extend Phathom's new chemical entity exclusivity for VOQUEZNA tablets. If BDR succeeds, the exclusivity period could be shortened and generic versions could be approved earlier than Phathom currently expects.
BDR filed suit against the FDA in the U.S. District Court for the District of Columbia.
FDA recognized 10 years of NCE exclusivity for VOQUEZNA tablets through May 3, 2032, in a June 6, 2025 decision on Phathom's December 11, 2024 Citizen Petition.
Phathom says it is evaluating the filings and intends to take appropriate action to protect its statutory exclusivities.
ARC Group Securities Acquisition I received a Nasdaq notice on October 20, 2026, saying its outstanding warrants no longer meet the $1 million minimum aggregate market value requirement. The notice is a deficiency warning, not an imminent delisting, and it has no current effect on trading of the warrants; the company plans to submit a compliance plan.
Nasdaq notice dated October 20, 2026; warrants fell below the $1 million aggregate market value minimum under Listing Rule 5452(b)(C)
Compliance plan due to Nasdaq by December 4, 2026
If the plan is accepted, Nasdaq may extend the compliance period to April 18, 2027
Notice affects only the warrants, not other securities, and does not currently affect their listing or trading
Dragonfly Energy Holdings received a Nasdaq extension, granted October 22, 2026, to regain compliance with the minimum stockholders' equity requirement, which its June 30, 2026 10-Q showed as a $(184,000) deficit against a $2.5 million minimum. The company must file a public report evidencing compliance by December 31, 2026, and failing that could face delisting, with a right to appeal to a Nasdaq hearings panel.
Stockholders' equity deficit of $(184,000) as of June 30, 2026, versus a $2.5 million minimum
Company submitted a compliance plan to Nasdaq staff on October 5, 2026
Nasdaq extension runs through December 31, 2026; compliance report is due on or before that date
If compliance is not evidenced, staff will issue written notice of delisting and the company may appeal
Alaunos Therapeutics said Nasdaq confirmed it has regained compliance with the $2,500,000 minimum stockholders' equity requirement, closing the matter and canceling the November 10, 2026 hearing before the Nasdaq Hearings Panel. Its common stock will continue to be listed and traded on The Nasdaq Capital Market, removing the near-term delisting risk for shareholders.
Nasdaq notified the company on April 9, 2026 that it was not in compliance with the $2,500,000 stockholders' equity requirement.
The company said a private placement completed on October 14, 2026 led it to believe it had regained compliance.
On October 22, 2026, Nasdaq's Office of General Counsel confirmed compliance and closed the matter.
The hearing scheduled for November 10, 2026 was cancelled.
Century Casinos received a Nasdaq deficiency notice on October 19, 2026, because its common stock did not maintain the minimum market value of listed securities of $35 million for 30 consecutive business days. The company has until April 19, 2027 to regain compliance, and the notice has no immediate effect on its listing, but if it does not comply by then, Nasdaq will notify it that the stock is subject to delisting.
Notice received October 19, 2026 under Nasdaq Listing Rule 5550(b)(2) for the $35 million minimum market value of listed securities
Compliance Date is April 19, 2027, 180 calendar days after the notice
To regain compliance, market value must close at $35 million or more for at least 10 consecutive business days before the Compliance Date
Alternative standards are stockholders' equity of at least $2.5 million or net income from continuing operations of $500,000
Laser Photonics received a Nasdaq letter on October 20, 2026, saying its common stock closed below $1.00 per share for the last 30 consecutive business days. The notice has no immediate effect, and the stock continues to trade on The Nasdaq Capital Market as LASE, but the company has until April 19, 2027 to regain compliance or face possible delisting.
Closing bid price below $1.00 for the last 30 consecutive business days
Compliance period runs 180 calendar days to April 19, 2027
Regaining compliance requires a closing bid of at least $1.00 for a minimum of 10 consecutive business days; the company may be eligible for a second 180-day period
Citius Oncology received a Nasdaq notice on October 19, 2026 granting it until April 19, 2027 to evidence compliance with the $1.00 per share minimum bid price rule for continued Nasdaq Capital Market listing. The company's stock will keep trading under the symbol CTOR for now, but if it does not regain compliance by that date, Nasdaq will notify it that the stock is subject to delisting, and the company may appeal to a hearings panel.
Nasdaq extension runs through April 19, 2027 for compliance with the $1.00 per share bid price requirement.
Compliance requires a closing bid price of $1.00 or more for at least ten consecutive business days before April 19, 2027.
The company says it is evaluating options for regaining compliance and cannot assure it will do so.
The extension has no immediate effect on the CTOR listing on The Nasdaq Capital Market.
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
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