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).
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.
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.
Briefs marked “Written later” were written in November 2026 for filings that were by then more than three weeks old, so months before mid-October 2026 hold a selection: every material 8-K of the past year for the 100 largest companies we cover and the last 15 important 8-Ks of every other one. Briefs the number check holds back are not shown or counted. Also: the last 45 days, briefs by company, A–Z and the live SEC filings wire.