US Corporate Distress Financial Stress SEC Filings — October 02, 2026

02-10-2026

Amaze Holdings received notice from NYSE American on September 29, 2026, that it is being delisted due to the low selling price of its common stock, with trading suspended immediately. The company will not appeal the delisting and its shares are now quoted on the OTC Pink Limited Market. This transition to a significantly less liquid market could further depress the trading price.

• · The NYSE American determined the company no longer suitable for listing under Section 1003(f)(v) of the NYSE American Company Guide.
• · NYSE American filed a Form 25 on October 1, 2026, to delist the common stock, with the delisting effective 10 days after filing.
• · The company intends to apply for quotation on the OTCQB Venture Market.
• · The company cautions that there is no assurance that broker-dealers will continue to provide public quotes or that trading volume will be sufficient for an efficient market.

02-10-2026

Direct Digital Holdings, Inc. (DRCT) received a delisting determination from Nasdaq on October 1, 2026, due to failure to comply with the minimum stockholders' equity requirement under Listing Rule 5550(b)(1) after an extension period. Trading will be suspended effective October 5, 2026, and the company expects shares to move to the OTC Markets' OTC Pink 'Limited Information' tier, which may materially adversely affect trading price and volume. The company has 15 days to appeal the determination to the Nasdaq Listing and Hearing Review Council.

• · The delisting is based on failure to satisfy Nasdaq Listing Rule 5550(b)(1) (minimum stockholders' equity requirement).
• · The company was previously granted an extension by the Nasdaq Hearings Panel to comply with the rule.
• · Trading suspension is effective at the open of business on Monday, October 5, 2026.
• · The company may appeal to the Nasdaq Listing and Hearing Review Council within 15 days of the Delist Determination.
• · The Listing Council may separately elect to review the matter within 45 days of the determination.
• · Upon suspension, shares are expected to trade on OTC Markets' OTC Pink 'Limited Information' tier under symbol 'DRCT'.
• · The filing notes substantial doubt about the company's ability to continue as a going concern.

02-10-2026

Daré Bioscience, Inc. received a Nasdaq Staff deficiency notice on September 28, 2026, for failing to maintain the minimum $1.00 bid price per share for 30 consecutive business days. The company has until March 29, 2027, to regain compliance, with a possible additional 180-day cure period, but there is no assurance of regaining compliance and the stock remains at risk of delisting.

• · Compliance deadline to regain minimum bid price is March 29, 2027
• · If not compliant by the Compliance Date, Daré may be eligible for an additional 180-day compliance period if it meets other listing standards and provides written notice of intent to cure, potentially via a reverse stock split
• · If ineligible or unable to cure, Nasdaq Staff will issue a written delisting notice, which Daré may appeal to a Nasdaq Hearing Panel
• · Daré will monitor the closing bid price and consider options to regain compliance, but there is no assurance of success

02-10-2026

Solésence, Inc. received a Nasdaq notice on September 29, 2026, for failing to maintain the $1.00 minimum bid price for 30 consecutive trading days, triggering a 180-day compliance period ending March 29, 2027. The company is evaluating options to regain compliance, but there is no assurance of success, and a delisting would materially harm its ability to raise capital and its financial condition.

• · Compliance deadline: March 29, 2027
• · Potential additional 180-day grace period if company meets other listing standards and notifies Nasdaq of intent to cure
• · Company's common stock trades on The Nasdaq Capital Market under ticker SLSN
• · Notice has no immediate effect on listing or SEC reporting requirements

02-10-2026

Blaize Holdings, Inc. received a Nasdaq notice on September 28, 2026, that its common stock (BZAI) has fallen below the $1.00 minimum bid price for 30 consecutive business days, failing to meet Nasdaq Listing Rule 5450(a)(1). The company has a 180-day grace period until March 29, 2027, to regain compliance by achieving a closing bid price of at least $1.00 for ten consecutive business days. If it fails, it may seek a second 180-day period by transferring to the Nasdaq Capital Market, but the company acknowledges it may not regain compliance or secure an extension, putting its listing at risk.

• · The notice was received on September 28, 2026, and the compliance period began on September 25, 2026.
• · The company's common stock continues to trade on the Nasdaq Global Market under the symbol BZAI during the grace period.
• · If the company fails to regain compliance, it may apply for a second 180-day period by transferring to the Nasdaq Capital Market, provided it meets other listing standards.
• · The company explicitly warns that it may not regain compliance, secure a second period, or maintain compliance with other Nasdaq requirements.

02-10-2026

BeyondSpring Inc. (BYSI) received a Nasdaq notice on September 29, 2026, for failing to meet the $35 million market value of listed securities (MVLS) requirement for continued listing on the Nasdaq Capital Market. The company has a 180-day compliance period until March 29, 2027, to regain compliance, during which its shares will continue to trade. The company is evaluating options but cannot assure compliance.

• · The notification does not affect the company's business operations.
• · The company may appeal a delisting determination if it fails to regain compliance by March 29, 2027.
• · The company's securities will continue to trade on Nasdaq during the compliance period.

02-10-2026

XCel Brands, Inc. received a Nasdaq deficiency notice on September 29, 2026, because its common stock closing bid price fell below $1.00 for 30 consecutive business days, failing the minimum bid price requirement. The company has until March 29, 2027, to regain compliance, and may face delisting if it fails to do so, though it is considering options including a potential reverse stock split.

• · Compliance deadline: March 29, 2027
• · Company may be eligible for additional time under Nasdaq Listing Rule 5810(c)(3)(A)(ii) if it provides written notice of intent to cure via reverse stock split
• · If compliance is not regained, Nasdaq will provide notice that shares will be subject to delisting, and the company may appeal to a hearings panel
• · Company will monitor closing bid price and market value of publicly held common stock until March 29, 2027
• · No assurance that the company will be able to regain compliance with minimum bid price requirement or other Nasdaq listing criteria

02-10-2026

Healthcare Triangle, Inc. (HCTI) received a delisting notice from Nasdaq on October 1, 2026, because its common stock failed to meet the minimum $1.00 bid price requirement. The company is not eligible for the standard 180-day compliance period due to two reverse stock splits over the prior two years with a cumulative ratio of 1-for-14,940. The company intends to appeal the determination by October 8, 2026, and will present a plan to regain compliance, but there is no assurance of success.

• · The company effected a 1-for-249 reverse stock split on August 1, 2025, and a 1-for-60 reverse stock split on February 10, 2026.
• · Unless an appeal is requested by October 8, 2026, trading will be suspended at the opening of business on October 12, 2026.
• · The company's common stock continues to trade under the symbol 'HCTI' with no immediate effect on listing or trading.
• · The company intends to present a plan to regain compliance, which may include another reverse stock split.