US Corporate Distress Financial Stress SEC Filings — October 13, 2026

13-10-2026

ClearOne, Inc. (NASDAQ: CLRO) received a Nasdaq Staff determination letter on October 8, 2026 that it failed to satisfy the $2.5 million minimum stockholders' equity requirement under Nasdaq Listing Rule 5550(b)(1), after not completing remedial actions in its compliance plan submitted May 22, 2026. Nasdaq has determined to delist the company's common stock, but the company intends to request a hearing before a Nasdaq Hearings Panel by October 15, 2026, which would automatically stay suspension; absent a timely hearing request, trading would be suspended at the open on October 19, 2026. The filing contains no quantitative financial results and is negative in tone with significant uncertainty about the outcome.

• · Nasdaq initially notified the company on April 7, 2026 of non-compliance with Listing Rule 5550(b); a compliance plan deadline of May 22, 2026 applied, and Nasdaq granted an exception through October 5, 2026
• · Hearing request deadline is October 15, 2026; trading suspension would occur at the open on October 19, 2026 if no hearing is requested
• · The company states there is no assurance Nasdaq will grant a hearing or that it will regain compliance
• · The company's FY2025 Form 10-K was filed March 31, 2026 and is referenced for risk factors

13-10-2026

Newton Golf Company (Nasdaq: NWTG) received a Nasdaq Staff Determination on October 6, 2026, finding it has not demonstrated compliance with the $2.5 million minimum stockholders' equity requirement under Listing Rule 5550(b)(1), following a deficiency letter first received April 6, 2026. Unless the company requests an appeal by October 13, 2026, trading of its common stock will be suspended at the opening of business on October 15, 2026, and a Form 25-NSE will be filed to remove its securities from Nasdaq. The company intends to request a Nasdaq Hearings Panel hearing, which would stay the suspension and delisting pending the Panel's decision.

• · Deadline to request appeal of Staff Determination: October 13, 2026
• · Scheduled trading suspension if no appeal: opening of business October 15, 2026
• · Company's stock ticker: NWTG; Nasdaq Listing Rule 5550(b)(1) cited
• · A timely hearing request would stay both the trading suspension and the Form 25-NSE filing pending the Panel's decision
• · Company is an emerging growth company; the filing notes no assurance the Panel will grant continued listing or that compliance will be regained

13-10-2026

Visium Technologies, Inc. (VISM) filed its 10-K for the fiscal year ended June 30, 2026, reporting net income of $856,102 versus a net loss of $(1,341,979) in FY2025, driven largely by a $2,923,004 gain on extinguishment of debt. Cash fell to $22,212 from $60,144 (-63%), net cash used in operations widened to $(913,888) from $(411,177), and the filing discloses substantial dilution with roughly 1.27 billion common shares outstanding plus about 1.32 billion potential common shares. Interest income declined 100% to zero, and the filing carries a going-concern disclosure.

• · Net income of $856,102 was achieved only because of a $2,923,004 gain on extinguishment of debt; operating cash burn still worsened by 122% to $(913,888).
• · Cash balance fell 63% to $22,212 while the company relied on $875,956 of net financing inflows, including $528,000 of short-term note proceeds.
• · Accrued compensation dropped 96.5% to $89,158, largely due to the settlement of $2,834,819 of obligations in 40,000,000 common shares.
• · Potential dilution is severe: 1,269,509,667 common shares outstanding plus 1,320,167,346 potential common shares from preferred, dividend and convertible note conversions.
• · Common shares were issued at $0.00075 per share (500,000,000 shares for $375,000 cash) in April 2026, indicating very low equity pricing.
• · Interest income declined to zero from $12,767, and the filing includes a going-concern disclosure given the cash position and operating cash burn.
• · A risk factor section highlights exposure to economic, political, currency and expropriation risks from global and emerging-market operations.

13-10-2026

Equus Total Return, Inc. (NYSE: EQS) received a notice from the New York Stock Exchange on October 6, 2026 stating it is not in compliance with NYSE Listed Company Manual Section 802.01C because its average closing share price fell below $1.00 over a consecutive 30 trading-day period. The notice does not trigger immediate delisting; the company plans to notify the NYSE by October 20, 2026 of its intent to cure the deficiency and may consider a reverse stock split, with a six-month cure period available. The company states the notice is not expected to affect its ongoing business operations or SEC reporting obligations.

• · Company must notify the NYSE by October 20, 2026 of its intent to cure the price deficiency
• · Regaining compliance requires, on the last trading day of any month in the cure period, a closing price of at least $1.00 and a 30-day average closing price of at least $1.00
• · If cure requires stockholder approval at a special meeting, the deficiency is deemed cured if the price promptly exceeds $1.00 and stays above it for at least the following 30 trading days
• · Common Stock continues to trade on the NYSE during the cure period, subject to other continued listing standards
• · Press release announcing the NYSE notice issued October 13, 2026 (Exhibit 99.1, furnished under Regulation FD)

13-10-2026

CN Healthy Food Tech Group Corp. (UCFI) received a Nasdaq Hearings Panel decision on October 7, 2026 finding it in compliance with Nasdaq Listing Rules and permitting continued listing, subject to conditions including a one-year Discretionary Panel Monitor. The Panel found the company failed to accurately disclose the status of its China Securities Regulatory Commission (CSRC) filing in connection with its Nasdaq listing, a material omission, though the Panel noted it did not relate to finances or business operations. The company must publicly disclose the finding and remedial measures by October 14, 2026, which this 8-K satisfies.

• · Nasdaq Staff's delisting determination was based on the September 30, 2025 Form 8-K allegedly failing to disclose that the CSRC filing was under review at the time of Nasdaq listing; a Panel hearing was held August 27, 2026
• · The company terminated its prior PRC counsel and engaged a new PRC law firm under a three-year compliance advisory engagement
• · The company does not intend to request Listing Council review of the Panel Decision
• · Any failure of a Nasdaq listing standard during the monitor period results in an immediate Staff Delisting Determination with no compliance plan or cure period
• · The Panel noted the CSRC closed its investigation, which weighed in favor of permitting continued listing