US SEC Trading Suspension Halt Orders — October 23, 2026

23-10-2026

Lunai Bioworks Inc. (Nasdaq: LNAI) received a Nasdaq Listing Qualifications letter on October 21, 2026 stating it no longer complies with Listing Rule 5550(b)(1), which requires minimum stockholders' equity of $2.5 million, after reporting a stockholders' deficit of $(9,024,946) in its FY2026 Form 10-K (fiscal year ended June 30, 2026). Rather than contest the determination, the Board approved voluntary delisting on October 22, 2026, with trading expected to be suspended on October 30, 2026 and delisting effective around November 12, 2026. The company does not intend to arrange over-the-counter quotation, so a trading market may not exist after Nasdaq suspension.

• · Company is subject to a mandatory Hearings Panel Monitor under Nasdaq Listing Rule 5815(d)(4)(B), which led Nasdaq staff to determine delisting
• · Company will not request a hearing and will not pursue OTC quotation for its common stock
• · Form 25 expected to be filed on or about November 2, 2026; Form 15 to suspend SEC reporting to follow, to the extent eligible
• · SEC reporting obligations continue unless and until terminated or suspended under SEC rules

23-10-2026

Dragonfly Energy Holdings Corp. disclosed that Nasdaq granted an extension through December 31, 2026 for the company to regain compliance with the $2.5 million minimum stockholders' equity requirement under Listing Rule 5550(b)(1). The company reported a stockholders' deficit of $(184,000) as of its June 30, 2026 Form 10-Q and did not meet the alternative market value ($35 million) or net income ($500,000) standards as of August 20, 2026. Failure to evidence compliance by December 31, 2026 could lead to delisting from the Nasdaq Capital Market.

• · Company received the initial Nasdaq deficiency letter on August 20, 2026, and submitted its compliance plan on October 5, 2026.
• · Under the extension, the company must file a public report evidencing equity compliance with the SEC and Nasdaq by December 31, 2026.
• · If compliance is not evidenced in the period-end report for December 31, 2026, Nasdaq staff will issue a delisting notice, and the company may appeal to a Nasdaq hearings panel.
• · The company is an emerging growth company and is headquartered in Reno, Nevada.

23-10-2026

STEM, Inc. received a non-compliance letter from the NYSE on October 20, 2026, after failing to meet Section 802.01B of the NYSE Listed Company Manual, which requires an average market capitalization of at least $50.0 million over 30 consecutive trading days and stockholders' equity of at least $50.0 million. The company must submit a business plan within 45 days of receiving the letter, with a path to regain compliance within 18 months, and its common stock continues to trade on the NYSE during the cure period subject to NYSE acceptance of the plan. The company states the non-compliance does not affect its ongoing business operations or SEC reporting obligations.

• · Company was notified by NYSE on October 19, 2026 of non-compliance and received the formal NYSE Letter on October 20, 2026
• · Business plan must identify specific quarterly milestones against which NYSE will evaluate progress
• · Company issued a press release on October 23, 2026 (Exhibit 99, furnished under Item 7.01, not deemed filed under Exchange Act Section 18)

23-10-2026

Akebia Therapeutics (Nasdaq: AKBA) received a Nasdaq deficiency letter on October 21, 2026, after its common stock closed below the $1.00 minimum bid price for 30 consecutive business days. The notice has no immediate effect on the listing; the company has an initial compliance period until April 19, 2027 (180 calendar days) to regain compliance by closing at or above $1.00 for at least 10 consecutive business days, with a possible second 180-day period if it qualifies and commits to a reverse stock split if necessary.

• · Nasdaq Listing Rule 5550(a)(2) bid price requirement was the basis of the deficiency notice
• · Company may appeal any eventual delisting determination to a Nasdaq Hearings Panel, with no assurance of success
• · Company stated it will monitor the bid price and evaluate options, which could include a reverse stock split

23-10-2026

Polar Power, Inc. (NASDAQ: POLA) disclosed it believes it has regained compliance with Nasdaq Listing Rule 5550(b)(1), which requires a minimum of $2.5 million in stockholders' equity, after a series of convertible note, preferred stock, warrant, and equity line financings. The Company estimates preliminary pro forma stockholders' equity of approximately $2.9 million as of the report date, but these figures are unaudited and subject to revision, and Nasdaq will continue monitoring compliance at the next periodic report, with delisting possible if compliance is not evidenced.

• · Nasdaq extension required a public filing demonstrating compliance on or before October 28, 2026
• · Equity was boosted largely by related-party and insider conversions, including CEO Arthur Sams converting $614,700 and a further $161,276 in notes
• · Financing terms include a 10% PIK dividend, perpetual Series A Preferred senior to common stock, and conversion at a discount to VWAP that can be dilutive
• · Company stated the preferred stock and warrants may be subject to reclassification or accounting adjustments, and figures are unaudited pending Q3 2026 close
• · Compliance is fragile: Nasdaq will re-test at the next periodic report and delisting may follow if equity falls below $2.5M

23-10-2026

Laser Photonics Corporation (LASE) received a Nasdaq notification on October 20, 2026 that its common stock has closed below the $1.00 minimum bid price for 30 consecutive business days, violating Nasdaq Listing Rule 5550(a)(2). The notice has no immediate effect on listing or trading, and the company has until April 19, 2027 (180 calendar days) to regain compliance by maintaining a closing bid of at least $1.00 for a minimum of 10 consecutive business days. The filing is negative for investors, as the company is at risk of delisting if it fails to cure the deficiency or qualify for a second compliance period.

• · Nasdaq Listing Rule 5810(c)(3)(A) governs the 180-day compliance period, ending April 19, 2027
• · A possible second 180-day compliance period is available if the company meets the market value of publicly held shares requirement and other initial listing standards (excluding bid price), and provides written notice of intent to cure
• · If the company fails to regain compliance or does not qualify for a second period, Nasdaq will issue a delisting determination, which the company may appeal to a hearings panel
• · The company stated it will actively monitor its bid price and consider options to regain compliance, without specifying particular measures

23-10-2026

Century Casinos received a Nasdaq deficiency notice on October 19, 2026, stating its common stock failed to maintain the minimum Market Value of Listed Securities (MVLS) of $35 million under Nasdaq Listing Rule 5550(b)(2) for 30 consecutive business days. The notice has no immediate effect on the stock's listing on the Nasdaq Capital Market, and the company has until April 19, 2027 to regain compliance. The filing notes that failure to regain compliance would lead to a delisting notice, which the company could appeal, though success is not assured.

• · Compliance Date is April 19, 2027, with the Staff possibly requiring a longer compliance period under Rule 5810(c)(3)(H)
• · Company may alternatively regain compliance by meeting stockholders' equity or net income requirements under Rule 5550(b)
• · Company's 10-K for FY2025 and subsequent filings contain additional risk factors

23-10-2026

Medicus Pharma Ltd. (MDCXW) disclosed that it received a Nasdaq delisting determination letter on October 20, 2026, after failing to regain compliance with the $1.00 minimum bid price requirement by the October 19, 2026 deadline, and that Nasdaq was not eligible for a second 180-day compliance period because it does not meet the $5 million stockholders' equity requirement. On October 23, 2026, the company received a Compliance Notice from Nasdaq stating it had regained compliance after the closing bid price was at or above $1.00 for ten consecutive business days (October 12 to October 23, 2026), superseding the delisting determination. The company cautioned that there is no assurance it will maintain compliance going forward.

• · Nasdaq deficiency notice was received April 21, 2026, with a compliance deadline of October 19, 2026
• · Company was denied a second 180-day compliance period because it fails the $5M stockholders' equity requirement
• · Delisting Determination Letter was received October 20, 2026 and rendered moot by the October 23, 2026 Compliance Notice
• · Company is an Ontario-incorporated emerging growth company headquartered in Conshohocken, Pennsylvania

23-10-2026

Innventure, Inc. received a Nasdaq letter on October 23, 2026 stating that its common stock has failed to maintain the $1.00 minimum bid price for thirty consecutive business days ended October 22, 2026, under Nasdaq Listing Rule 5450(a)(1). The company has an initial 180-calendar-day compliance period until April 21, 2027 to regain compliance by closing at or above $1.00 for ten consecutive business days, and may seek an additional 180-day period by transferring to the Nasdaq Capital Market. The letter does not trigger immediate delisting, but there is no assurance the company will regain compliance or secure additional relief.

• · Initial Compliance Period deadline is April 21, 2027
• · Additional Compliance Period requires transfer to Nasdaq Capital Market, satisfaction of market value of publicly held shares and other initial listing standards (excluding bid price), and written notice of intent to cure
• · The company's Form 10-K for FY2025 (filed March 30, 2026) contains relevant risk factors