ALT5 Sigma (NASDAQ: ALTS) restores full Nasdaq compliance status
Rhea-AI Filing Summary
ALT5 Sigma Corporation described how it resolved three Nasdaq listing compliance issues. The company had previously received notices for not timely filing its Form 10-Q for the period ending September 27, 2025, for having an audit committee vacancy, and for not holding an annual stockholders’ meeting within 12 months of its fiscal year-end.
The company filed the delayed Form 10-Q on January 12, 2026, after which Nasdaq confirmed on January 13, 2026 that it was back in compliance with Listing Rule 5250(c)(1). ALT5 Sigma then appointed Tim Stanley as an independent director and Audit Committee Chair on February 6, 2026, and Nasdaq confirmed on March 3, 2026 that the audit committee requirement under Listing Rule 5605(c)(2)(A) was satisfied. Finally, after holding its 2025 Annual Meeting of Stockholders on February 27, 2026, Nasdaq notified the company on March 3, 2026 that it complied with the annual meeting requirement under Listing Rule 5620(a), closing all three matters.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 8.01 – Other Events
As disclosed on December 2, 2025, ALT5 Sigma Corporation (the “Company”) received a notice from The Nasdaq Stock Market LLC (“NASDAQ”) (the “10-Q Notice”) on November 19, 2025, notifying the Company that, since the Company had not filed its Quarterly Report on Form 10-Q for the period ending September 27, 2025 in a timely manner, it was no longer in compliance with Nasdaq Listing Rule 5250(c)(1). The 10-Q Notice also granted the Company 60 calendar days to submit a plan to regain compliance and, if the plan was accepted, Nasdaq Regulation would grant an exception of 180 calendar days from the filing’s due date or until May 18, 2026, to regain compliance. On December 21, 2025, the Company filed a plan with Nasdaq indicating that the Company would file its Form 10-Q by no later than May 18, 2026.
On January 12, 2026, the Company filed its Quarterly Report on Form 10-Q for the period ending September 27, 2025. On January 13, 2026, the Company received a letter from Nasdaq Regulation notifying the Company that, based on the January 12, 2026, filing, Nasdaq Regulation determined that the Company complied with Nasdaq Listing Rule 5250(c)(1) and that the matter was then closed.
As disclosed on December 3, 2025, the Company received a notice from NASDAQ (the “Audit Committee Notice”) on that date, notifying the Company that, as a result of the resignation of a member of the Company’s Board of Directors (the “Board”) as a director and, accordingly, from all committees on which he served, the Company was not in compliance with the requirements with Nasdaq Listing Rule 5605 (the “Corporate Governance Requirements”), specifically Nasdaq Listing Rule 5605(c)(2)(A) (the “Audit Committee Requirement”). The Audit Committee Notice also granted the Company a cure period, pursuant to Nasdaq Listing Rule 5605(c)(4).
Following the Company’s announcement on February 6, 2026, of the appointment of Mr. Tim Stanley to the Board as an independent director and as Chair of the Audit Committee, the Company received a letter from Nasdaq Regulation on March 3, 2026, confirming that the Company had regained compliance with the Audit Committee Requirement and that the matter was then closed.
Further, as disclosed on January 12, 2026, the Company received a notice from NASDAQ (the “Annual Meeting Notice”) on January 7, 2026, notifying the Company that it did not comply with Nasdaq Listing Rule 5620(a) because it had not held a stockholders’ meeting within 12 months of the end of the Company’s fiscal year. The Annual Meeting Notice also granted the Company an extension to regain compliance with Nasdaq Listing Rule 5620(a) until March 2, 2026.
Following the Company’s announcement on March 2, 2026, that the Company’s 2025 Annual Meeting of Stockholders was held on February 27, 2026, the Company received a letter from Nasdaq on March 3, 2026, indicating that the Company complied with the Annual Meeting of Stockholders Rule and that the matter was then closed.
Item 9.01. Financial Statements and Exhibits
(d) Exhibits
| Exhibit Number | Description | |
99.1 |
Nasdaq letter to ALT5 Sigma Corporation, dated January 13, 2026 regarding the 10-Q Notice. | |
| 99.2 | Nasdaq letter to ALT5 Sigma Corporation, dated March 3, 2026 regarding the Audit Committee Notice. | |
| 99.3 | Nasdaq letter to ALT5 Sigma Corporation, dated March 3, 2026 regarding the Annual Meeting Notice. | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, we have duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| ALT5 Sigma Corporation | ||
| By: | /s/ Tony Isaac | |
| Name: | Tony Isaac | |
| Title: | Acting Chief Executive Officer | |
Dated: March 5, 2026
Exhibit 99.1
Exhibit 99.2
Exhibit 99.3
FAQ
What Nasdaq compliance issues did ALT5 Sigma (ALTS) report in this 8-K?
How did ALT5 Sigma (ALTS) regain compliance with Nasdaq’s 10-Q filing rule?
What board change helped ALT5 Sigma (ALTS) fix its audit committee issue?
How did ALT5 Sigma (ALTS) resolve Nasdaq’s annual meeting deficiency notice?
Are all Nasdaq deficiency matters now closed for ALT5 Sigma (ALTS)?
What exhibits are included with ALT5 Sigma’s March 2026 8-K filing?
Filing Exhibits & Attachments
9 documents