CEA Industries SEC Filings

CEA Industries Inc. (BNC) reported a Nasdaq compliance outcome. On October 14, 2025, Nasdaq Listing Qualifications Staff issued a public reprimand letter under Rule 5810(c)(4) for a violation of Rule 5635(b) tied to August 2025 transactions that resulted in a change of control without prior shareholder approval.

Nasdaq noted the Company’s prompt remediation, lack of deliberate intent, and prior compliance record. The Staff has closed the inquiry and informed the Company that no delisting notice will be issued, with no further action required following disclosure.

Alta Partners LLC filed an amended Schedule 13G reporting ownership in CEA Industries Inc. common stock. The filing states 39,180 shares beneficially owned, described as shares issuable upon exercise of warrants, and reports this stake as 0.09% of the class. The filing also contains an aggregate line showing 38,180 shares and 0.1%, an internal inconsistency the document does not reconcile. The filing lists Alta Partners' address in Garden City, New York, and is signed by Steven Cohen, Managing Member on 10/10/2025. The filer certifies the holdings were acquired in the ordinary course of business and not to influence control.

Notice of proposed insider sale: A Form 144 was filed for CEA Industries Inc. (symbol BNC) reporting a proposed sale of 9,347 common shares with an aggregate market value of $94,872.05 on 10/10/2025 to be executed through The Charles Schwab Corporation on NASDAQ. The shares were acquired as executive compensation in three tranches: 2,480 shares on 01/03/2023, 3,788 on 01/02/2024, and 3,079 on 01/02/2025. The filer reports no securities sold in the past three months and signs the standard representation that no undisclosed material adverse information is known.

Anthony K. McDonald, President and Director of CEA Industries Inc. (BNC), reported purchases and outstanding equity positions. On 10/06/2025 he acquired 5,848 shares of common stock on the open market at a weighted average price of $8.5497 (individual trades ranged from $8.52 to $8.70). After the purchase his direct holdings in common stock decreased to 15,025 shares, and he continues to hold 223,125 restricted stock units that convert into common shares once the company’s shareholder-approved plan is effective (they vest the business day after shareholder approval). The Form 4 is signed and dated 10/07/2025.

CEA Industries Inc. (BNC) reported an insider transaction on a Form 4. Director and President Anthony K. McDonald purchased 1,230 shares of common stock on 10/01/2025 at $7.86 per share. Following this trade, he beneficially owned 9,177 shares directly.

The filing also lists 223,125 Restricted Stock Units with an exercise price of $0. These RSUs will vest on the next business day after shareholders approve the Plan pursuant to state and federal law.