Oak Woods Acquisition Corp SEC Filings

Oak Woods Acquisition Corporation reported that it received a notice from Nasdaq stating it is not in compliance with Nasdaq Listing Rule 5620(a), which requires listed companies to hold an annual shareholder meeting within one year after the end of their fiscal year. Nasdaq’s letter noted the company did not hold such a meeting within twelve months of its fiscal year end, triggering a continued listing deficiency.

The company has 45 calendar days, until March 2, 2026, to submit a plan to regain compliance. If Nasdaq accepts that plan, it may grant up to 180 calendar days from the fiscal year end, until June 29, 2026, for Oak Woods to hold an annual meeting and cure the issue. Oak Woods intends to submit a compliance plan and expects it will include holding an annual meeting within the allowed period. The Nasdaq notice does not immediately affect the listing or trading of the company’s securities on The Nasdaq Stock Market.

Oak Woods Acquisition Corporation filed an 8-K reporting a material event related to its publicly traded units and component securities. The filing confirms the company’s Units are composed of one Class A Ordinary Share, one Right and one Redeemable Warrant. Each Right entitles the holder to one-sixth of one Class A Ordinary Share. Each Warrant is exercisable for one Class A Ordinary Share at an exercise price of $11.50. The securities and units are listed on The Nasdaq Stock Market LLC under the tickers OAKUU (Units), OAKU (Class A), OAKUR (Rights) and OAKUW (Warrants). The document shows a filing date of August 14, 2025.

First Trust entities reported significant holdings in Oak Woods Acquisition Corp (Class A Ordinary Shares). First Trust Merger Arbitrage Fund (VARBX) disclosed beneficial ownership of 505,710 shares (14.14%), while First Trust Capital Management L.P., First Trust Capital Solutions L.P. and FTCS Sub GP LLC collectively reported 526,103 shares (14.71%). The filing states these holdings are held in client accounts and that FTCM has authority to purchase, vote and dispose of the shares on behalf of those accounts. The registrants certify the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer. The filing includes principal business addresses for the reporting persons and is a joint filing under Schedule 13G/A.

Oak Woods Acquisition Corporation submitted a Form 12b-25 notifying the SEC that its NT 10-Q for the period ended June 30, 2025 will be filed late. The registrant checked Rule 12b-25(b), indicating the quarterly report is expected to be filed on or before the fifth calendar day following the prescribed due date. The narrative states the Quarterly Report is delayed because additional time was needed by the company’s auditor and service providers to coordinate review and filing, though the narrative text is truncated and omits the final word after "filing of the ."

The form discloses that an Annual Report for the period ended December 31, 2024 has not been filed. The company states it does not anticipate a significant change in operating results compared with the prior year period. The notification is signed by Lixin Zheng as Chief Executive Officer and Chief Financial Officer on August 14, 2025, and contact phone listed is +1 403-561-7750.

Oak Woods Acquisition Corp's Schedule 13G/A reports that Meteora Capital, LLC and Vik Mittal beneficially own 427,800 Class A ordinary shares (CUSIP 67190B104), representing 10.91% of the class. The filing shows shared voting and dispositive power of 427,800 shares and no sole voting or dispositive authority. Meteora Capital files as an investment adviser holding these shares on behalf of certain funds and managed accounts; Vik Mittal is identified as the Managing Member. The statement includes a certification that the securities are held in the ordinary course of business and not for the purpose of changing control, and the amendment is signed on 08/14/2025.

Oak Woods Acquisition Corporation received a Schedule 13G/A from Mizuho Financial Group, Inc. reporting beneficial ownership of 413,916 common shares, representing 9.0% of the class. Mizuho reports sole voting and dispositive power over all 413,916 shares and identifies itself as a parent holding company, noting that Mizuho Bank, Mizuho Americas LLC and Mizuho Securities USA LLC may be indirect owners of the securities. The filing is Amendment No.3 and cites 06/30/2025 as the event date. The statement includes a certification that the securities were acquired in the ordinary course of business and that the applicable foreign regulatory scheme is substantially comparable to U.S. equivalents. The filing is signed by Takahiro Katsura on 08/13/2025.