Delayed SEC filings put Syntec Optics (NASDAQ: OPTX) under Nasdaq compliance deadline

Filing Impact

(Moderate)

Filing Sentiment

(Neutral)

Form Type

8-K

Rhea-AI Filing Summary

Syntec Optics Holdings, Inc. reported that it has fallen behind on key SEC filings, including its Form 10-K for the year ended December 31, 2024, and its Quarterly Reports on Form 10-Q for the quarters ended March 31, 2025 and June 30, 2025. Nasdaq has granted the Company an exception to the continued listing requirements for a maximum of 180 days, through October 13, 2025.

The Company states that its auditors have substantially completed their procedures for these periods. The subject matter review is complete and the engagement quality review is nearing completion, and Syntec Optics anticipates a simultaneous release of all three reports.

Positive

None.

Negative

Delayed SEC reports and Nasdaq exception highlight listing risk – The Form 10-K for 2024 and Form 10-Qs for the quarters ended March 31, 2025 and June 30, 2025 are delayed, and Nasdaq has granted only a time-limited exception through October 13, 2025.

Insights

OPTX faces listing risk as SEC filings are delayed but audit work is nearly finished.

Syntec Optics discloses delays in filing its Form 10-K for the year ended December 31, 2024 and Form 10-Qs for the quarters ended March 31, 2025 and June 30, 2025. Nasdaq has granted a 180-day exception through October 13, 2025, signaling formal concern over listing compliance.

The Company notes its auditors have substantially completed their procedures, with subject matter review finished and engagement quality review nearing completion. This suggests technical issues are in late stages, but the absence of filed reports keeps financial visibility limited.

The anticipation of a simultaneous release of all three reports concentrates disclosure around a single point in time. Actual impact will depend on whether Syntec Optics files by October 13, 2025 and what the delayed financial statements reveal once they are publicly available.

8-K Event Classification

2 items: 3.01, 9.01

2 items

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Securities

The company received a delisting notice or transferred its listing to a different exchange.

Item 9.01 Financial Statements and Exhibits Exhibits

Financial statements, pro forma financial information, and exhibit attachments filed with this report.

Understanding 8-K Material Events →

10/02/2025 - 07:18 PM

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): October 2, 2025 (October 2, 2025)

SYNTEC OPTICS HOLDINGS, INC.

(Exact name of registrant as specified in its charter)

Delaware

001-41034

87-0816957

(State or other jurisdiction

of incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

515 Lee Rd.

Rochester, NY 14606

(Address of principal executive offices, including zip code)

Registrant’s telephone number, including area code:

(585) 768-2513

Not Applicable
(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class:	Trading Symbol(s)	Name of Each Exchange on Which Registered:
Common stock, par value $0.0001 per share	OPTX	The Nasdaq Capital Market
Redeemable warrants, exercisable for common stock at an exercise price of $11.50 per share, subject to adjustment	OPTXW	The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

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 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

As previously disclosed by Syntec Optics Holdings, Inc. (the “Company”), Form 10-K for the fiscal year ended December 31, 2024, and the Quarterly 10-Q for the quarters ended March 31, 2025 and June 30, 2025 have been delayed in their release and a NASDAQ exception will be allowed for a maximum of 180 days, or until October 13, 2025. The Company’s auditors have substantially completed their procedures for these periods. The subject matter review by the auditors has been completed, and the engagement quality review is nearing completion. We anticipate a simultaneous release of all three reports.

Item 9.01 Financial Statement and Exhibits.

(d) Exhibits

Exhibit
Number		Description

99.1		Press release dated October 2, 2025
104		Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

	SYNTEC OPTICS HOLDINGS, INC.

	By:	/s/ Al Kapoor
Date: October 2, 2025	Name:	Al Kapoor
	Title:	Chief Executive Officer

Source: View Original Filing on SEC EDGAR

FAQ

What did Syntec Optics Holdings (OPTX) disclose about its Nasdaq listing status?

Syntec Optics disclosed that it received a Nasdaq exception to continued listing rules because its Form 10-K for 2024 and two Form 10-Qs are delayed. The exception lasts a maximum of 180 days, through October 13, 2025, while the company works to complete filings.

Which SEC reports for OPTX are currently delayed according to this 8-K filing?

The company reports delays in filing its Form 10-K for the fiscal year ended December 31, 2024, and its Form 10-Qs for the quarters ended March 31, 2025 and June 30, 2025. These outstanding reports are central to Nasdaq’s temporary listing exception.

How long is Syntec Optics’ Nasdaq exception for late filings effective?

Nasdaq has allowed an exception for a maximum of 180 days, until October 13, 2025. During this period, Syntec Optics is expected to file its delayed Form 10-K and Form 10-Qs to regain full compliance with continued listing requirements.

What progress have OPTX’s auditors made on the delayed financial statements?

The company states its auditors have substantially completed their procedures for the affected periods. The subject matter review is completed and the engagement quality review is nearing completion, indicating the audit work is in the final stages before the reports can be released.

Does Syntec Optics expect to file all delayed reports at once?

Yes. Syntec Optics indicates it anticipates a simultaneous release of the Form 10-K for 2024 and the Form 10-Qs for the quarters ended March 31, 2025 and June 30, 2025, once the remaining audit review steps are finished.

What type of SEC filing did Syntec Optics use to report the Nasdaq exception?

The company used a Form 8-K, specifically under Item 3.01, which covers notices of delisting or failure to satisfy a continued listing rule or standard. This form alerts investors to potential listing compliance issues on exchanges such as Nasdaq.