OPTX back in compliance after Oct 6 Form 10-K and 10-Qs

Rhea-AI Filing Summary

Syntec Optics Holdings, Inc. regained Nasdaq compliance with the exchange’s periodic filing requirement. Nasdaq had notified the company on April 16, May 28, and August 29, 2025, that it was not meeting this requirement. After Syntec Optics filed its Form 10-K and Form 10-Qs on October 6, 2025, Nasdaq staff determined the company is back in compliance and stated the matter is closed.

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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 17, 2025 (October 10, 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 8.01 Other Events.

On April 16, 2025, May 28, 2025, and August 29, 2025, Nasdaq Stock Market LLC (“Nasdaq”) notified Syntec Optics Holdings, Inc. (the “Company”) that it did not meet the periodic filing requirement. Based on the Company’s October 6, 2025, filings of its Form 10-K and 10-Qs, Nasdaq staff has determined that the Company has regained compliance and that this matter is now closed.

Item 9.01 Financial Statement and Exhibits.

(d) Exhibits

Exhibit
Number		Description
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 17, 2025	Name:	Al Kapoor
	Title:	Chief Executive Officer

FAQ

What did Syntec Optics (OPTX) announce in this 8-K?

The company regained compliance with Nasdaq’s periodic filing requirement, and Nasdaq stated the matter is closed.

Why was OPTX previously out of compliance?

Nasdaq notified the company on April 16, May 28, and August 29, 2025 that it did not meet the periodic filing requirement.

What actions restored OPTX’s compliance?

Syntec Optics filed its Form 10-K and Form 10-Qs on October 6, 2025, after which Nasdaq determined compliance was regained.

Is any further action required by Syntec Optics?

No. Nasdaq indicated the company has regained compliance and the matter is now closed.

Where are OPTX and OPTXW listed?

OPTX common stock and OPTXW redeemable warrants are listed on the Nasdaq Capital Market.

Which forms were involved in resolving the issue?

The company referenced the filing of its Form 10-K and Form 10-Qs on October 6, 2025.