Plum Acquisition Corp. IV misses Nasdaq 400-holder rule

Q: What holder requirement did PLMK fail to meet?

The notice states PLMK must have at least 400 total holders to meet Nasdaq’s continued-listing requirement. PLMK has 45 calendar days to submit a plan to regain compliance.

If Nasdaq accepts the plan, it may grant PLMK up to 180 calendar days from the notice to evidence compliance.

Filing Impact

(High)

Filing Sentiment

(Negative)How Sentiment works

Sentiment and the balance of points

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How Sentiment works How the balance works

Form Type

8-K

Rhea-AI Filing Summary

PLMK received a Nasdaq notice stating it did not meet the continued-listing requirement of at least 400 total holders. Nasdaq described it as a deficiency notification, not an imminent-delisting notice, and said it has no immediate effect on the listing or trading of PLMK securities.

PLMK has 45 calendar days to submit a plan to regain compliance. The company is considering responses and says there can be no assurance it will regain compliance.

Filing Explained

Submitting a plan would not itself secure more time: if Nasdaq accepts it, Nasdaq may grant up to 180 calendar days from the October 7, 2026 notice to show compliance; if Nasdaq rejects it, the company may appeal to a Nasdaq Hearings Panel.

8-K Event Classification

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

1 item

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, failed to satisfy a continued-listing rule or standard, or transferred its listing.

Key Figures

Minimum total holders: 400 total holders Plan submission period: 45 calendar days Potential compliance extension: Up to 180 calendar days +1 more

4 metrics

Minimum total holders 400 total holders Nasdaq continued-listing requirement

Plan submission period 45 calendar days Time to submit a plan to regain compliance

Potential compliance extension Up to 180 calendar days Nasdaq may grant an extension if it accepts PLMK’s plan

Warrant exercise price $11.50 per Class A ordinary share Each whole warrant is exercisable for one Class A ordinary share

Key Terms

Minimum Total Holders Requirement, Nasdaq Hearings Panel, redeemable warrant

3 terms

Minimum Total Holders Requirement regulatory

"at least 400 total holders"

Nasdaq Hearings Panel regulatory

"appeal the decision to a Nasdaq Hearings Panel"

A Nasdaq hearings panel is a group of experts that reviews cases when a company's stock listing is at risk of being removed from the exchange. They evaluate whether the company has met certain standards and determine if it can keep trading on Nasdaq. This process matters to investors because it can affect a company's ability to raise money and maintain credibility in the market.

redeemable warrant financial

"one-half of one redeemable warrant"

A redeemable warrant is a financial tool that gives its holder the right to buy shares of a company at a fixed price within a certain period. If the holder chooses to do so, the company can buy back or cancel the warrant before it expires, often to encourage investment or manage share issuance. For investors, it provides an option to potentially buy shares at a favorable price while offering some flexibility for the issuing company.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What holder requirement did PLMK fail to meet?

The notice states PLMK must have at least 400 total holders to meet Nasdaq’s continued-listing requirement. PLMK has 45 calendar days to submit a plan to regain compliance.

What if Nasdaq does not accept PLMK's compliance plan?

If Nasdaq does not accept the plan, PLMK will have the opportunity to appeal the decision to a Nasdaq Hearings Panel.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/14/2026 - 05:15 PM EDT Accepted by SEC EDGAR 10/14/2026 - 05:15 PM EDT

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 14, 2026 (October 7, 2026)

PLUM ACQUISITION CORP. IV

(Exact name of registrant as specified in its charter)

Cayman Islands		001-42472		98-1795710
(State or other jurisdiction of incorporation or organization)		(Commission File Number)		(I.R.S. Employer Identification Number)

2021 Fillmore St. #2089

San Francisco, California

94115

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (929) 529-7125

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 to 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
Units, each consisting of one Class A ordinary share, par value $0.0001 per share, and one-half of one redeemable warrant	PLMKU	Nasdaq Global Market
Class A ordinary shares, par value $0.0001 per share, included as part of the units	PLMK	Nasdaq Global Market
Warrants included as part of the units, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50	PLMKW	Nasdaq Global Market

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

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.

On October 7, 2026, Plum Acquisition Corp. IV (the “Company”) received a written notice (the “Notice”) from the staff of the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”), notifying the Company that the Company was not in compliance with Listing Rule 5450(a)(2), which requires the Company to have at least 400 total holders for continued listing on the Nasdaq Global Market (the “Minimum Total Holders Requirement”). The Notice is only a notification of deficiency, not of imminent delisting, and has no immediate effect on the listing or trading of the Company’s securities on the Nasdaq Global Market.

The Notice states that the Company has 45 calendar days to submit a plan to regain compliance with the Minimum Total Holders Requirement. If Nasdaq accepts the Company’s plan, Nasdaq may grant the Company an extension of up to 180 calendar days from the date of the Notice to evidence compliance with the Minimum Total Holders Requirement. If Nasdaq does not accept the Company’s plan, the Company will have the opportunity to appeal the decision to a Nasdaq Hearings Panel.

The Company is considering actions that it may take in response to the Notice to regain compliance with the Minimum Total Holders Requirement. However, there can be no assurance that the Company will regain compliance with such requirement.

Forward-Looking Statements

This Current Report on Form 8-K (this “Current Report”) contains forward-looking statements within the meaning of the U.S. federal securities laws. All statements contained in this Current Report other than statements of historical fact, including, without limitation, statements regarding the Company’s ability to submit a plan to regain compliance with the Minimum Total Holders Requirement, Nasdaq’s acceptance of any such plan, the Company’s ability to regain compliance with the Minimum Total Holders Requirement within any applicable compliance period, the continued listing and trading of the Company’s securities on Nasdaq, and the Company’s intentions, plans and expectations with respect to any actions it may take in response to the Notice, are forward-looking statements. Forward-looking statements are often identified by the use of words such as “anticipate,” “believe,” “continue,” “could,” “estimate,” “expect,” “intend,” “may,” “might,” “plan,” “potential,” “predict,” “project,” “should,” “will,” “would,” and similar expressions, but the absence of these words does not mean that a statement is not forward-looking. Such forward-looking statements are not guarantees of performance and actual actions or events could differ materially from those contained in such statements. Additional factors that could cause actual results to differ from the forward-looking statements herein include those discussed under the caption “Risk Factors” in the Company’s Annual Report on Form 10-K filed with the SEC on March 31, 2026, the Company’s Quarterly Reports on Form 10-Q filed with the SEC on May 15, 2026 and August 14, 2026, subsequent Quarterly Reports on Form 10-Q and the Company’s other filings with the Securities and Exchange Commission. The forward-looking statements contained in this Current Report speak only as of the date of this report and the Company undertakes no obligation to publicly update any forward-looking statements to reflect changes in information, events or circumstances after the date of this report, unless required by law.

SIGNATURE

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.

Date: October 14, 2026	PLUM ACQUISITION CORP. IV

	By:	/s/ Kanishka Roy
	Name:	Kanishka Roy
	Title:	Chief Executive Officer

Source: View Original Filing on SEC EDGAR

Filing Exhibits & Attachments

4 documents