Thursday, November 5, 2026

SEC distress filings for November 5, 2026: Cayson Acquisition, LiveWire Group, COGNITION THERAPEUTICS

Three filings from small caps that hit EDGAR on November 4, 2026 and November 5, 2026, each with one factual line and a link to the source. Summaries of public SEC filings, not investment advice. Always read the filing.

Cayson Acquisition Corp ($CAPN)
Delisting determination (8-K Item 3.01) · 8-K filed Nov 4, 2026
Cayson Acquisition Corp says Nasdaq notified it on October 29, 2026 that it had not shown compliance with the 400 total holders requirement by its October 26, 2026 extension deadline, and that Nasdaq has started delisting procedures. The company says it has appealed the determination and expects to provide the shareholder figures before a hearing is scheduled.
Read the filing on sec.gov →
LiveWire Group, Inc. ($LVWR)
Going-concern language · 10-Q filed Nov 4, 2026
LiveWire Group's 10-Q for the quarter ended September 30, 2026 says management concluded there is substantial doubt about its ability to continue as a going concern, citing a $55.0 million net loss for the first nine months of 2026 and $39.9 million in cash and cash equivalents at quarter end.
Read the filing on sec.gov →
COGNITION THERAPEUTICS INC ($CGTX)
Listing deficiency notice (8-K Item 3.01) · 8-K filed Nov 5, 2026
Cognition Therapeutics says it received a Nasdaq deficiency letter on November 3, 2026 because its stock closed below the $1.00 minimum bid price for 30 consecutive business days. It has until May 3, 2027 to regain compliance, and the company says the letter has no immediate effect on its listing.
Read the filing on sec.gov →

Deadline watch: next 30 days

Parabolic Technologies ($PARA) · Trading suspension: November 5, 2026
Nasdaq staff delisting determination (minimum bid price; no compliance period because of prior reverse splits) received October 27, 2026. The filing says trading would be suspended at the open on November 5, 2026 unless a hearing request reached Nasdaq by November 3, 2026; the company said it intended to request a Nasdaq Hearings Panel hearing, which would stay the suspension. No later Item 3.01 8-K was on EDGAR as of November 5, 2026. Filing · Tracker
American Resources ($AREC) · Compliance deadline: November 16, 2026
Nasdaq deficiency notice (late periodic filing) received October 6, 2026: compliance deadline after an extension is November 16, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 5, 2026. Filing · Tracker
Future Money Acquisition ($FMAC) · Deadline to submit a compliance plan: November 23, 2026
Nasdaq deficiency notice (late periodic filing) received September 22, 2026: deadline to submit a compliance plan is November 23, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 5, 2026. Filing · Tracker
Aether Holdings ($ATHR) · Deadline to submit a compliance plan: November 27, 2026
Nasdaq deficiency notice (annual meeting not held) received October 12, 2026: deadline to submit a compliance plan is November 27, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 5, 2026. Filing · Tracker
Better Home & Finance Holding ($BETR) · Deadline to submit a compliance plan: November 27, 2026
Nasdaq deficiency notice (audit committee / board independence) received October 13, 2026: deadline to submit a compliance plan is November 27, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 5, 2026. Filing · Tracker

Every open Nasdaq and NYSE listing notice: smallcapsiren.com/delisting-tracker

Follow-ups

Karyopharm Therapeutics ($KPTI)
Featured November 3, 2026 (Chapter 11 filing). Karyopharm now says Nasdaq notified it on November 4, 2026 that its shares will be delisted because of the bankruptcy. The company says it will not appeal, and trading is set to be suspended at the open on November 11, 2026. Filing

Also flagged

Intrusion ($INTZ) · Listing compliance extension (8-K Item 3.01), 8-K filed November 5, 2026
Intrusion says Nasdaq granted it a second 180-day period, until May 3, 2027, to regain compliance with the $1.00 minimum bid price requirement; the company told Nasdaq it would do a reverse stock split if necessary. Filing
Borealis Foods ($BRLS) · Listing rule lapse, already cured (8-K Item 3.01), 8-K filed November 4, 2026
Borealis Foods told Nasdaq on November 4, 2026 that its audit committee had only two members from September 28 to October 29, 2026, short of the three required; it says it regained compliance when it appointed a third member on October 29. Filing

Explainer: What an auditor change 8-K (Item 4.01) tells you

When a company's independent auditor resigns, is dismissed, or declines to stand for re-appointment, the company files an 8-K under Item 4.01. It must say whether there were any disagreements with the auditor or "reportable events" over the last two years, and it attaches a letter from the former auditor saying whether it agrees with the company's statements.

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