SMALL CAP SIREN
Friday, November 6, 2026
SEC distress filings for November 6, 2026: Adicet Bio, COGNITION THERAPEUTICS, Tempest Therapeutics
Three filings from small caps that hit EDGAR on November 5, 2026 and November 6, 2026, each with one factual line and a link to the source. Summaries of public SEC filings, not investment advice. Always read the filing.
Adicet Bio, Inc. ($ACET)
First-time going-concern language · 10-Q filed Nov 5, 2026
Adicet Bio's 10-Q for the period ended September 30, 2026 includes 'substantial doubt' going-concern language, the first such language in its filings over the prior 18 months.
Read the filing on sec.gov →COGNITION THERAPEUTICS INC ($CGTX)
Bid-price deficiency notice (8-K Item 3.01) · 8-K filed Nov 5, 2026
COGNITION THERAPEUTICS says it received a Nasdaq notice on November 3, 2026 that it does not meet the $1.00 minimum bid price requirement; it has until May 3, 2027 to regain compliance.
Read the filing on sec.gov →Tempest Therapeutics, Inc. ($TPST)
Bid-price deficiency notice (8-K Item 3.01) · 8-K filed Nov 6, 2026
Tempest Therapeutics says it received a Nasdaq notice on November 4, 2026 that it does not meet the $1.00 minimum bid price requirement; it has until May 3, 2027 to regain compliance.
Read the filing on sec.gov →
Deadline watch: next 30 days
- American Resources ($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 6, 2026. Filing · Tracker - Future Money Acquisition ($FMAC) · Deadline to submit a compliance plan: November 23, 2026
Nasdaq deficiency notice (late periodic filing) received September 22, 2026: deadline to submit a compliance plan is November 23, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 6, 2026. Filing · Tracker - Aether Holdings ($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 6, 2026. Filing · Tracker - Better Home & Finance Holding ($BETR) · Deadline to submit a compliance plan: November 27, 2026
Nasdaq deficiency notice (audit committee / board independence) received October 13, 2026: deadline to submit a compliance plan is November 27, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 6, 2026. Filing · Tracker
Every open Nasdaq and NYSE listing notice: smallcapsiren.com/delisting-tracker
Also flagged
- Intrusion ($INTZ) · Listing compliance extension (8-K Item 3.01), 8-K filed November 5, 2026
INTRUSION says Nasdaq granted it an additional 180 calendar days, until May 3, 2027, to regain compliance with the $1.00 minimum bid price requirement. The letter is dated November 4, 2026, and the company says the extension has no immediate effect on its listing. Filing
Explainer: What a non-reliance 8-K (Item 4.02) means
A company files an 8-K under Item 4.02 when its board, an audit committee, or its auditor concludes that financial statements it already published should no longer be relied upon because of an error. The filing names the periods affected and usually describes the issue. Corrected numbers come later, in a restated or amended report.
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Today's full issue flagged 55 filings: auditor changes, restatements, delisting notices, bankruptcies and going-concern language, each linked to EDGAR. It's free, one email each weekday.
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