Alt5 Sigma CORP 8-K Filing

Key Financial Figures

• $0.001 — ch registered Common stock (par value $0.001 per share) ALTS The Nasdaq Stock Ma

Filing Documents

• form8-k.htm (8-K) — 45KB
• ex99-1.htm (EX-99.1) — 12KB
• 0001493152-25-026011.txt ( ) — 225KB
• alts-20251202_pre.xml (EX-101.PRE) — 22KB
• alts-20251202_lab.xml (EX-101.LAB) — 33KB
• alts-20251202.xsd (EX-101.SCH) — 3KB
• form8-k_htm.xml (XML) — 4KB

01

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. As previously disclosed, on November 25, 2025, David Danziger notified the board of directors (the " Board ") of ALT5 Sigma Corporation (the " Company ") of his resignation from the Board and all committees thereof, effective immediately (the " Resignation "). On December 3, 2025, the Company received a notice from The Nasdaq Stock Market LLC (the " Notice "), notifying the Company that, as a result of the Resignation, the Company is not in compliance with the requirements under Nasdaq Listing Rule 5605 (the " Corporate Governance Requirements "), specifically Nasdaq Listing Rule 5605(c), which requires, among other things, that the Company have an Audit Committee that has at least three members, each of whom must (i) be an independent, (ii) meet the criteria for independence set forth in Rule 10A-3(b)(1) under the Securities Exchange Act of 1934, as amended, (iii) not have participated in the preparation of the financial statements of the Company or any current subsidiary of the Company at any time during the past three years, and (iv) be able to read and understand fundamental financial statements. Additionally, the Corporate Governance Requirements provide that at least one member of the Audit Committee must have had past employment experience in finance or accounting, requisite professional certification in accounting, or any other comparable experience or background which results in the individual's financial sophistication, including being or having been a chief executive officer, chief financial officer or other senior officer with financial oversight responsibilities. In accordance with the Corporate Governance Requirements, the Company is entitled to a cure period to regain compliance, which cure period will expire at the earlier of its next annual meeting of stockholders or November 25, 2026. The Company intends to appoint an additional inde

SIGNATURES

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. ALT5 SIGMA CORPORATION Date: December 3, 2025 By: /s/ Tony Isaac Tony Isaac President and Acting Chief Executive Officer

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