Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule
or Standard; Transfer of Listing.
As previously reported in a Form 12b-25 Notification of Late Filing filed by
Roth CH Acquisition III Co. (the "Company") on August 16, 2021, the Company was
delayed in filing with the Securities and Exchange Commission (the "SEC") its
Quarterly Report on Form 10-Q for the quarter ended June 30, 2021 (the "Form
10-Q") because the financial statements could not be completed in sufficient
time to solicit and obtain the necessary review of the quarterly report on Form
10-Q and signatures thereto in a timely fashion prior to the due date of the
report.
As of August 23, 2021, the Company remained unable to file the Form 10-Q. As a
result, on August 25, 2021, in accordance with standard procedures related to
the delayed filing of the Form 10-Q with the SEC, the Company received a notice
from The Nasdaq Stock Market LLC ("Nasdaq") stating that the Company is not in
compliance with the periodic filing requirements for continued listing set forth
in NASDAQ Listing Rule 5250(c)(1). Nasdaq's listing rules provide the Company
with 60 calendar days from the date of the notice to submit a plan to regain
compliance. The Nasdaq notice has no immediate effect on the listing or trading
of the Company's securities on Nasdaq.
The Company fully regained compliance with the NASDAQ continued listing
requirements as a result of filing the Form 10-Q on August 25, 2021, which
eliminated the need for the Company to submit a formal plan to regain
compliance.
A press release, dated August 26, 2021, disclosing the Company's receipt of the
NASDAQ notification letter is attached as Exhibit 99.1 and is furnished
herewith.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
99.1 Press Release, dated August 26, 2021.
104 Cover Page Interactive Data File - the cover page XBRL tags
are embedded within the Inline XBRL document.
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