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Current Report · Items 3.01, 8.01, 9.01 · 8-K

Calidi Biotherapeutics, Inc.

CLDINYSE_AMERICANEQUITYCurrent

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing · Other Events

Item 8.01 Other Events. On September 25, 2026, the Company issued a press release relating to the matters described in Item 3.01 of this Current Report on Form 8-K, a copy of which is attached hereto as Exhibit 99.1. Forward-Looking Statements This Current Report on Form 8-K (including Exhibit 99.1) contains “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995.…

Filed Sep 25, 2026Accepted Sep 25, 2026, 5:15 PM EDTCIK 1855485Accession 0001493152-26-044381
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Company context

We are a clinical stage biotechnology company developing genetic medicines and proprietary genetically-engineered oncolytic viruses. We are currently developing RedTail, an enveloped vaccinia virus platform designed to deliver genetic medicine to tumor sites, and two proprietary stem cell-based oncolytic virus platforms (SuperNova and NeuroNova). The RedTail platform is expected to open an IND by the end of 2026 with the first compound (CLD-401) delivering IL-15 superagonist to the tumor microenvironment (“TME”).

Current securities

Historical securities (4)

Recent company filings

  1. Entry into a Material Definitive Agreement · Other EventsSep 22, 2026
  2. 424B5 filingSep 17, 2026
  3. 4 filingAug 19, 2026
  4. 4 filingAug 19, 2026
  5. 4 filingAug 19, 2026

Registered securities in this filing

CALIDI BIOTHERAPEUTICS, INC. · 8-K · Filed 2026-09-25

As filed in this accession. Current/historical status below comes from the governed listing record; the cover itself remains exact to this filing.

Common stock, par value $0.0001 per share

Symbol
CLDI
Exchange
NYSEAMER
Classification
COMMON
Status
Current
Filing context

Context: AsOf2026-09-21

Dimensions: Not supplied

Accession 000149315226044381 · 1 registered-security cover member

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Disclosure sections

Items 3.01, 8.01, 9.01

Select an item to read the extracted section. The as-filed document remains the primary evidence.

Item 8.01Item 8.01 - Other Events
Item 8.01 Other Events. On September 25, 2026, the Company issued a press release relating to the matters described in Item 3.01 of this Current Report on Form 8-K, a copy of which is attached hereto as Exhibit 99.1. Forward-Looking Statements This Current Report on Form 8-K (including Exhibit 99.1) contains “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. These include statements about the Company’s intention to submit a compliance plan, NYSE American’s acceptance of any such plan, and the Company’s ability to regain compliance with NYSE American’s continued listing standards. These statements are subject to risks and uncertainties that could cause actual results to differ materially from those expressed or implied. Those risks include the Company’s ability to raise capital or otherwise increase stockholders’ equity, NYSE American’s evaluation of any plan the Company submits, and the other risks described under “Risk Factors” in the Company’s Annual Report on Form 10-K for the year ended December 31, 2025, and subsequent SEC filings. The Company undertakes no obligation to update any forward-looking statement, except as required by law. Item 9.01 Financial Statements and Exhibits. (d) Exhibits. Exhibit Description No. ─────────────────────────────────────────────────────────────────────────────────────── 99.1 Press Release dated September 25, 2026. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document).
Filed exhibits (1)
EX-99.1 (by filename) ex99-1.htm

Exhibit 99.1 Calidi Biotherapeutics Received NYSE American Notification Letter Regarding Stockholders’ Equity Deficiency SAN DIEGO, September 25, 2026 - Calidi Biotherapeutics, Inc. (NYSE American: CLDI) (“Calidi” or the “Company”), a biotechnology company pioneering the development of targeted genetic medicines, today announced that on September 21, 2026, the Company received a notice (the “Notice”) from the staff of NYSE American LLC (the “NYSE American”) that the Company was not in compliance with the NYSE American’s continued listing standards in Part 10, Section 1003(a)(ii)of the NYSE American Company Guide (the “Company Guide”)requiring a company to have stockholders’ equity of at least $4.0 million if it has reported losses from continuing operations and/or net losses in three of its four most recent fiscal years. The Notice also indicates that the Company is not currently eligible for any exemption in Section 1003(a) of the Company Guide (including the exemption provided for companies with total value of market capitalization exceeding $50 million among other things). In connection with its non-compliance with Section 1003(a)(ii), the Company must submit a plan (the “Pla…

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