# EDGAR Filing Document

**Accession Number:** 0001844417
**File Stem:** 0001213900-26-003998
**Filing Date:** 2026-1
**Character Count:** 6423
**Document Hash:** e85759142c2b17de60d92ed67d144baa
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-26-003998.hdr.sgml**: 20260113

**ACCESSION NUMBER**: 0001213900-26-003998

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20260107

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**FILED AS OF DATE**: 20260113

**DATE AS OF CHANGE**: 20260113

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Estrella Immunopharma, Inc.
- **CENTRAL INDEX KEY:** 0001844417
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 861314502
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40608
- **FILM NUMBER:** 26530857

**BUSINESS ADDRESS:**
- **STREET 1:** 5858 HORTON STREET, SUITE 370
- **CITY:** EMERYVILLE
- **STATE:** CA
- **ZIP:** 94608
- **BUSINESS PHONE:** (510) 318-9098

**MAIL ADDRESS:**
- **STREET 1:** 5858 HORTON STREET, SUITE 370
- **CITY:** EMERYVILLE
- **STATE:** CA
- **ZIP:** 94608

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TradeUP Acquisition Corp.
- **DATE OF NAME CHANGE:** 20210204

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **January 7, 2026**

**Estrella Immunopharma, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-40608** | **86-1314502** |
| (State or other jurisdiction | (Commission File Number) | (IRS Employer |
| of incorporation) |  | Identification Number) |

---

---

| | |
|:---|:---|
| **5858 Horton Street, Suite 370**<br> **Emeryville, California** | **94608** |
| (Address of principal executive offices) | (Zip Code) |

---

**(510) 318-9098**

**(**Registrant's telephone number, including area code)

**N/A**

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act.

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol** | **Name of each exchange on which registered** |
| Common Stock, par value $0.0001 per share | ESLA | The Nasdaq Stock Market LLC |
| Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50 | ESLAW | The Nasdaq Stock Market LLC |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933(§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.**

On January 7, 2026, Estrella Immunopharma, Inc. (the "Company") received a letter (the "Letter") from the Listing Qualifications Department of The Nasdaq Stock Market LLC ("Nasdaq") indicating that the Company is not in compliance with Nasdaq Listing Rule 5620(a) because the Company has not held an annual meeting of shareholders within the required time period. The Letter also referenced the compliance plan procedures under Nasdaq Listing Rule 5810(c)(2)(G).

The Letter states that the Company has 45 calendar days to submit a plan to regain compliance. The Company intends to submit its compliance plan within the required timeframe and is currently planning to convene an annual meeting of shareholders in April 2026. The Company expects to consult with Nasdaq regarding whether holding the annual meeting currently anticipated for April 2026 will restore compliance with Nasdaq Listing Rule 5620(a) or whether Nasdaq will require any additional action. There can be no assurance that Nasdaq will accept the Company's compliance plan or that the Company will regain compliance within any exception period that may be granted.

The Letter has no immediate effect on the listing or trading of the Company's securities on Nasdaq.

**Forward-Looking Statements**

This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, including, without limitation, statements regarding the Company's intent to submit a compliance plan to Nasdaq, the timing of an annual meeting of shareholders, and the Company's expectations regarding regaining compliance with Nasdaq's listing rules. Forward-looking statements generally may be identified by words such as "may," "will," "expect," "intend," "plan," "believe," "seek," "estimate," "potential," "continue," and similar expressions. Forward-looking statements are based on management's current expectations and are subject to risks and uncertainties that could cause actual results to differ materially from those expressed or implied by such statements. The Company undertakes no obligation to update any forward-looking statements, except as required by law.

**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.

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| | | |
|:---|:---|:---|
|  | **Estrella Immunopharma, Inc.** | **Estrella Immunopharma, Inc.** |
|  | By: | */*s/ Cheng Liu |
|  | Name: | Cheng Liu |
|  | Title: | Chief Executive Officer |
| Date: January 13, 2026 |  |  |

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