# EDGAR Filing Document

**Accession Number:** 0001844417
**File Stem:** 0001213900-25-072746
**Filing Date:** 2025-8
**Character Count:** 6323
**Document Hash:** cacd3784f67e74b4bde7f846c8c78dd3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-25-072746.hdr.sgml**: 20250807

**ACCESSION NUMBER**: 0001213900-25-072746

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250801

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

**FILED AS OF DATE**: 20250807

**DATE AS OF CHANGE**: 20250806

**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:** 251191207

**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): **August 1, 2025**

**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 |

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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 August 1, 2025, Estrella Immunopharma, Inc. (the "<u>Company</u>") received a written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC ("<u>Nasdaq</u>") indicating that the Company is not in compliance with Nasdaq Listing Rule 5550(b)(2), which requires listed securities to maintain a minimum Market Value of Listed Securities ("<u>MVLS</u>") of $35,000,000. The Company has not met this requirement for the 30 consecutive business days preceding the date of the notice. The notice indicated the period of non-compliance was from June 13, 2025, to July 31, 2025. The notice also noted that the Company does not meet the alternative continued listing requirements under Nasdaq Listing Rules 5550(b)(1) and 5550(b)(3).

The notification letter has no immediate effect on the listing of the Company's securities.

In accordance with Nasdaq Listing Rule 5810(c)(3)(C), the Company has been provided a compliance period of 180 calendar days, or until January 28, 2026, to regain compliance with the MVLS requirement. To regain compliance, the Company's MVLS must close at $35,000,000 or more for a minimum of ten consecutive business days at any time during this 180-day period.

The Company intends to actively monitor its MVLS and will consider available options to regain compliance with the Nasdaq continued listing requirements. There can be no assurance that the Company will be able to regain compliance with the MVLS requirement or maintain compliance with other Nasdaq listing requirements.

**Cautionary Note Regarding Forward-Looking Statements**

This Current Report on Form 8-K contains forward-looking statements that involve risks and uncertainties, including statements regarding the Company's ability to regain compliance with the Nasdaq continued listing standards. Such forward-looking statements are subject to risks and uncertainties, which could cause actual results to differ from those projected. The Company cautions investors not to place undue reliance on the forward-looking statements contained in this Current Report on Form 8-K.

**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: August 6, 2025 |  |  |

---