# EDGAR Filing Document

**Accession Number:** 0001138978
**File Stem:** 0001493152-23-004633
**Filing Date:** 2023-2
**Character Count:** 6649
**Document Hash:** 9f793ed207d2ea37b2cfc0b88884e612
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-004633.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001493152-23-004633

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230209

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**ITEM INFORMATION**: Other Events

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Novo Integrated Sciences, Inc.
- **CENTRAL INDEX KEY:** 0001138978
- **STANDARD INDUSTRIAL CLASSIFICATION:** ENGINES & TURBINES [3510]
- **IRS NUMBER:** 593691650
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 0831

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40089
- **FILM NUMBER:** 23623165

**BUSINESS ADDRESS:**
- **STREET 1:** 11120 NE 2ND STREET
- **STREET 2:** SUITE 100
- **CITY:** BELLEVUE
- **STATE:** WA
- **ZIP:** 98004
- **BUSINESS PHONE:** (206) 617-9797

**MAIL ADDRESS:**
- **STREET 1:** 11120 NE 2ND STREET
- **STREET 2:** SUITE 100
- **CITY:** BELLEVUE
- **STATE:** WA
- **ZIP:** 98004

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TURBINE TRUCK ENGINES INC
- **DATE OF NAME CHANGE:** 20010420

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, DC 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 reported): **February 9, 2023**

**Novo Integrated Sciences, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Nevada** | **001-40089** | **59-3691650** |
| (State or other jurisdiction | (Commission | (IRS Employer |
| of Incorporation) | File Number) | Identification Number) |

---

**<u>11120 NE 2nd Street, Suite 200, Bellevue, WA 98004</u>**

(Address of principal executive offices)

**<u>(206) 617-9797</u>**

(Registrant's telephone number, including area code)

**<u>N/A</u>**

(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 (see General Instruction A.2.)

☐ 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 CF$240.13e-4(c))

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

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| | | |
|:---|:---|:---|
| Title of Each Class | Trading Symbol(s) | Name of Each Exchange on which Registered |
| Common Stock | NVOS | Nasdaq Capital Market |

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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 3.02. Unregistered Sales of Equity Securities.**

Between January 31, 2023 and February 9, 2023, Novo Integrated Sciences, Inc. (the "Company") issued 6,887,006 shares of common stock to certain note holders upon conversion of their notes.

On February 10, 2023, the Company issued an additional 501,598 shares of common stock to a note holder upon conversion of its note.

Following such issuances, as of February 13, 2023, the Company's issued and outstanding common share count is 135,646,831.

As of February 13, 2023, the principal balance owed by the Company pursuant to the senior secured convertible note, dated as of December 14, 2021, as amended, issued by the Company to Hudson Bay Master Fund Ltd. is $150,000.00; the principal balance owed by the Company pursuant to the senior secured convertible note, dated as of December 14, 2021, as amended, issued by the Company to CVI Investments, Inc. is $6,110.75; and the principal balance owed by the Company pursuant to the secured convertible promissory note, dated as of November 17, 2021, issued by the Company to Jefferson Street Capital LLC is $246,895.00.

**Item 8.01. Other Events.**

As previously disclosed in the Current Report on Form 8-K filed with the Securities and Exchange Commission on December 21, 2022 by the Company, on December 15, 2022, the Company received a notice on December 15, 2022 (the "December Nasdaq Notice") from the Listing Qualifications Department of The Nasdaq Stock Market LLC ("Nasdaq") advising the Company that it was not in compliance with Nasdaq's continued listing requirements under Nasdaq Listing Rule 5250(c)(1) (the "Rule") as a result of its failure to timely file its Annual Report on Form 10-K for the fiscal year ended August 31, 2022 (the "Form 10-K"). On January 26, 2023, the Company reported that it received a notice (the "January Nasdaq Notice") on January 25, 2023 from Nasdaq advising the Company that it was not in compliance with Nasdaq's continued listing requirements under the Rule as a result of its failure to timely file the Form 10-K and its Quarterly Report on Form 10-Q for the fiscal quarter ended November 30, 2022 (the "Form 10-Q").

Per the January Nasdaq Notice and in accordance with the December Nasdaq Notice, the Company had 60 calendar days from receipt of the December Nasdaq Notice or until February 13, 2023, to submit a plan to regain compliance with the Rule with the respect to the Form 10-K and the Form 10-Q.

On February 13, 2023, the Company submitted to Nasdaq its plan to regain compliance with the Rule with respect to the Form 10-K and the Form 10-Q. If Nasdaq accepts the Company's plan, then Nasdaq may grant an exception of up to 180 calendar days from the due date of the Form 10-K to regain compliance.

**SIGNATURE**

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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| | | |
|:---|:---|:---|
|  | **Novo Integrated Sciences, Inc.** | **Novo Integrated Sciences, Inc.** |
| Dated: February 14, 2023 | By: | */s/ Robert Mattacchione* |
|  |  | Robert Mattacchione |
|  |  | Chief Executive Officer |

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