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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/12/23 Cemtrex Inc. 8-K:3,9 9/08/23 12:313K M2 Compliance LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 41K 2: EX-99.1 Miscellaneous Exhibit HTML 18K 7: R1 Cover HTML 47K 10: XML IDEA XML File -- Filing Summary XML 12K 8: XML XBRL Instance -- form8-k_htm XML 19K 9: EXCEL IDEA Workbook of Financial Report Info XLSX 8K 4: EX-101.DEF XBRL Definitions -- cetxp-20230908_def XML 73K 5: EX-101.LAB XBRL Labels -- cetxp-20230908_lab XML 102K 6: EX-101.PRE XBRL Presentations -- cetxp-20230908_pre XML 70K 3: EX-101.SCH XBRL Schema -- cetxp-20230908 XSD 14K 11: JSON XBRL Instance as JSON Data -- MetaLinks 27± 35K 12: ZIP XBRL Zipped Folder -- 0001493152-23-032363-xbrl Zip 35K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): i September 8, 2023
(Exact name of registrant as specified in its charter)
| i Delaware | i 001-37464 | i 30-0399914 | ||
| (State
or other jurisdiction of incorporation) |
(Commission
File Number) |
(I.R.S.
Employer Identification No.) |
| i 276
Greenpoint Ave Bld. 8 Suite 208 i Brooklyn, i NY |
i 11101 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: i (631) i 756-9116
(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:
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).
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. ☐
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading symbol | Name of each exchange on which registered | ||
| i Common Stock | i CETX | i Nasdaq Capital Market | ||
| i Series 1 Preferred Stock | i CETXP | i Nasdaq Capital Market |
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On September 8, 2023, Cemtrex Inc. (the “Company”) received a letter from the Nasdaq Hearings Panel (“Panel”) informing the Company that the Panel has granted the Company a temporary exception to regain compliance with The Nasdaq Stock Market LLC’s (“Nasdaq” or the “Exchange”) Listing Rule 5555(a)(1) (the “Bid Price Rule”).
The Company has represented that it intends to effect a reverse stock split if necessary to regain compliance no later than January 5, 2024, and described the actions it intends to take to be able to meet that timeline. Accordingly, the Company has been granted an exception until January 19, 2024, to effect the reverse stock split and thereafter regain compliance with the Bid Price Rule.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| Exhibit Number | Exhibit Title | |
| 99.1 | Notice of temporary exception to regain compliance from the Nasdaq Stock Market, LLC dated September 8, 2023 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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.
| CEMTREX, INC. | ||
| Date: September 12, 2023 | ||
| By: | /s/ Saagar Govil | |
| Saagar Govil | ||
| Chairman, President and Chief Executive Officer | ||
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 1/19/24 | None on these Dates | |||
| 1/5/24 | ||||
| Filed on: | 9/12/23 | |||
| For Period end: | 9/8/23 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/03/24 Cemtrex Inc. 424B4 1:566K M2 Compliance LLC/FA 4/30/24 Cemtrex Inc. S-1/A 6:1M M2 Compliance LLC/FA 4/23/24 Cemtrex Inc. S-1/A 9:1.6M M2 Compliance LLC/FA 1/17/24 Cemtrex Inc. S-1 4:760K M2 Compliance LLC/FA |