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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/03/24 Cemtrex Inc. 8-K:3,5,9 12/29/23 12:289K M2 Compliance LLC/FA |
Document/Exhibit Description Pages Size
1: 8-K Current Report HTML 48K
2: EX-99.1 Miscellaneous Exhibit HTML 19K
7: R1 Cover HTML 48K
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 Inline XBRL Taxonomy Extension Definition Linkbase XML 74K
Document -- cemtrexcom-20231229_def
5: EX-101.LAB Inline XBRL Taxonomy Extension Label Linkbase XML 103K
Document -- cemtrexcom-20231229_lab
6: EX-101.PRE Inline XBRL Taxonomy Extension Presentation XML 71K
Linkbase Document -- cemtrexcom-20231229_pre
3: EX-101.SCH Inline XBRL Taxonomy Extension Schema Document -- XSD 14K
cemtrexcom-20231229
11: JSON XBRL Instance as JSON Data -- MetaLinks 27± 35K
12: ZIP XBRL Zipped Folder -- 0001493152-24-000316-xbrl Zip 29K
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 December 29, 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 11222 | ||
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: i (631) i 756-9116
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 |
CURRENT REPORT ON FORM 8-K
Cemtrex, Inc.
Item 5.07 Submission of Matters to a Vote of Security Holders.
On December 29, 2023, Cemtrex, Inc., a Delaware corporation (the “Company”), had reconvened a special meeting of stockholders of the Series 1 Preferred Stock (the “Special Meeting”).
At the time of the reconvened Special Meeting, there were insufficient votes represented by proxy or virtually in person to constitute a quorum for the transaction of business at the Special Meeting. Pursuant to the Company’s Bylaws, the meeting will not be further adjourned and thus the resolution did not pass.
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On January 3, 2024, the Company received a letter from The Nasdaq Stock Market LLC’s Hearings Panel notifying the Company that it has made the following amendments to the exception granted on September 8, 2023.
| ● | On January 8, 2024, the Company’s Series 1 Preferred Stock shall close at a minimum bid price of at least $1 per share and maintain such closing bid price for a minimum of ten consecutive business days; | |
| ● | 2. On January 22, 2024, the Company shall have demonstrated compliance with Listing Rule 5555(a)(1), by evidencing a closing bid price of $1 or more per share for a minimum of ten consecutive trading sessions. |
Considering the timeline to meet the Bid Listing Price deadline for its Series 1 Preferred Stock of January 8th, 2024, the company is considering buying back shares under the Share Repurchase Program approved on August 22, 2023, that allows the Company to repurchase shares of the Series 1 Preferred Stock through various means, including through privately negotiated transactions and through an open market program.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| Exhibit Number | Exhibit Title | |
| 99.1 | Notification of Nasdaq Hearing Panel amendment to exceptions granted on September 8, 2023, dated January 3, 2024 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
| 2 |
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: January 3, 2024 | By: | /s/ Saagar Govil |
| Saagar Govil | ||
| Chairman, President and Chief Executive Officer | ||
| 3 |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 1/22/24 | ||||
| 1/8/24 | ||||
| Filed on: | 1/3/24 | |||
| For Period end: | 12/29/23 | |||
| 9/8/23 | 8-K | |||
| 8/22/23 | 8-K | |||
| 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 |