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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/04/22 Cemtrex Inc. 8-K:8,9 9/30/22 12:317K M2 Compliance LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 43K 2: EX-99.1 Miscellaneous Exhibit HTML 55K 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 Reports XLSX 8K 4: EX-101.DEF XBRL Definitions -- cetx-20220930_def XML 73K 5: EX-101.LAB XBRL Labels -- cetx-20220930_lab XML 102K 6: EX-101.PRE XBRL Presentations -- cetx-20220930_pre XML 70K 3: EX-101.SCH XBRL Schema -- cetx-20220930 XSD 14K 11: JSON XBRL Instance as JSON Data -- MetaLinks 27± 34K 12: ZIP XBRL Zipped Folder -- 0001493152-22-027577-xbrl Zip 36K
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 30, 2022
(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 |
C:
CURRENT REPORT ON FORM 8-K
Cemtrex, Inc.
Item 8.01 Other Events
On September 30, 2022, Cemtrex, Inc. (the “Company”) entered into a settlement with the U.S. Securities and Exchange Commission (the “SEC”) relating to matters set forth in an administrative proceeding issued by the staff of the SEC, without admitting or denying the Commission’s findings, as more fully described below.
On September 30th, 2022, acting pursuant to an offer of settlement submitted by the Company, the SEC issued an order pursuant to Section 8A of the Securities Act, directing the Company to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder (the “SEC Order”).
The SEC Order also directed Mr. Govil to cease and desist from committing or causing any violations and any future violations of Section 17(a)(3) of the Securities Act.
In addition to the above cease and desists, the Company undertook to not publicly announce that it has partnered with another company or that another company has become a customer of the Company without providing prior written notice, including a copy of the announcement text, to the business person at the other company responsible for that company’s relationship with the Company.
Also, the Company received a civil monetary penalty of two million two hundred thousand dollars ($2,200,000) in the aggregate that must be paid to the SEC. Mr. Govil also received a civil monetary penalty of three hundred and fifty thousand dollars ($350,000) in the aggregate that must be paid to the SEC. The company and Mr. Govil have remitted the payments as of Sep 30th 2022.
The SEC Order can be accessed at www.sec.gov.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| Exhibit Number | Exhibit Title | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | |
| 99.1 | Order pursuant to Section 8A of the Securities Act – dated September 30, 2022 |
C:
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: October 4, 2022 | ||
| By: | /s/ Saagar Govil | |
| Saagar Govil | ||
| Chairman, President and Chief Executive Officer | ||
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 10/4/22 | |||
| For Period end: | 9/30/22 | 8-K | ||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 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 12/28/23 Cemtrex Inc. 10-K 9/30/23 113:10M M2 Compliance LLC/FA 8/10/23 Cemtrex Inc. 10-Q 6/30/23 80:7.1M M2 Compliance LLC/FA 5/11/23 Cemtrex Inc. 10-Q 3/31/23 81:6.5M M2 Compliance LLC/FA 2/14/23 Cemtrex Inc. 10-Q 12/31/22 77:5.3M M2 Compliance LLC/FA 12/28/22 Cemtrex Inc. 10-K 9/30/22 87:9.2M M2 Compliance LLC/FA |