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CEMTREX INC

For the period ended Sep 30, 2024. Filed Dec 30, 2024.

View on SEC.gov

About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2024 · Filed Dec 30, 2024

CETX$0.59-4.3%Stored close · as of Nov 10, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Contents

Item 15. Exhibits and Financial Statement Schedules

(a)Financial Statements and Notes to the Consolidated Financial Statements
See Index to Consolidated Financial Statements on page F-1 at beginning of attached financial statements.
(b)Exhibits
ExhibitIncorporated by ReferenceFiled or Furnished
NumberExhibit DescriptionFormFiling DateHerewith
2.1Stock Purchase Agreement, dated December 15, 2015Form 8-K/A9/26/2016
3.1Certificate of Incorporation filed with the State of Delaware.Form 10-12G5/22/2008
3.2BylawsForm 10-12G5/22/2008
3.3Amendment to Certificate of IncorporationForm 10-12G5/22/2008
3.4Amendment to Certificate of IncorporationForm 10-12G5/22/2008
3.5Amendment to Certificate of IncorporationForm 10-12G5/22/2008
3.6Amendment to Certificate of IncorporationForm 10-12G5/22/2008
3.7Amendment to Certificate of IncorporationForm 8-K8/22/2016
3.8Certificate of Designation of the Series A Preferred SharesForm 8-K9/10/2009
3.9Certificate of Designation of the Series 1 Preferred SharesForm 8-K1/24/2017
3.10Amendment to Certificate of IncorporationForm 8-K9/8/2017
3.11Certificate of Correction to the Certificate of AmendmentForm 8-K6/12/2019
3.12Amended Certificate of Designation of the Series 1 Preferred SharesForm 8-K4/1/2020
3.14Certificate of Correction to the Certificate of AmendmentForm 10-Q5/28/2021
3.15Amendment to Certificate of IncorporationForm 8-K1/20/2023
3.16Amendment to Certificate of IncorporationForm 8-K8/2/2024
4.1Form of Subscription Rights CertificateForm S-18/29/2016
4.2Form of Series 1 Preferred Stock CertificateForm S-1/A11/23/2016
4.3Form of Series 1 WarrantForm S-1/A12/7/2016
4.4Form of Common Stock Purchase WarrantForm 8-K3/22/2019
4.5Form of Prefunded WarrantForm 8-K5/3/2024
4.6Form of Series A Common Stock Purchase WarrantForm 8-K5/3/2024
4.7Form of Series B Common Stock Purchase WarrantForm 8-K5/3/2024
5.1Opinion of the Doney Law FirmForm S-1/A4/30/2024
10.1Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 3, 2023Form 10-Q5/11/2023
10.2Amendment to Loan Documents Between Advanced Industrial Services, Inc. and Fulton Bank, N.A.Form 10-Q5/11/2023
10.3Amendment to Promissory Note Between Cemtrex, Inc. and Streeterville Capital, LLForm 10-Q5/11/2023
10.4Securities Purchase Agreement dated June 1, 2020Form 8-K6/4/2020
10.5Securities Purchase Agreement dated June 9, 2020Form 8-K6/12/2020
10.6Settlement Agreement and Release between Cemtrex, Inc. and Aron Govil dated February 26, 2021Form 8-K2/26/2021
10.7Securities Purchase Agreement dated February 22, 2022Form 10-Q5/16/2022
10.8Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 30, 2022Form 10-Q5/16/2022
10.9Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022Form 8-K11/29/2022
10.10Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022Form 8-K11/29/2022
10.11Simple Agreement for Future Equity (SAFE) between Cemtrex, Inc. and Saagar Govil, dated November 18, 2022Form 8-K11/29/2022
10.122020 Equity Compensation PlanForm S-88/17/2020
10.13Asset Purchase Agreement, dated as of June 7, 2023Form 8-K12/6/2023
10.14Form of Lock-Up AgreementForm S-1/A4/30/2024
10.15Note Purchase Agreement between Cemtrex Inc. and Streeterville Capital, LLC, dated September 30, 2021Form S-1/A4/30/2024
10.16Amendment to Promissory Note between Cemtrex Inc. and Streeterville Capital, LLC, dated September 14, 2022Form S-1/A4/30/2024
10.17Amendment to Promissory Note between Cemtrex Inc. and Streeterville Capital, LLC, dated August 30, 2023Form S-1/A4/30/2024
10.18Form of Underwriting AgreementForm 8-K5/3/2024
10.19Standstill Agreement, dated April 30, 2024Form 8-K5/1/2024
21.1Subsidiaries of the RegistrantX
23.1Consent of Grassi & Co, CPAs, P.C., Independent Registered Public Accounting FirmX
31.1Certification of Chief Executive Officer as required by Rule 13a-14 or 15d-14 of the Exchange Act, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
31.2Certification of Interim Chief Financial Officer and Principal Financial Officer as required by Rule 13a-14 or 15d-14 of the Exchange Act, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
32.1Certification of Chief Executive Officer Pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act 0f of 2002.X
32.2Certification of Interim Chief Financial Officer and Principal Financial Officer Pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act 0f of 2002.X
99.1Order pursuant to Section 8A of the Securities Act – dated September 30, 2022.Form 8-K10/4/2022
101.INSInline XBRL Instance DocumentX
101.SCHInline XBRL Taxonomy Extension SchemaX
101.CALInline XBRL Taxonomy Extension Calculation LinkbaseX
101.DEFInline XBRL Taxonomy Extension Definition LinkbaseX
101.LABInline XBRL Taxonomy Extension Label LinkbaseX
101.PREInline XBRL Taxonomy Extension Presentation LinkbaseX
104Cover Page Interactive Data File (embedded within the Inline XBRL document)X
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.