# EDGAR Filing Document

**Accession Number:** 0001435064
**File Stem:** 0001493152-23-004003
**Filing Date:** 2023-2
**Character Count:** 10017
**Document Hash:** 39f4cbd47ad9f275175e912662d6ebdb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-004003.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001493152-23-004003

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 19

**CONFORMED PERIOD OF REPORT**: 20230209

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CEMTREX INC
- **CENTRAL INDEX KEY:** 0001435064
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRONIC COMPONENTS & ACCESSORIES [3670]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37464
- **FILM NUMBER:** 23601538

**BUSINESS ADDRESS:**
- **STREET 1:** 276 GREENPOINT AVE. BLD 8 SUITE 208
- **CITY:** BROOKLYN
- **STATE:** NY
- **ZIP:** 11222
- **BUSINESS PHONE:** 631 756 9116

**MAIL ADDRESS:**
- **STREET 1:** 276 GREENPOINT AVE. BLD 8 SUITE 208
- **CITY:** BROOKLYN
- **STATE:** NY
- **ZIP:** 11222

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

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 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 event reported): February 9, 2023

![](form8-k_001.jpg)

**<u>Cemtrex Inc.</u>**

(Exact name of registrant as specified in its charter)

Delaware 001-37464 30-0399914 <br> (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.)

276 Greenpoint Ave Bld. 8 Suite 208 Brooklyn, NY 11101 <br> (Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code: <u>(631) 756-9116</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:

☐ Written communications pursuant to Rule 425 under the Securities Act (17CFR 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 CFR 240.13e-4(c))

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. ☐

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

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading symbol** | **Name of each exchange on which registered** |
| Common Stock | CETX | Nasdaq Capital Market |
| Series 1 Preferred Stock | CETXP | Nasdaq Capital Market |

---

**Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.**

On February 8, 2023, the Company received a notification letter from the Listing Qualifications Department of Nasdaq notifying the Company that it has regained compliance with Listing Rule 5550(a)(2) and is in compliance with all applicable listing standards. The Company's <u>common</u> stock will continue to be listed and traded on The Nasdaq Stock Market. The hearing scheduled for March 16, 2023 before the Hearings Panel has be cancelled.

**Item 9.01 Financial Statements and Exhibits**

(d) Exhibits

---

| | |
|:---|:---|
| Exhibit Number | Exhibit Title |
| 99.1 | [Notice of Listing Qualifications Hearing cancellation from NASDAQ Dated February 8, 2023](ex99-1.htm) |
| 99.2 | [Press release dated February 9, 2023](ex99-2.htm) |
| 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.** | **CEMTREX, INC.** |
| Date: February 9, 2023 | By: | */s/ Saagar Govil* |
|  |  | Saagar Govil |
|  |  | Chairman, President and Chief Executive Officer |

---

## Exhibit 99.1

EXHIBIT 99.1

![](ex99-1_001.jpg)

**<u>Sent via electronic delivery</u>**

February 8, 2023

Mr. Saagar Govil CEO

Cemtrex Inc.

276 Greenpoint Ave

Bld. 8, Suite 208

Brooklyn, NY 11222

RE: Cemtrex Inc. (Symbol: CETX) Nasdaq Listing Qualifications Hearings Docket No. NQ 6560C-23

Dear Mr. Govil:

This is to advise you that we have been informed by Staff that the bid price deficiency of Cemtrex Inc. (the "Company") has been cured, and that the Company is in compliance with all applicable listing standards. Therefore, the scheduled hearing before the Hearings Panel on March 16, 2023, has been cancelled. The Company's stock will continue to be listed and traded on The Nasdaq Stock Market.

Should you have any questions, please do not hesitate to contact me at (202) 912-3058.

Sincerely,

![](ex99-1_002.jpg)

Aravind Menon

Hearings Advisor

Nasdaq Office of General Counsel

## Exhibit 99.2

EXHIBIT 99.2

![](ex99-2_001.jpg)

**Cemtrex Regains Compliance with Nasdaq Listing Requirements**

**Brooklyn, NY - February 9, 2022 -** <u>Cemtrex Inc.</u> (NASDAQ: CETX, CETXP), an advanced security technology and industrial services company, announced today that it has received notice from the Nasdaq Stock Market LLC (Nasdaq) on February 8, 2023 informing the Company that it's common stock has regained full compliance with the minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market.

Cemtrex previously received a notification letter from the Listing Qualifications Department of Nasdaq on January 26, 2023 notifying the Company that it has not regained compliance with Listing Rule 5550(a)(2) and accordingly would be delisted from the Capital Market. Cemtrex, however, was granted an additional 180 days, or until July 24, 2023, to regain compliance with the Minimum Bid Price Requirement, a requirement which Cemtrex met on February 7, 2023.

Cemtrex effected a 1-for-35 reverse stock split that took effect at 12:01 a.m. Eastern Standard Time on January 25, 2023, and reflected with the Nasdaq Capital Market and in the marketplace at the open of business on January 25, 2023, whereupon the shares of common stock began trading on a split-adjusted basis. In connection with the reverse split, the Company's common stock continues trading on Nasdaq under the symbol "CETX" but now trades under a new CUSIP Number, 15130G 709.

**About Cemtrex**

Cemtrex Inc. (CETX) is a company that owns two operating subsidiaries: Vicon Industries Inc and Advanced Industrial Services Inc.

**Vicon Industries**, a subsidiary of Cemtrex Inc., is a global leader in advanced security and surveillance technology to safeguard businesses, schools, municipalities, hospitals and cities. Since 1967, Vicon delivers mission-critical security surveillance systems, specializing in engineering complete security solutions that simplify deployment, operation and ongoing maintenance. Vicon provides security solutions for some of the largest municipalities and businesses in the U.S. and around the world, offering a wide range of cutting-edge and compliant security technologies, from AI-driven video analytics to fully integrated access control solutions. For more information visit <u>www.vicon-security.com</u>

**AIS – Advanced Industrial Services**, a subsidiary of Cemtrex, Inc., is a premier provider of industrial contracting services including millwrighting, rigging, piping, electrical, welding. AIS Installs high precision equipment in a wide variety of industrial markets including automotive, printing & graphics, industrial automation, packaging, and chemicals. AIS owns and operates a modern fleet of custom designed specialty equipment to assure safe and quick installation of your production equipment. Our talented staff participates in recurring instructional training, provided to ensure that the most current industry methods are being utilized to provide an efficient and safe working environment. For more information visit <u>www.ais-york.com</u>

For more information visit <u>www.cemtrex.com</u>.

**Forward-Looking Statements**

This press release contains "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995, including statements relating to the closing of the offering, gross proceeds from the offering, our new product offerings, expected use of proceeds, or any proposed fundraising activities. These forward-looking statements are based on management's current expectations and are subject to certain risks and uncertainties that could cause actual results to differ materially from those set forth in or implied by such forward looking statements. Statements made herein are as of the date of this press release and should not be relied upon as of any subsequent date. These risks and uncertainties are discussed under the heading "Risk Factors" contained in our Form 10-K filed with the Securities and Exchange Commission. All information in this press release is as of the date of the release and we undertake no duty to update this information unless required by law.

**Investor Relations**

Chris Tyson

Executive Vice President – MZ North America

Direct: 949-491-8235

<u>CETX@mzgroup.us</u>

<u>www.mzgroup.us</u>