# EDGAR Filing Document

**Accession Number:** 0001435064
**File Stem:** 0001493152-26-002503
**Filing Date:** 2026-1
**Character Count:** 20285
**Document Hash:** c8661ce44cf2417487f47f4613dc79c6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-26-002503.hdr.sgml**: 20260116

**ACCESSION NUMBER**: 0001493152-26-002503

**CONFORMED SUBMISSION TYPE**: 10-K/A

**PUBLIC DOCUMENT COUNT**: 16

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20260116

**DATE AS OF CHANGE**: 20260116

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CEMTREX INC
- **CENTRAL INDEX KEY:** 0001435064
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRONIC COMPONENTS & ACCESSORIES [3670]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 10-K/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37464
- **FILM NUMBER:** 26537764

**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='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 10-K/A**

**Amendment No. 1**

☒ ANNUAL
 REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES ACT OF 1934

**For the fiscal year ended September 30, 2025**

OR

☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES ACT OF 1934

**Commission File Number** 001-37464

![](form10-ka_001.jpg)

**CEMTREX, INC.**

(Exact name of registrant as specified in its charter)

<u>Delaware</u> <u>30-0399914</u> <br> (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.)

<u>135 Fell Ct. Hauppauge, NY</u> <u>11788</u> <br> (Address of principal executive offices) (Zip code)

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

**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, $0.001 par value per share | CETX | The NASDAQ Capital Market |

---

**Securities registered pursuant to Section 12(g) of the Act: Common Stock, $0.001 par value per share**

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ No ☒

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. Yes ☐ No ☒

Indicate by check mark whether the registrant (has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act. (Check one):

Large accelerated filer ☐ Accelerated filer ☐ Emerging growth company ☐ <br> Non-accelerated filer ☒ Smaller reporting 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. ☐

Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report.

If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐

Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant's executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒

As of March 31, 2025, the number of the registrant's common stock held by non-affiliates of the registrant was 118,982 and the aggregate market value $2,623,509, based on the average bid and asked price of $22.05 on March 30, 2025.

As of December 22, 2025, the registrant had 6,911,663 shares of common stock outstanding.

**Explanatory Note**

Cemtrex, Inc. (the "Company," "we," "us," or "our") is filing this Amendment No. 1 on Form 10-K/A to our Report on Form 10-K for the fiscal year ended September 30, 2025 (the "Report") for the purpose of including Exhibit 97.1, a copy of the Company's Clawback Policy, as required under SEC Rule 10D-1.

As required by Rule 12b-15 under the Exchange Act, new certifications by the Company's principal executive officer and principal financial officer are filed herewith as exhibits to this Form 10-K/A pursuant to Rule 13a-14(a) or 15d-14(a) of the Exchange Act. As no financial statements have been included in this Form 10-K/A and this Form 10-K/A does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted. Additionally, because this Amendment does not include financial statements, the Company is not including certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Except as described above, no other amendments are being made to this Report. This Form 10-K/A does not reflect events occurring after the December 29, 2025, filing of our Report or modify or update the disclosure contained in the Report in any way other than as required to reflect the amendments discussed above and reflected below.

**TABLE OF CONTENTS**

---

| | | |
|:---|:---|:---|
|  | PART IV | 4 |
| ITEM 15. | [EXHIBITS AND FINANCIAL STATEMENT SCHEDULES.](#am_002) | 4 |

---

**PART IV**

**ITEM 15 EXHIBITS AND FINANCIAL STATEMENTS**

---

| | |
|:---|:---|
| (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 |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Exhibit**<br>**Number** | <br>**Exhibit Description** | **Incorporated by Reference**<br>**Form** | **Filed or Furnished**<br>**Filing Date** | <br>**Herewith** |
| 2.1 | [Stock Purchase Agreement, dated December 15, 2015](https://www.sec.gov/Archives/edgar/data/1435064/000114420416125292/v449407_ex10-1.htm) | Form 8-K/A | 9/26/2016 |  |
| 3.1 | [Certificate of Incorporation filed with the State of Delaware.](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-1.htm) | Form 10-12G | 5/22/2008 |  |
| 3.2 | [Bylaws](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-2.htm) | Form 10-12G | 5/22/2008 |  |
| 3.3 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-3.htm) | Form 10-12G | 5/22/2008 |  |
| 3.4 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-4.htm) | Form 10-12G | 5/22/2008 |  |
| 3.5 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-5.htm) | Form 10-12G | 5/22/2008 |  |
| 3.6 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000114420408031792/v115603_ex3-6.htm) | Form 10-12G | 5/22/2008 |  |
| 3.7 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000114420416120562/v447483_ex3-1.htm) | Form 8-K/A | 8/22/2016 |  |
| 3.8 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315224038789/ex3-1.htm) | Form 8-K | 9/30/2024 |  |
| 3.9 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315224047141/ex3-1.htm) | Form 8-K | 11/21/2024 |  |
| 3.10 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315225014797/ex3-1.htm) | Form 8-K | 9/24/2025 |  |
| 3.11 | [Certificate of Designation of the Series A Preferred Shares](https://www.sec.gov/Archives/edgar/data/1435064/000114420409047901/v160150_ex4-1.htm) | Form 8-K | 9/10/2009 |  |
| 3.12 | [Certificate of Designation of the Series 1 Preferred Shares](https://www.sec.gov/Archives/edgar/data/1435064/000149315217000757/ex3-1.htm) | Form 8-K | 1/24/2017 |  |
| 3.13 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315217010368/ex3-1.htm) | Form 8-K | 9/8/2017 |  |
| 3.14 | [Certificate of Correction to the Certificate of Amendment](https://www.sec.gov/Archives/edgar/data/1435064/000149315219009062/ex3-1.htm) | Form 8-K | 6/12/2019 |  |
| 3.15 | [Amended Certificate of Designation of the Series 1 Preferred Shares](https://www.sec.gov/Archives/edgar/data/1435064/000149315220005636/ex3-1.htm) | Form 8-K | 4/1/2020 |  |
| 3.16 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315221000157/ex3-14.htm) | Form 10-K | 1/5/2021 |  |
| 3.17 | [Certificate of Correction to the Certificate of Amendment](https://www.sec.gov/Archives/edgar/data/1435064/000149315221013214/ex3-15.htm) | Form 10-Q | 5/28/2021 |  |
| 3.18 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315223001986/ex3-1.htm) | Form 8-K | 1/20/2023 |  |
| 3.19 | [Amendment to Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1435064/000149315224030103/ex3-1.htm) | Form 8-K | 8/2/2024 |  |
| 4.1 | [Form of Subscription Rights Certificate](https://www.sec.gov/Archives/edgar/data/1435064/000114420416121822/v447892_ex4-1.htm) | Form S-1 | 8/29/2016 |  |
| 4.2 | [Form of Series 1 Preferred Stock Certificate](https://www.sec.gov/Archives/edgar/data/1435064/000149315216015445/ex4-2.htm) | Form S-1/A | 11/23/2016 |  |
| 4.3 | [Form of Series 1 Warrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315216015696/ex4-3.htm) | Form S-1/A | 12/7/2016 |  |
| 4.4 | [Form of Common Stock Purchase Warrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315219003792/ex4-1.htm) | Form 8-K | 3/22/2019 |  |
| 4.5 | [Form of Prefunded Warrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017729/ex4-1.htm) | Form 8-K | 5/3/2024 |  |
| 4.6 | [Form of Series A Common Stock Purchase Warrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017729/ex4-2.htm) | Form 8-K | 5/3/2024 |  |
| 4.7 | [Form of Series B Common Stock Purchase Warrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017729/ex4-3.htm) | Form 8-K | 5/3/2024 |  |
| 5.1 | [Opinion of the Doney Law Firm](https://www.sec.gov/Archives/edgar/data/1435064/000149315224015654/ex5-1.htm) | Form S-1/A | 4/30/2024 |  |
| 10.1 | [Amendment to Loan Documents Between Advanced Industrial Services, Inc. and Fulton Bank, N.A.](https://www.sec.gov/Archives/edgar/data/1435064/000149315223016399/ex10-2.htm) | Form 10-Q | 5/11/2023 |  |
| 10.2 | [Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022](https://www.sec.gov/Archives/edgar/data/1435064/000149315222033890/ex10-2.htm) | Form 8-K | 11/29/2022 |  |
| 10.3 | [Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022](https://www.sec.gov/ix?doc=/Archives/edgar/data/1435064/000149315222033890/form8-k.htm) | Form 8-K | 11/29/2022 |  |
| 10.4 | [Simple Agreement for Future Equity (SAFE) between Cemtrex, Inc. and Saagar Govil, dated November 18, 2022](https://www.sec.gov/Archives/edgar/data/1435064/000149315222033890/ex10-3.htm) | Form 8-K | 11/29/2022 |  |
| 10.5 | [2020 Equity Compensation Plan](https://www.sec.gov/Archives/edgar/data/1435064/000149315220016116/ex10-1.htm) | Form S-8 | 8/17/2020 |  |
| 10.6 | [Asset Purchase Agreement, dated as of June 7, 2023](https://www.sec.gov/Archives/edgar/data/1435064/000149315223043872/ex10-1.htm) | Form 8-K | 12/6/2023 |  |
| 10.7 | [Form of Lock-Up Agreement](https://www.sec.gov/Archives/edgar/data/1435064/000149315224015654/ex10-14.htm) | Form S-1/A | 4/30/2024 |  |
| 10.8 | [Note Purchase Agreement between Cemtrex Inc. and Streeterville Capital, LLC, dated September 30, 2021](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017159/ex10-15.htm) | Form S-1/A | 4/30/2024 |  |
| 10.9 | [Amendment to Promissory Note between Cemtrex Inc. and Streeterville Capital, LLC, dated September 14, 2022](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017159/ex10-16.htm) | Form S-1/A | 4/30/2024 |  |
| 10.10 | [Amendment to Promissory Note between Cemtrex Inc. and Streeterville Capital, LLC, dated August 30, 2023](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017159/ex10-17.htm) | Form S-1/A | 4/30/2024 |  |
| 10.11 | [Form of Underwriting Agreement](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017729/ex1-1.htm) | Form 8-K | 5/3/2024 |  |
| 10.12 | [Standstill Agreement, dated April 30, 2024](https://www.sec.gov/Archives/edgar/data/1435064/000149315224017351/ex10-1.htm) | Form 8-K | 5/1/2024 |  |
| 10.13 | [Underwriting Agreement, dated May 28, 2025 with Aegis Capital Corp.](https://www.sec.gov/Archives/edgar/data/1435064/000164117225012804/ex1-1.htm) | Form 8-K | 5/29/2025 |  |
| 10.14 | [Share Purchase Agreement between Cemtrex, Inc, Karl F. Kiefer, and Invocon, Inc.](https://www.sec.gov/Archives/edgar/data/1435064/000149315225024257/ex10-1.htm) | Form 8-K | 11/19/2025 |  |
| 10.15 | [Securities Purchase Agreement, dated December 11, 2025](https://www.sec.gov/Archives/edgar/data/1435064/000149315225027260/ex10-1.htm) | Form 8-K | 12/11/2025 |  |
| 21.1 | [Subsidiaries of the Registrant](https://www.sec.gov/Archives/edgar/data/1435064/000149315225029383/ex21-1.htm) | Form 10-K | 12/29/2025 |  |
| 23.1 | [Consent of Grassi & Co, CPAs, P.C., Independent Registered Public Accounting Firm](https://www.sec.gov/Archives/edgar/data/1435064/000149315225029383/ex23-1.htm) | Form 10-K | 12/29/2025 |  |
| 31.1 | [Certification 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.](ex31-1.htm) |  |  | X |
| 31.2 | [Certification 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.](ex31-2.htm) |  |  | X |
| 32.1 | [Certification 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.](https://www.sec.gov/Archives/edgar/data/1435064/000149315225029383/ex32-1.htm) | Form 10-K | 12/29/2025 |  |
| 32.2 | [Certification 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.](https://www.sec.gov/Archives/edgar/data/1435064/000149315225029383/ex32-2.htm) | Form 10-K | 12/29/2025 |  |
| 97.1 | [Clawback Policy](https://www.sec.gov/Archives/edgar/data/1435064/000164117225003774/ex97-1.htm) | Form 10-K/A | 4/11/2025 |  |
| 99.1 | [Order pursuant to Section 8A of the Securities Act – dated September 30, 2022.](https://www.sec.gov/Archives/edgar/data/1435064/000149315222027577/ex99-1.htm) | Form 8-K | 10/4/2022 |  |
| 101.INS | Inline XBRL Instance Document |  |  | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema |  |  | X |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase |  |  | X |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase |  |  | X |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase |  |  | X |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase |  |  | X |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |  |  | X |

---

**SIGNATURES**

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

---

| | | |
|:---|:---|:---|
|  | **CEMTREX, INC.** | **CEMTREX, INC.** |
| Dated: January 16, 2026 | By: | */s/ Saagar Govil* |
|  |  | Saagar Govil, |
|  |  | Chairman of the Board, CEO, |
|  |  | President and Secretary (Principal Executive Officer) |

---

---

| | | |
|:---|:---|:---|
| Dated: January 16, 2026 | By: | */s/ Paul J. Wyckoff.* |
|  |  | Paul J. Wyckoff, |
|  |  | CFO (Principal Financial and Accounting Officer) |

---

Pursuant to the requirements of the Securities and Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

---

| | | |
|:---|:---|:---|
| Dated: January 16, 2026 | By: | */s/ Saagar Govil*. |
|  |  | Saagar Govil, |
|  |  | Chairman of the Board, CEO, |
|  |  | President and Secretary (Principal Executive Officer) |

---

---

| | | |
|:---|:---|:---|
| Dated: January 16, 2026 | By: | */s/ Paul J. Wyckoff.* |
|  |  | Paul J. Wyckoff, |
|  |  | Interim CFO (Principal Financial and Accounting Officer) |

---

---

| | | |
|:---|:---|:---|
| Dated: January 16, 2026 | By: | */s/ Brian Kwon* |
|  |  | Brian Kwon, |
|  |  | Director |
| Dated: January 16, 2026 | By: | */s/ Manpreet Singh* |
|  |  | Manpreet Singh, |
|  |  | Director |
| Dated: January 16, 2026 | By: | */s/ Metodi Filipov* |
|  |  | Metodi Filipov, |
|  |  | Director |

---

## Exhibit 31.1

**EXHIBIT 31.1**

**CERTIFICATION PURSUANT TO RULE 13a/15d OF THE SECURITIES AND EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Saagar Govil, certify that:

&nbsp;&nbsp;&nbsp;&nbsp;1. I
 have reviewed this report on Form 10-K/A of Cemtrex, Inc., for the fiscal year ended September
 30, 2025;

2. Based
 on my knowledge, this report does not contain any untrue statement of a material fact or
 omit to state a material fact necessary to make the statements made, in light of the circumstances
 under which such statements were made, not misleading with respect to the period covered
 by this report;

---

| | |
|:---|:---|
| Dated: January 16, 2026 | */s/ Saagar Govil* |
|  | Saagar Govil, |
|  | Chairman of the Board, CEO, |
|  | President and Secretary (Principal Executive Officer) |

---

## Exhibit 31.2

**EXHIBIT 31.2**

**CERTIFICATION PURSUANT TO RULE 13a/15d OF THE SECURITIES AND EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Paul J. Wyckoff certify that:

&nbsp;&nbsp;&nbsp;&nbsp;1. I
 have reviewed this report on Form 10-K/A of Cemtrex, Inc., for the fiscal year ended September
 30, 2025;

2. Based
 on my knowledge, this report does not contain any untrue statement of a material fact or
 omit to state a material fact necessary to make the statements made, in light of the circumstances
 under which such statements were made, not misleading with respect to the period covered
 by this report;

---

| | |
|:---|:---|
| Dated: January 16, 2026 | */s/ Paul J Wyckoff* |
|  | Paul J. Wyckoff, |
|  | Chief Financial Officer |
|  | (Principal Financial and Accounting Officer) |

---