CEMTREX INC — Capital/Financing Update 2021

Oct 13, 2021

Field: Rule-Page

Field: /Rule-Page

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

Field: Rule-Page

Field: /Rule-Page

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): October 8, 2021

Cemtrex Inc.

(Exact name of registrant as specified in its charter)

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

| 276

Greenpoint Ave Bld. 8 Suite 208 Brooklyn , NY	11222
(Address
of principal executive offices)	(Zip
Code)

Registrant’s telephone number, including area code: (631) 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:

| ☐ | 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 | | Series 1 Warrants | CETXW | Nasdaq Capital Market |

Field: Rule-Page

Field: /Rule-Page

Field: Page; Sequence: 1

Field: /Page

CURRENT REPORT ON FORM 8-K

Cemtrex, Inc.

Item 3.02 Unregistered Sales of Equity Securities

On September 17, 2021, Cemtrex, Inc. announced that the company would pay its dividend on Series 1 Preferred Stock in additional shares of Series 1 Preferred Stock to be issued on October 7, 2021, to the holders of record on close of business on September 30, 2021. The holders of the Series 1 Preferred Stock are entitled to receive dividends at the rate of 10% annually, based on the $10.00 per share Preference Amount, payable semiannually.

On October 8, 2021, the Company determined that the shares to be issued would be restricted securities and updated the issuance date to October 18, 2021.

Field: Page; Sequence: 2

Field: /Page

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.

| /s/

Saagar Govil
Saagar
Govil
Chairman,
President and Chief Executive Officer

Field: Page; Sequence: 3; Options: Last

Field: /Page