CEMTREX INC — Director's Dealing 2017

Mar 7, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CEMTREX INC (CETX)
CIK: 0001435064
Period of Report: 2017-01-20

Reporting Person: Shah Shamik (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-01-20	Series 1 Preferred Stock	P	2709	—	Acquired	2709	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-01-20	Series 1 Warrants	$6.31	P	5418	Acquired	2022-01-20	Common Stock (5418)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5417	Direct

Footnotes

F1: The Series 1 Preferred Stock and Series 1 Warrants were purchased as part of a Unit under the Cemtrex, Inc. Rights Offering. Each Unit consisted of 1(one) share of Series 1 Preferred Stock and 2(two) Series 1 Warrants at a purchase price of $10 per Unit. The Series 1 Preferred Stock is not convertible into Common Stock. Both the Series 1 Preferred Stock and the Series 1 Warrants are listed on the NASDAQ Capital Market.