CEMTREX INC 10-Q

Item 5. Other Information None. 30 Item 6. Exhibits Exhibit No. Description 2.2 Stock Purchase Agreement regarding the stock of Advanced Industrial Services, Inc., AIS Leasing Company, AIS Graphic Services, Inc., and AIS Energy Services, LLC, Dated December 15, 2015. (8) 3.1 Certificate of Incorporation of the Company.(1) 3.2 By Laws of the Company.(1) 3.3 Certificate of Amendment of Certificate of Incorporation, dated September 29, 2006.(1) 3.4 Certificate of Amendment of Certificate of Incorporation, dated March 30, 2007.(1) 3.5 Certificate of Amendment of Certificate of Incorporation, dated May 16, 2007.(1) 3.6 Certificate of Amendment of Certificate of Incorporation, dated August 21, 2007.(1) 3.7 Certificate of Amendment of Certificate of Incorporation, dated April 3, 2015.(3) 3.8 Certificate of Designation of the Series A Preferred Shares, dated September 8, 2009.(2) 3.9 Certificate of Designation of the Series 1 Preferred Stock.(11) 3.10 Certificate of Amendment of Certificate of Incorporation, dated September 7, 2017 (12) 3.11 Certificate of Correction to the Certificate of Amendment to the Amended and Restated Certificate of Incorporation, as amended, of Cemtrex, Inc (6) 3.12 Amended Certificate of Designation of the Series 1 Preferred Shares, dated March 30, 2020.(16) 3.13 Certificate of Amendment of Certificate of Incorporation, dated July 29, 2020 (20) 3.14 Certificate of Correction of Certificate of Incorporation, dated July 29, 2021, filed October 7, 2020 (9) Certificate of Amendment of Certificate of Incorporation, dated January 12, 2023 (7) 4.1 Form of Subscription Rights Certificate. (10) 4.2 Form of Series 1 Preferred Stock Certificate. (10) 4.3 Form of Series 1 Warrant. (10) 4.4 Form of Common Stock Purchase Warrant, dated March 22, 2019. (14) 10.1* Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 3, 2023. 10.2* Amendment to Loan Documents Between Advanced Industrial Services, Inc. and Fulton Bank, N.A. dated February 24, 2023 10.3* Amendment to Promissory Note Between Cemtrex, Inc. and Streeterville Capital, LLC dated May 3, 2023 10.4 Securities Purchase Agreement dated June 1, 2020 (18) 10.5 Securities Purchase Agreement dated June 9, 2020 (19) 10.6 Settlement Agreement and Release between Cemtrex, Inc. and Aron Govil dated February 26, 2021 (13) 10.7 Securities Purchase Agreement dated February 22, 2022 (15) 10.8 Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 30, 2022. (15) 10.9 Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022 (22) 10.1 Asset Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022 (22) 10.11 Simple Agreement for Future Equity (SAFE) between Cemtrex, Inc. and Saagar Govil, dated November 18, 2022 (22) 14.1 Corporate Code of Business Ethics.(4) 21.1* Subsidiaries of the Registrant 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. 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. 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. 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. 99.1 Order pursuant to Section 8A of the Securities Act – dated September 30, 2022. (21) 101.INS* Inline XBRL Instance Document 101.SCH* Inline XBRL Taxonomy Extension Schema 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase 101.LAB* Inline XBRL Taxonomy Extension Label Linkbase 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) * Filed herewith 1 Incorporated by reference from Form 10-12G filed on May 22, 2008. 2 Incorporated by reference from Form 8-K filed on September 10, 2009. 3 Incorporated by reference from Form 8-K filed on August 22, 2016. 4 Incorporated by reference from Form 8-K filed on July 1, 2016. 5 Intentionally left blank 6 Incorporated by reference from Form 8-K filed on June 12, 2019. 7 Incorporated by reference from Form 8-K filed on January 20, 2023. 8 Incorporated by reference from Form 8-K/A filed on September 26, 2016. 9 Incorporated by reference from Form 10-Q filed on May 28, 2021. 10 Incorporated by reference from Form S-1 filed on August 29, 2016 and as amended on November 4, 2016, November 23, 2016, and December 7, 2016. 11 Incorporated by reference from Form 8-K filed on January 24, 2017. 12 Incorporated by reference from Form 8-K filed on September 8, 2017. 13 Incorporated by reference from Form 8-K filed on February 26, 2021. 14 Incorporated by reference from Form 8-K filed on March 22, 2019. 15 Incorporated by reference from Form 10-Q filed on May 16, 2022. 16 Incorporated by reference from Form 8-K filed on April 1, 2020. 17 Incorporated by reference from Form 8-K filed on March 9, 2020. 18 Incorporated by reference from Form 8-K filed on June 4, 2020. 19 Incorporated by reference from Form 8-K filed on June 12, 2020. 20 Incorporated by reference from Form 10-K filed on January 5, 2021. 21 Incorporated by reference from Form 8-K filed on October 4, 2022. 22 Incorporated by reference from Form 8-K filed on November 29, 2022. 31 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. Dated: May 11, 2023 By: /s/Saagar Govil Saagar Govil Chief Executive Officer Dated: May 11, 2023 /s/Paul J. Wyckoff Paul J. Wyckoff Interim Chief Financial Officer and Principal Financial Officer 32