What changed in this filing

/stocks — the workspaceLOADING

Item 5. Other Information

2024-02-14 compared with 2023-08-10 · 16 added, 71 removed, 14 unchanged (86% of the section changed)

Other Information

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.

Certificate of Incorporation of the Company.(1)

By Laws of the Company.(1)

Certificate of Amendment of Certificate of Incorporation, dated September 29, 2006.(1)

Certificate of Amendment of Certificate of Incorporation, dated March 30, 2007.(1)

Certificate of Amendment of Certificate of Incorporation, dated May 16, 2007.(1)

Certificate of Amendment of Certificate of Incorporation, dated August 21, 2007.(1)

Certificate of Amendment of Certificate of Incorporation, dated April 3, 2015.(3)

Certificate of Designation of the Series A Preferred Shares, dated September 8, 2009.(2)

Certificate of Designation of the Series 1 Preferred Stock.(11)

Certificate of Amendment of Certificate of Incorporation, dated September 7, 2017 (12)

Certificate of Correction to the Certificate of Amendment to the Amended and Restated Certificate of Incorporation, as amended, of Cemtrex, Inc (6)

Amended Certificate of Designation of the Series 1 Preferred Shares, dated March 30, 2020.(16)

Certificate of Amendment of Certificate of Incorporation, dated July 29, 2020 (20)

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)

Form of Subscription Rights Certificate.

Form of Series 1 Preferred Stock Certificate.

Form of Series 1 Warrant.

Form of Common Stock Purchase Warrant, dated March 22, 2019.

Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 3, 2023.

Amendment to Loan Documents Between Advanced Industrial Services, Inc.

and Fulton Bank, N.A.

dated February 24, 2023 (5)

Amendment to Promissory Note Between Cemtrex, Inc.

and Streeterville Capital, LLC dated May 3, 2023 (5)

Securities Purchase Agreement dated June 1, 2020 (18)

Securities Purchase Agreement dated June 9, 2020 (19)

Settlement Agreement and Release between Cemtrex, Inc.

and Aron Govil dated February 26, 2021 (13)

Securities Purchase Agreement dated February 22, 2022 (15)

Amendment of the Term Loan Agreement between Vicon and NIL Funding, dated March 30, 2022.

Asset Purchase agreement between Cemtrex, Inc.

and Saagar Govil, dated November 22, 2022 (22)

Asset Purchase agreement between Cemtrex, Inc.

and Saagar Govil, dated November 22, 2022 (22)

Simple Agreement for Future Equity (SAFE) between Cemtrex, Inc.

and Saagar Govil, dated November 18, 2022 (22)

Corporate Code of Business Ethics.(4)

Subsidiaries of the Registrant

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.

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.

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.

Certification of Interim Chief Financial Officer and Principal Financial Officer Pursuant to 18 U.S.C.

and Security Agreement and Promissory Note, dated October 5, 2023

of the Registrant

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

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.

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.

Order pursuant to Section 8A of the Securities Act – dated September 30, 2022.

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.

XBRL Instance Document

5 unchanged sentences

Page Interactive Data File (embedded within the Inline XBRL document)

by reference from Form 10-12G filed on May 22, 2008.

by reference from Form 8-K filed on September 10, 2009.

by reference from Form 8-K filed on August 22, 2016.

by reference from Form 8-K filed on July 1, 2016.

by reference from Form 10-Q filed on May 11, 2023.

by reference from Form 8-K filed on June 12, 2019.

by reference from Form 8-K filed on January 20, 2023.

by reference from Form 8-K/A filed on September 26, 2016.

by reference from Form 10-Q filed on May 28, 2021.

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.

by reference from Form 8-K filed on January 24, 2017.

by reference from Form 8-K filed on September 8, 2017.

by reference from Form 8-K filed on February 26, 2021.

by reference from Form 8-K filed on March 22, 2019.

by reference from Form 10-Q filed on May 16, 2022.

by reference from Form 8-K filed on April 1, 2020.

by reference from Form 8-K filed on March 9, 2020.

by reference from Form 8-K filed on June 4, 2020.

by reference from Form 8-K filed on June 12, 2020.

by reference from Form 10-K filed on January 5, 2021.

by reference from Form 8-K filed on October 4, 2022.

by reference from Form 8-K filed on November 29, 2022.

Filed herewith

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.

August 10, 2023

Saagar Govil.

February 13, 2024

Executive Officer

August 10, 2023

February 13, 2024

Chief Financial Officer

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information