Item 5. Other Information
Item
5. Other Information
None.
36
Item
6. Exhibits
Exhibit
Incorporated
by Reference
Filed
or Furnished
Number
Exhibit
Description
Form
Filing
Date
Herewith
2.1
Stock
Purchase Agreement, dated December 15, 2015
Form
8-K/A
9/26/2016
3.1
Certificate
of Incorporation filed with the State of Delaware.
Form
10-12G
5/22/2008
3.2
Bylaws
Form
10-12G
5/22/2008
3.3
Amendment
to Certificate of Incorporation
Form
10-12G
5/22/2008
3.4
Amendment
to Certificate of Incorporation
Form
10-12G
5/22/2008
3.5
Amendment
to Certificate of Incorporation
Form
10-12G
5/22/2008
3.6
Amendment
to Certificate of Incorporation
Form
10-12G
5/22/2008
3.7
Amendment
to Certificate of Incorporation
Form
8-K
8/22/2016
3.8
Certificate
of Designation of the Series A Preferred Shares
Form
8-K
9/10/2009
3.9
Certificate
of Designation of the Series 1 Preferred Shares
Form
8-K
1/24/2017
3.10
Amendment
to Certificate of Incorporation
Form
8-K
9/8/2017
3.11
Certificate
of Correction to the Certificate of Amendment
Form
8-K
6/12/2019
3.12
Amended
Certificate of Designation of the Series 1 Preferred Shares
Form
8-K
4/1/2020
3.13
Amendment
to Certificate of Incorporation
Form
10-K
1/5/2021
3.14
Certificate
of Correction to the Certificate of Amendment
Form
10-Q
5/28/2021
3.15
Amendment
to Certificate of Incorporation
Form
8-K
1/20/2023
3.16
Amendment
to Certificate of Incorporation
Form
8-K
8/2/2024
4.1
Form
of Subscription Rights Certificate
Form
S-1
8/29/2016
4.2
Form
of Series 1 Preferred Stock Certificate
Form
S-1/A
11/23/2016
4.3
Form
of Series 1 Warrant
Form
S-1/A
12/7/2016
4.4
Form
of Common Stock Purchase Warrant
Form
8-K
3/22/2019
4.5
Form
of Prefunded Warrant
Form
8-K
5/3/2024
4.6
Form
of Series A Common Stock Purchase Warrant
Form
8-K
5/3/2024
4.7
Form
of Series B Common Stock Purchase Warrant
Form
8-K
5/3/2024
5.1
Opinion
of the Doney Law Firm
Form
S-1/A
4/30/2024
10.1
Amendment
of the Term Loan Agreement between Vicon and NIL Funding, dated March 3, 2023
Form
10-Q
5/11/2023
10.2
Amendment
to Loan Documents Between Advanced Industrial Services, Inc. and Fulton Bank, N.A.
Form
10-Q
5/11/2023
10.3
Amendment
to Promissory Note Between Cemtrex, Inc. and Streeterville Capital, LL
Form
10-Q
5/11/2023
10.4
Securities
Purchase Agreement dated June 1, 2020
Form
8-K
6/4/2020
10.5
Securities
Purchase Agreement dated June 9, 2020
Form
8-K
6/12/2020
10.6
Settlement
Agreement and Release between Cemtrex, Inc. and Aron Govil dated February 26, 2021
Form
8-K
2/26/2021
10.7
Securities
Purchase Agreement dated February 22, 2022
Form
10-Q
5/16/2022
10.8
Amendment
of the Term Loan Agreement between Vicon and NIL Funding, dated March 30, 2022
Form
10-Q
5/16/2022
10.9
Asset
Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022
Form
8-K
11/29/2022
10.1
Asset
Purchase agreement between Cemtrex, Inc. and Saagar Govil, dated November 22, 2022
Form
8-K
11/29/2022
10.11
Simple
Agreement for Future Equity (SAFE) between Cemtrex, Inc. and Saagar Govil, dated November 18, 2022
Form
8-K
11/29/2022
10.12
2020
Equity Compensation Plan
Form
S-8
8/17/2020
10.13
Asset
Purchase Agreement, dated as of June 7, 2023
Form
8-K
12/6/2023
10.14
Form
of Lock-Up Agreement
Form
S-1/A
4/30/2024
10.15
Form
of Underwriting Agreement
Form
8-K
5/3/2024
10.16
Standstill
Agreement, dated April 30, 2024
Form
8-K
5/1/2024
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.
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.
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.
X
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.
X
99.1
Order
pursuant to Section 8A of the Securities Act – dated September 30, 2022.
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
37
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:
August 14, 2024
By:
/s/
Saagar Govil.
Saagar
Govil
Chief
Executive Officer
Dated:
August 14, 2024
/s/
Paul J. Wyckoff.
Paul
J. Wyckoff
Interim
Chief Financial Officer
and
Principal Financial Officer
38
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.