Filing Details
- Accession Number:
- 0001493152-17-002204
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-07 16:49:42
- Reporting Period:
- 2017-01-20
- Filing Date:
- 2017-03-07
- Accepted Time:
- 2017-03-07 16:49:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1435064 | Cemtrex Inc | CETX | Measuring & Controlling Devices, Nec (3829) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1699946 | Shamik Shah | 19 Engineers Lane Farmingdale NY 11735 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Series 1 Preferred Stock | Acquisiton | 2017-01-20 | 2,709 | $0.00 | 2,709 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series 1 Warrants | Acquisiton | 2017-01-20 | 5,418 | $0.00 | 5,418 | $6.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,418 | 2017-01-20 | 2022-01-20 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,417 | Direct |
Footnotes
- 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.
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