SEC Form 4 · accession 0001493152-17-002204
CEMTREX INC · CETXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shamik Shah
Director
Period of report
Jan 20, 2017
Accepted (ET)
Mar 7, 2017 · 4:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001435064
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series 1 Preferred StockF1 | Jan 20, 2017 | P$0 | 2,709 | — | A | 2,709 | D | |
| Common Stock | holding | — | — | — | 5,417 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series 1 WarrantsF1 | $6.31 | Jan 20, 2017 | P | 5,418 | A | Jan 20, 2017 | Jan 20, 2022 | Common Stock | 5,418 | 5,418 | D |
Explanation of responses
- F1The 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.