UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
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| Title of each class | Trading symbol | Name of each exchange on which registered | ||
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On January 19, 2022, Cemtrex, Inc. (the “Company”) received a notification letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, because the Company has not yet filed its Form 10-K for the period ended September 30, 2021, the Company no longer complies with Nasdaq’s Listing Rules for continued listing.
The notification letter also disclosed that Nasdaq may provide the Company a cure period in order to regain compliance as follows:
| ● | 60 calendar days to submit a plan to regain compliance and; | |
| ● | if the plan is accepted your plan, will be granted an exception of up to 180 calendar days from the Filing’s due date, or until July 12, 2022, to regain compliance. |
On January 24, 2022, the Company received a notification letter from Nasdaq stating that based on filing the Form 10-K for the fiscal year ended September 30, 2021, on January 21, 2022, Nasdaq has determined that the Company complies with the Rule and this matter is now closed.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| Exhibit Number | Exhibit Title | |
| 99.1 | Notice of Failure to Satisfy a Continued Listing Rule from NASDAQ Dated January 19, 2022 | |
| 99.2 | Notification letter from Nasdaq dated January 24, 2022 | |
| 99.3 | Press Release dated January 25, 2022 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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. | ||
| Date: January 26, 2022 | By: | /s/ Saagar Govil |
| Saagar Govil | ||
| Chairman, President and Chief Executive Officer | ||