Aeries Technology SEC Filings

Alok Kochhar, a director of Aeries Technology, Inc. (AERT), was granted 125,000 restricted stock units on 09/09/2025 that vested in full on the grant date. The restricted stock units convert one-for-one into Class A ordinary shares of Aeries Technology, par value $0.0001, and the filing reports 125,000 Class A ordinary shares beneficially owned following the transaction in a direct ownership form. The reported transaction code is A with a reported price of $0, indicating issuance as compensation rather than an open-market purchase. The Form 4 was executed on behalf of Mr. Kochhar by an attorney-in-fact and signed on 09/11/2025. The filing includes a power of attorney exhibit.

Amendment No. 2 to Schedule 13D reports that Bhisham Khare, Chief Executive Officer of Aeries Technology, Inc. (AERT), beneficially owns 3,358,624 Class A Ordinary Shares, representing 6.9% of the outstanding Class A shares based on 47,152,626 shares outstanding. The filing reflects an exchange agreement that caused Mr. Khare to be deemed to beneficially own up to 1,701,941 Class A Ordinary Shares, including shares attributable to ATG shares held by an ESOP Trust for which he is a beneficiary.

The amendment discloses that the issuer withheld 810,003 Class A Ordinary Shares on March 10, 2025, and 5,101 shares on February 26, 2025, to cover Mr. Khare's tax liabilities upon settlement of 2,471,360 RSUs that vested and were settled between August 15, 2024 and March 15, 2025. The filing states that the reporting person did not pay cash for the reported shares aside from the tax-withholding events and that the source of funds is marked "OO."

Daniel S. Webb, who serves as CFO and CIO of Aeries Technology, Inc. (AERT), reported the sale of 35,405 Class A ordinary shares on 09/02/2025. The shares were sold under a Rule 10b5-1 trading plan adopted on March 14, 2025, at a weighted average price of $0.649 per share, with individual sale prices ranging from $0.56 to $0.7311. After the transaction, Mr. Webb beneficially owned 1,048,371 shares, held directly. The filing is signed and dated 09/04/2025.

Daniel S. Webb, the Chief Financial Officer and Chief Information Officer of Aeries Technology, Inc. (AERT), reported a sale on 03/10/2025 of 218,909 Class A ordinary shares at an effective price of $0.564 per share. The filing states these shares were withheld by the company to cover tax withholding upon settlement of restricted stock units. After the reported disposition, Mr. Webb beneficially owns 1,083,776 Class A ordinary shares (direct ownership). The Form 4 is individually filed and signed by Mr. Webb on 09/04/2025. The report contains no derivative transactions and no other material changes disclosed.

Aeries Technology, Inc. (AERT) Form 4 summary: Chief Technology Officer Unnikrishnan Nambiar reported a transaction dated 03/10/2025 in Class A Ordinary Shares. The filing shows 240,087 shares disposed under transaction code F at a price of $0.564 per share, leaving 414,598 shares beneficially owned by the reporting person as of the reported transaction. The filing explains these shares were withheld by the company to cover tax liability upon settlement of restricted stock units. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person on 09/04/2025. All information is taken directly from the Form 4 content.

Aeries Technology, Inc. (AERT) director and Chief Executive Officer Bhisham Khare reported a disposition of Class A ordinary shares on 03/10/2025. The Form 4 shows 810,003 shares were disposed at an indicated price of $0.564 per share. The filing states these shares were withheld by the company to cover tax liability upon settlement of restricted stock units. After the transaction, Mr. Khare beneficially owned 1,656,256 Class A shares as reported on the form. The Form 4 was signed by an attorney-in-fact, Daniel S. Webb, on 09/04/2025. The reporting person’s address is shown in Singapore.

Aeries Technology, Inc. furnished a press release reporting its financial results for the quarter ended June 30, 2025, and attached that release as Exhibit 99.1 to this Current Report. The company also indicates it filed its quarterly report for the same period. The filing clarifies that the press release and related exhibit are being furnished, not filed, and therefore are not subject to Section 18 liability or automatically incorporated by reference into other securities filings.

The registrant lists its principal executive office in Singapore, registers its Class A ordinary shares under AERT and redeemable warrants under AERTW on the Nasdaq Capital Market, and indicates it qualifies as an emerging growth company.

Aeries Technology, Inc. reported a quarter ended June 30, 2025 with net revenue of $15.33 million (down from $16.67 million a year earlier) and gross profit of $3.78 million. The company returned to profitability, reporting net income of $1.676 million and net income attributable to Aeries shareholders of $1.512 million, or $0.03 per share (basic and diluted). Operating cash flow was positive at $1.369 million.

Liquidity remains a material concern: cash and cash equivalents totaled $2.137 million and the company disclosed a working capital deficit of $10.621 million. A forward purchase agreement (FPA) put option liability of $3.78 million remains outstanding and may be settled in cash or equity at holders' option. Management disclosed substantial doubt about the company’s ability to continue as a going concern and described mitigation plans including cost reductions, additional credit or equity financing, and liability restructurings, but noted no assurance these will succeed.