Welcome to our dedicated page for Aeries Technology SEC filings (Ticker: AERT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Aeries Technology, Inc. (NASDAQ: AERT) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, annual reports on Form 10-K, and quarterly reports on Form 10-Q, which together outline Aeries’ financial condition, operating results, capital structure, and material corporate events.
For Aeries Technology, recent 8-K filings cover topics such as quarterly and annual earnings announcements, notices related to Nasdaq listing requirements, and material definitive agreements. Examples include a notice from Nasdaq regarding the minimum bid price requirement for AERT shares, and a Letter Agreement and subsequent amendment with Sandia Investment Management LP connected to a Forward Purchase Agreement and potential issuance of additional Class A ordinary shares. Other 8-Ks reference earnings calls, financial results for specific periods, and changes in board roles.
Investors can also use this page to locate Aeries’ 10-K and 10-Q filings, which present audited and unaudited financial statements, non-GAAP measures such as Adjusted EBITDA, and discussions of risk factors, business strategy, and geographic and regulatory considerations. These filings describe how the company evaluates its performance and the adjustments it applies to non-GAAP metrics.
Stock Titan enhances these documents with AI-powered summaries that highlight key points from lengthy filings, helping users quickly identify information on revenue trends, profitability, liquidity, capital arrangements, and listing status. Real-time updates from EDGAR, along with visibility into current reports and other disclosures, make the AERT filings page a focused resource for analyzing Aeries Technology’s regulatory history and ongoing reporting.
Aeries Technology, Inc. reported that it received a Nasdaq notice on September 30, 2025 stating its Class A ordinary shares failed to meet the minimum $1.00 per share closing bid price for 30 consecutive business days, from August 15 to September 26, 2025. The shares remain listed on The Nasdaq Capital Market for now.
The company has 180 calendar days, until March 30, 2026, to regain compliance by having its shares close at or above $1.00 for at least 10 consecutive business days. If it meets other Nasdaq listing standards, it may qualify for an additional 180-day period and could use a reverse stock split to cure the deficiency. If it cannot regain compliance, its securities may be subject to delisting, although the company would have the right to appeal any delisting determination. Aeries plans to monitor its share price and may evaluate options, including a possible reverse stock split.
Aeries Technology, Inc. filed a shelf registration on Form S-3 to offer up to $100,000,000 of various securities and an at-the-market facility to sell up to $4,485,000 of Class A ordinary shares under a Sales Agreement dated October 1, 2025 with Roth Capital Partners, LLC as sales agent. The filing lists potential offerings including Class A ordinary shares, preference shares, multiple types of debt, warrants and units, and describes typical warrant terms and indenture assumptions in certain corporate transactions. The company discloses risks that could affect operations and liquidity, including concerns about its ability to continue as a going concern, dependence on Nasdaq listing and market liquidity, financing needs, cybersecurity and AI-related risks, and general macroeconomic and geopolitical uncertainties. The base share count used for pro forma calculations is 48,353,810 Class A ordinary shares outstanding as of October 1, 2025. The filing also lists executive officers and directors by name.
Aeries Technology insider conversion increases Class A holdings. On 09/22/2025 the reporting person, who is both Chief Executive Officer and a Director, exercised exchange rights to convert 59,110 Aeries Shares into 851,184 Class A Ordinary Shares at an exchange rate of 14.40 Class A Shares per Aeries Share. After the exchange, the reporting person beneficially owned 2,507,440 Class A Ordinary Shares. The Form 4 also discloses related put and call exchange rights and that certain Aeries Shares held by an ESOP Trust are considered in the reporting person’s beneficial ownership assumptions.
Aeries Technology, Inc. entered into a new Letter Agreement with Sandia Investment Management that updates the terms of their existing OTC equity prepaid forward transaction. During a defined period through December 31, 2025, Sandia may sell Class A ordinary shares issued under the prior forward agreement at prices not below
The Letter Agreement also provides for issuing and registering additional Class A ordinary shares to Sandia based on a formula tied to the remaining liability at the end of the period, the 30‑day volume-weighted average share price or
Insider grant and immediate vesting: Nina B. Shapiro, a director of Aeries Technology, Inc. (AERT), was granted 125,000 restricted stock units on September 9, 2025, that convert one-for-one into Class A ordinary shares and vested in full on the grant date. The transaction was reported on a Form 4 filed September 11, 2025, and shows Ms. Shapiro directly beneficially owns 125,000 Class A ordinary shares following the grant. The RSUs carried no purchase price to Ms. Shapiro per the filing.
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.