Cemtrex (NASDAQ: CETX) completes $4M registered direct offering deal
Rhea-AI Filing Summary
Cemtrex Inc. entered into a Securities Purchase Agreement on January 9, 2026 with a single accredited institutional investor for a registered direct offering of common stock and pre-funded warrants. The company agreed to issue and sell securities for aggregate gross proceeds of $4,000,000.
The offering closed the same day. Cemtrex issued 400,000 shares of common stock and pre-funded warrants to purchase 1,069,507 shares of common stock. The agreement includes customary representations, warranties, and covenants. Cemtrex also filed the form of pre-funded warrant, the purchase agreement, a legal opinion from The Doney Law Firm, and a press release announcing the offering as exhibits.
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Insights
Cemtrex raises $4M via direct equity and warrant financing.
Cemtrex Inc. completed a registered direct offering with a single accredited institutional investor for aggregate gross proceeds of
The company issued 400,000 shares of common stock and pre-funded warrants exercisable for 1,069,507 shares of common stock. Economically, the pre-funded warrants can function similarly to equity once exercised, so they represent potential future share issuance in addition to the shares already sold. The filing does not provide baseline share counts, so the relative dilution cannot be quantified from this excerpt alone.
The transaction closed on
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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CURRENT REPORT
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THE SECURITIES EXCHANGE ACT OF 1934
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CURRENT REPORT ON FORM 8-K
Cemtrex, Inc.
Item 1.01. Entry into a Material Definitive Agreement.
On January 9, 2026, Cemtrex, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with a single accredited institutional investor (the “Purchaser”), pursuant to which the Company agreed to issue and sell to the Purchaser, in a registered direct offering (the “Offering”), securities consisting of shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), and/or pre-funded warrants to purchase shares of Common Stock (the “Pre-Funded Warrants”), for aggregate gross proceeds of $4,000,000.
The Offering closed on January 9, 2026. The Company issued 400,000 shares of common stock and prefunded warrants to purchase 1,069,507 shares of common stock. The Purchase Agreement contains customary representations, warranties, and covenants by the Company and the Purchaser.
The foregoing description of the Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Purchase Agreement, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference. The Doney Law Firm, counsel to the Company, delivered an opinion as to the legality of the issuance and sale of the securities, a copy of which is attached hereto as Exhibit 5.1.
Item 8.01 Other Events.
The Company issued a press release announcing the Offering on January 9, 2026. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
Exhibit Number |
Exhibit Title | |
| 4.1 | Form of Pre-Funded Common Stock Purchase Warrant | |
| 5.1 | Opinion of The Doney Law Firm | |
| 10.1 | Securities Purchase Agreement, dated January 9, 2026 | |
| 23.1 | Consent of The Doney Law Firm (contained in Exhibit 5.1) | |
| 99.1 | Press Release dated January 9, 2026 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
| 2 |
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 9, 2026 | By: | /s/ Saagar Govil |
| Saagar Govil | ||
| Chairman, President, and Chief Executive Officer | ||
| 3 |
FAQ
What capital raise did Cemtrex (CETX) announce in this 8-K?
How many shares did Cemtrex (CETX) issue in the offering?
When did Cemtrex’s registered direct offering close?
Who participated in Cemtrex’s January 2026 offering?
What key documents related to the Cemtrex (CETX) offering are attached as exhibits?
What type of securities did Cemtrex (CETX) sell in this transaction?
