Clean Energy Technologies Inc SEC Filings

Clean Energy Technologies, Inc. reported an insider transaction by its CEO and director, Kambiz Mahdi, who filed individually. Through The Kambiz & Bahareh Mahdi Living Trust, he indirectly acquired a common stock purchase warrant. On December 15, 2025, the trust paid $10.00 to Mast Hill Fund, L.P. for the remaining unexercised portion of a warrant originally issued by the company on February 27, 2025. According to the filing, the warrant currently covers 650,561 shares of common stock at an exercise price of $2.50 per share, and the trust now beneficially owns 650,561 warrant units as an indirect holding for Mahdi.

Clean Energy Technologies, Inc. (CETY) reported unaudited results for the quarter and nine months ended September 30, 2025, showing continued losses and heavy reliance on external financing. Total assets were $14.8 million and stockholders’ equity was $7.1 million, with cash of $826,786. For Q3 2025, total income was $773,554, but the company posted an operating loss of $1.33 million and a net loss of $2.10 million, or $0.47 per share. For the nine-month period, net loss was $3.52 million and operating cash outflow was $6.22 million, largely funded by $6.99 million of financing inflows, including a $4.4 million private placement at $6.15 per share. Management discloses substantial doubt about CETY’s ability to continue as a going concern due to negative working capital, accumulated deficit, and ongoing cash burn.

Clean Energy Technologies (CETY) received written consent from holders of approximately 52.8% of its common stock to approve two securities purchase agreements with Mast Hill Fund, L.P. and the related issuances required under NASDAQ Listing Rules 5635(b) and 5635(d). The approval becomes effective 20 calendar days after this information statement is mailed.

Under the agreements, CETY issued junior secured convertible notes with principal amounts of $335,000 and $388,888, alongside 50,000 and 150,000 shares of common stock, for aggregate purchase prices of $301,500 and $350,000, respectively. Net funding to the company was $296,500 and $341,500 after legal fees. Each note matures 12 months from issuance, accrues 10% annual interest, and may convert at the lesser of $2.50 per share or 90% of the lowest dollar volume-weighted average price over the five trading days before conversion, subject to a 4.99% beneficial ownership limit.

Assuming a conversion price equal to 90% of the $2.63 closing price on October 6, 2025, the notes would convert into in excess of 336,408 shares, or approximately 7.2% of shares outstanding as of that date. Shares outstanding were 4,682,789 as of October 6, 2025.

Clean Energy Technologies, Inc. filed a Certificate of Change under Nevada law that was processed by the State of Nevada on September 26, 2025. The filing is referenced in an 8-K and the Certificate is furnished as Exhibit 3.1 and incorporated by reference. The 8-K checklist indicates the submission relates to corporate change paperwork rather than earnings, major transactions, or soliciting material. No additional details about the nature or substance of the change are provided in the disclosed text.

Clean Energy Technologies, Inc. (CETY) filed an amended S-3 shelf registration that registers up to $70,000,000 of common stock, warrants, and/or units and a sales agreement prospectus for up to $25,000,000 of common stock under a Sales Agreement with Roth Capital Partners. The prospectus warns of material PRC legal and regulatory risks affecting its PRC subsidiaries and Shuya, including possible CSRC/CAC filing requirements and potential fines of RMB 1 million to RMB 10 million if filings are required and not made.

The filing includes financial statement line-item snapshots showing total assets and liabilities across subsidiaries, short-term borrowings of $2,560,989 in one column, convertible notes payable of $3,094,577, and various investments and intangible assets (goodwill $747,976; LWL intangibles $1,468,709). It discloses warrant issuances and exercises (Pacific Pier cashless exercise for 31,111 shares; Mast Hill exercised 29,687 shares at $1.60). Pro forma net tangible book value per share as of June 30, 2025 is $0.08 with dilution per new investor of $0.17.

Clean Energy Technologies, Inc. (CETY) reports condensed interim results showing 63,173,457 common shares outstanding and total working capital of $2,267,817. The company disclosed an accumulated deficit of $28,820,537 and continued negative operating cash flows of $1,556,984, stating substantial doubt about its ability to continue as a going concern. Assets and liabilities presented in the filing include aggregated totals (e.g., assets near $3,135,630 and liabilities near $3,094,577 in the excerpt). The filing details multiple convertible notes, equity financings, warrants and conversions during the period and subsequent events that issued millions of shares and raised cash through note financings. The company recorded changes in derivative liabilities and debt discounts and disclosed related-party receivables and guarantees.