SCHEDULE 13G/A: Anson Funds Management LP and Affiliates Disclose 4.9% Passive Stake in Cemtrex, Inc. via Warrants
Beneficial Ownership Report
Anson Funds Management LP and its affiliated entities, including Anson Management GP LLC, Tony Moore, Anson Advisors Inc., Amin Nathoo, and Moez Kassam, have filed an amended Schedule 13G disclosing a 4.9% beneficial ownership stake in Cemtrex, Inc., primarily through shares underlying warrants.
Summary
- Anson Funds Management LP, Anson Management GP LLC, Tony Moore, Anson Advisors Inc., Amin Nathoo, and Moez Kassam collectively reported beneficial ownership of 90,554 shares of Cemtrex, Inc. Common Stock.
- This ownership represents 4.9% of Cemtrex, Inc.'s outstanding Common Stock.
- The shares are held by a private fund for which Anson Funds Management LP and Anson Advisors Inc. serve as co-investment advisors.
- The reported shares are derived from warrants held by the Fund, with a beneficial ownership limitation preventing exercise beyond 4.99%.
- The percentage calculation is based on 1,724,162 shares of Common Stock issued and outstanding (as per Cemtrex's 10-K filed December 30, 2024) plus the 90,554 shares receivable upon warrant exercise.
- All reporting persons have shared voting and shared dispositive power over the 90,554 shares.
Sentiment
Score: 5
Explanation: The document is a factual disclosure of beneficial ownership and does not contain information that would inherently indicate a positive or negative sentiment regarding the issuer's operational performance or future prospects. It is a routine regulatory filing for passive investment disclosure.
Future Outlook
NA
Industry Context
This filing is a standard disclosure of passive beneficial ownership by an investment firm and its principals, indicating their stake in Cemtrex, Inc. It does not provide broader industry trends or competitive analysis, but rather details a specific investment position.
Stakeholder Impact
- Shareholders: Provides transparency regarding a significant passive ownership stake held by Anson Funds and its affiliates, which may influence perceptions of institutional interest in Cemtrex, Inc.
Key Dates
| Date | Description |
|---|---|
| 2024-12-30 | Date Cemtrex, Inc.'s Annual Report on Form 10-K was filed with the SEC, reporting 1,724,162 shares of Common Stock issued and outstanding. |
| 2024-12-31 | Date of event which requires filing of this statement (reporting period end date for beneficial ownership). |
| 2025-02-14 | Date of filing of Amendment No. 1 to Schedule 13G. |
Keywords
Cemtrex Inc., Anson Funds Management LP, Schedule 13G, Beneficial Ownership, Common Stock, Warrants, Investment Advisory, Passive Investment, SEC Filing
Disclaimer:The information provided here is for general informational purposes only and does not constitute financial advice, recommendation, or endorsement of any kind. It may contain errors or omissions. You should not rely on this information to make financial decisions. Always seek the advice of a qualified financial professional before making any investment or financial decisions. Use of this information is at your own risk.