0001493152-24-017314.txt : 20240430 0001493152-24-017314.hdr.sgml : 20240430 20240430191013 ACCESSION NUMBER: 0001493152-24-017314 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240418 FILED AS OF DATE: 20240430 DATE AS OF CHANGE: 20240430 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Walters-Hoffert Lisa CENTRAL INDEX KEY: 0001711576 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-31543 FILM NUMBER: 24899300 MAIL ADDRESS: STREET 1: C/O DARE BIOSCIENCE, INC. STREET 2: 10210 CAMPUS POINT DRIVE, SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Flux Power Holdings, Inc. CENTRAL INDEX KEY: 0001083743 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 860931332 STATE OF INCORPORATION: NV FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2685 S. MELROSE DRIVE CITY: VISTA STATE: CA ZIP: 92081 BUSINESS PHONE: 877-505-3589 MAIL ADDRESS: STREET 1: 2685 S. MELROSE DRIVE CITY: VISTA STATE: CA ZIP: 92081 FORMER COMPANY: FORMER CONFORMED NAME: Lone Pine Holdings, Inc DATE OF NAME CHANGE: 20090415 FORMER COMPANY: FORMER CONFORMED NAME: Australian Forest Industries DATE OF NAME CHANGE: 20070508 FORMER COMPANY: FORMER CONFORMED NAME: MULTI TECH INTERNATIONAL CORP DATE OF NAME CHANGE: 20021204 4/A 1 ownership.xml X0508 4/A 2024-04-18 2024-04-22 0 0001083743 Flux Power Holdings, Inc. FLUX 0001711576 Walters-Hoffert Lisa C/O FLUX POWER HOLDINGS, INC. 2685 S. MELROSE DRIVE VISTA CA 92081 1 0 0 0 1 Common Stock 2024-04-20 4 M 0 16883 A 31967 D Common Stock 2024-04-22 4 S 0 5909 4.0327 D 26058 D Restricted Stock Unit 2024-04-20 4 M 0 16883 D Common Stock 16883 0 D Restricted Stock Unit 2024-04-18 4 A 0 17057 A Common Stock 17057 17057 D Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis. This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024. This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction. Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant. The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Exhibit 24 - Power of Attorney (previously filed as Exhibit 24 to Form 4 dated April 29, 2024). This Form 4/A is being filed to clarify that the sale reported was to satisfy tax withholding obligations in connection with the vesting and settlement of the RSUs to be funded by a "sell to cover" transaction. /s/ Kevin Royal, Attorney-in-fact for Lisa Walters-Hoffert 2024-04-30