Walters-Hoffert Lisa's Form 4 filing

Flux Power Holdings, Inc. (FLUX) · filed Apr 22, 2024

Accession no.: 0001493152-24-015623
Filed: Apr 22, 2024
Trade date: Apr 18-22, 2024
Filing delay: 4 days
Rule 10b5-1 plan: Checked

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $23.8K. It was filed 4 days after the trade.

This filing was later replaced by the amendment 0001493152-24-017314 (Apr 30, 2024). Trade tables on this site use the amended version.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
Owner	Relationship to the company
Walters-Hoffert LisaCIK 0001711576	Director

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Apr 20, 2024	Common Stock	MOption exerciseAcquired	+16,883	–^F2	–	31,967	Direct
Apr 22, 2024	Common Stock	SSaleDisposed	−5,909	$4.03^F4	−$23,813.27	26,058	Direct

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade date	Security	Transaction	Underlying shares	Unit price	Value	Held after	Ownership	Flags
Apr 20, 2024	Common Stock	MOption exerciseDisposed	−16,883	–^F2	–	0	Direct
Apr 18, 2024	Common Stock	AGrant or awardAcquired	+17,057	–^F5	–	17,057	Direct

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.

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.

Referenced by the price of 1 transaction in Table I.

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.

Referenced by the price of 1 transaction in Table II.

Remarks

Exhibit 24 - Power of Attorney (previously filed as Exhibit 24 to Form 4 dated May 2, 2022.)

Read the full filing on SEC EDGAR (opens in a new tab)