Kevin Royal - Sep 15, 2025 Form 4 Insider Report for Flux Power Holdings, Inc. (FLUX)

Role
CFO and Secretary
Signature
/s/ Kevin Royal
Stock symbol
FLUX
Transactions as of
Sep 15, 2025
Transactions value $
$0
Form type
4
Date filed
9/17/2025, 08:16 PM
Previous filing
Aug 5, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
ROYAL KEVIN CFO and Secretary C/O FLUX POWER HOLDINGS, INC., 2685 S. MELROSE DRIVE, VISTA, /s/ Kevin Royal 2025-09-17 0001185726

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction FLUX Pre-Funded Warrant (right to buy) Purchase +517 517 Sep 15, 2025 Series A Convertible Preferred Stock 517 $0.00 Direct F1, F2
transaction FLUX Common Stock Purchase Warrant (right to buy) Purchase +2.43K 2.43K Sep 15, 2025 Common Stock 2.43K $1.72 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.
F2 The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.
F3 The Common Warrants have an initial exercise price of $1.715 and is exercisable immediately from the date of issuance and expire 5 years from the date of issuance.