Form 4 for FLUX Flux Power Holdings, Inc.
Accepted 2023-05-01 00:00:00 ET · period of report 2023-04-28 · accession 0001493152-23-015072 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-05-01 | 2023-04-28+ | FLUX | Johnson Michael | Dir, 10% | M - OptEx | — | +19.3K | 4.41M | +0.4% | — |
| DM | 2023-05-01 | 2023-04-28+ | FLUX | Johnson Michael | Dir, 10% | M - OptEx | — | -19.3K | 1,526 | -93% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-04-29 | M | A | 1,526 | — | 4,409,060 | I See footnote | — | — | (F2) Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis. (F6) 20,845 shares of common stock are directly held by the Reporting Person and 4,388,215 are held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay. |
| 2 | Common | Common Stock | 2023-04-28 | M | A | 17,793 | — | 4,407,534 | I See footnote | — | — | (F1) Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis. (F5) 19,319 shares of common stock are directly held by the Reporting Person and 4,388,215 are held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay. |
| 3 | Derivative | Restricted Stock Units | 2023-04-28 | M | D | 17,793 | — | 0 | D | — · — to — | 17,793 Common Stock | (F3) This award was granted on April 28, 2022. 17,793 RSUs vested on April 28, 2023. (F1) Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis. |
| 4 | Derivative | Restricted Stock Unit | 2023-04-29 | M | D | 1,526 | — | 1,526 | D | — · — to — | 1,526 Common Stock | (F4) Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, 1,526 of the remaining RSUs vested on April 29, 2023 and the remaining 1,526 RSU will vest on April 29, 2024. (F2) Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis. |