Form 4 for FLUX Flux Power Holdings, Inc.
Accepted 2024-04-22 00:00:00 ET · period of report 2024-04-18 · accession 0001493152-24-015625 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2024-04-22 | 2024-04-20 | FLUX | Johnson Michael | Dir, 10% | M - OptEx | — | +16.9K | 4.34M | +0.4% | — |
| D | 2024-04-22 | 2024-04-20 | FLUX | Johnson Michael | Dir, 10% | M - OptEx | — | -16.9K | 0 | -100% | — |
| D | 2024-04-22 | 2024-04-18 | FLUX | Johnson Michael | Dir, 10% | A - Grant | — | +17.1K | 17.1K | New | — |
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 | 2024-04-20 | M | A | 16,883 | — | 4,337,484 | I By Esenjay Investments, LLC | — | — | (F1) 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. (F4) Consists of 37,728 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay. |
| 2 | Derivative | Restricted Stock Unit | 2024-04-20 | M | D | 16,883 | — | 0 | D | — · — to — | 16,883 Common Stock | (F2) This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024. (F1) 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. |
| 3 | Derivative | Restricted Stock Unit | 2024-04-18 | A | A | 17,057 | — | 17,057 | D | — · — to — | 17,057 Common Stock | (F3) 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. |