Form 4/A for FLUX Flux Power Holdings, Inc.
Accepted 2024-04-30 00:00:00 ET · period of report 2024-04-18 · accession 0001493152-24-017314 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2024-04-30 | 2024-04-22 | FLUX | Walters-Hoffert Lisa | Dir | S - Sale+OE | $4.03 | -5,909 | 26.1K | -18% | -$23.8K |
| DA | 2024-04-30 | 2024-04-20 | FLUX | Walters-Hoffert Lisa | Dir | M - OptEx | — | +16.9K | 32.0K | +112% | — |
| DA | 2024-04-30 | 2024-04-18 | FLUX | Walters-Hoffert Lisa | Dir | A - Grant | — | +17.1K | 17.1K | New | — |
| DA | 2024-04-30 | 2024-04-20 | FLUX | Walters-Hoffert Lisa | Dir | M - OptEx | — | -16.9K | 0 | -100% | — |
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 | 2024-04-22 | S | D | 5,909 | $4.03 | 26,058 | D | — | — | (F6) 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. (F4) 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. |
| 2 | Common | Common Stock | 2024-04-20 | M | A | 16,883 | — | 31,967 | D | — | — | (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. (F2) This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024. |
| 3 | Derivative | Restricted Stock Unit | 2024-04-18 | A | A | 17,057 | — | 17,057 | D | — · — to — | 17,057 Common Stock | (F5) 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. |
| 4 | Derivative | Restricted Stock Unit | 2024-04-20 | M | D | 16,883 | — | 0 | D | — · — to — | 16,883 Common Stock | (F4) 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. (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. |