Current Report Filing (8-k)
May 13 2021 - 9:20AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 OR 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): May 13, 2021
FLUX
POWER HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
Nevada
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001-31543
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86-0931332
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(State
or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS
Employer
Identification
No.)
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2685
S. Melrose Drive, Vista, California
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92081
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(Address
of Principal Executive Offices)
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(Zip
Code)
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877-505-3589
(Registrant’s
telephone number, including area code)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol
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Name
of each exchange on which registered
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Common
Stock, $0.001 par value
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FLUX
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Nasdaq
Capital Market
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company [ ]
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Item
2.02 Results of Operations and Financial Condition
On
May 13, 2021, Flux Power Holdings, Inc. (the “Company”) issued a press release announcing among other things, limited financial
and operational information relating to results for its third quarter ended March 31, 2021 and provided certain forward-looking performance
estimates. In addition, the Company will hold a conference call to discuss such results. The full text of the press release is
furnished as Exhibit 99.1 to this Current Report on Form 8-K. The projections constituting the performance estimates included in the
release involve risks and uncertainties, the outcome of which cannot be foreseen at this time and, therefore, actual results may vary
materially from these forecasts. In this regard, see the information included in the release under the caption “Forward-Looking
Statements.”
Item
7.01 Regulation FD Disclosure.
The
information under Item 2.02 above is incorporated herein by reference.
The
information reported under Items 2.02 and 7.01 in this Current Report on Form 8-K, including Exhibit 99.1, is being “furnished”
and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange
Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing
under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general incorporation language in such filing.
Item
9.01 Financial Statements and Exhibits
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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Flux Power Holdings, Inc.
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a Nevada corporation
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By:
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/s/ Ronald F. Dutt
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Ronald
F. Dutt, Chief Executive Officer
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Dated:
May 13, 2021
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