Current Report Filing (8-k)
September 23 2021 - 8:01AM
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): September 22, 2021
FLUX
POWER HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
Nevada
|
|
001-31543
|
|
86-0931332
|
(State or Other Jurisdiction
of Incorporation)
|
|
(Commission
File Number)
|
|
(IRS Employer
Identification No.)
|
2685
S. Melrose Drive, Vista, California
|
|
92081
|
(Address
of Principal Executive Offices)
|
|
(Zip
Code)
|
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):
☐
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
|
☐
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
|
|
☐
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
|
|
☐
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol
|
|
Name
of each exchange on which registered
|
Common
Stock, $0.001 par value
|
|
FLUX
|
|
Nasdaq
Capital Market
|
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
September 22, 2021, the Company issued a press release announcing, among other things, limited financial and operational information
for its fourth quarter and full fiscal year ended June 30, 2021 and provided certain forward-looking performance estimates. 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. On September 23, 2021, the Company issued a press release announcing
a Registered Direct Offering. A copy of the press release is attached as Exhibit 99.2 hereto.
The
information reported under Items 2.02 and 7.01 in this Current Report on Form 8-K, including Exhibits 99.1 and 99.2,
are 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.
Forward-Looking
Statements
The
statements in this Report on Form 8-K related to the completion of the Registered Direct Offering are “forward-looking” statements.
These forward-looking statements are based upon the Company’s current expectations. Forward-looking statements involve risks and
uncertainties. The Company’s actual results and the timing of events could differ materially from those anticipated in such forward-looking
statements as a result of these risks and uncertainties, which include, without limitation, risks related to market conditions and the
satisfaction of customary closing conditions related to the Registered Direct Offering. There can be no assurance that the Company will
be able to complete the Registered Direct Offering on the anticipated terms, or at all.
Exhibit
Index
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.
|
Flux
Power Holdings, Inc.
|
|
a
Nevada corporation
|
|
|
|
|
By:
|
/s/
Chuck Scheiwe
|
|
|
Chuck
Scheiwe, Chief Financial Officer
|
Dated:
September 23, 2021
Flux Power (NASDAQ:FLUX)
Historical Stock Chart
From Mar 2024 to Apr 2024
Flux Power (NASDAQ:FLUX)
Historical Stock Chart
From Apr 2023 to Apr 2024