SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
C/O FLUX POWER HOLDINGS, INC. |
2685 S. MELROSE DRIVE |
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Flux Power Holdings, Inc.
[ FLUX ]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
3. Date of Earliest Transaction
(Month/Day/Year) 05/17/2024
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
|
2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
|
4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
05/17/2024 |
|
S
|
|
16,453 |
D |
$3.3217
|
4,322,557
|
I |
By Esenjay Investments, LLC
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
|
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
|
6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
|
8. Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
|
10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O FLUX POWER HOLDINGS, INC. |
2685 S. MELROSE DRIVE |
(Street)
Relationship of Reporting Person(s) to Issuer
X |
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
C/O FLUX POWER HOLDINGS, INC. |
2685 S. MELROSE DRIVE |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
Explanation of Responses: |
Remarks: |
|
/s/ Kevin Royal, Attorney-in-fact for Michael Johnson |
05/21/2024 |
|
/s/ Kevin Royal, Attorney-in-fact for Esenjay Investments, LLC |
05/21/2024 |
|
** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit
24
LIMITED
POWER OF ATTORNEY FOR REPORTING UNDER SECTION 16
FLUX
POWER HOLDINGS, INC.
Know
all by these presents, that the undersigned hereby constitutes and appoints Ronald F. Dutt and Kevin S. Royal as the undersigned’s
true and lawful attorney-in-fact, each acting alone, with full powers of substitution for the undersigned and in the undersigned’s
name, place and stead, in any and all capacities, to:
(1)
prepare and execute for and on behalf of the undersigned, any and all Forms 3, 4, 5 and any Schedules 13D or 13G in connection with the
undersigned’s reporting obligations pursuant to Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and
regulations promulgated thereunder;
(2)
to do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any
such Forms 3, 4, 5 and any Schedules 13D or 13G, complete and execute any amendment or amendments thereto, and file any such form with
the United States Securities and Exchange Commission and any stock exchange or similar authority, and
(3)
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be
of benefit to, in the best interest of, or legally required by, the undersigned. It being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney For Reporting under Section 16 (“Power
of Attorney”) shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s
discretion.
The
undersigned hereby grants to each attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and
purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying
and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause
to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, any of the undersigned’s responsibilities
to comply with Section 16 of the Securities Exchange Act of 1934.
This
Power of Attorney shall remain in full force and effect until the undersigned is no longer an executive officer, director or beneficial
owner of more than 5% of the securities of Flux Power Holdings, Inc. or unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorney-in- fact.
IN
WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 21st day of May,
2024.
|
Esenjay
Investments, LLC
|
|
|
|
|
|
/s/
Michael Johnson |
|
By: |
Michael
Johnson |
|
Title: |
President
and Director |
Exhibit
24
LIMITED
POWER OF ATTORNEY FOR REPORTING UNDER SECTION 16
FLUX
POWER HOLDINGS, INC.
Know
all by these presents, that the undersigned hereby constitutes and appoints Ronald F. Dutt and Kevin S. Royal as the undersigned’s
true and lawful attorney-in-fact, each acting alone, with full powers of substitution for the undersigned and in the undersigned’s
name, place and stead, in any and all capacities, to:
(1)
prepare and execute for and on behalf of the undersigned, any and all Forms 3, 4, 5 and any Schedules 13D or 13G in connection with the
undersigned’s reporting obligations pursuant to Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and
regulations promulgated thereunder;
(2)
to do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any
such Forms 3, 4, 5 and any Schedules 13D or 13G, complete and execute any amendment or amendments thereto, and file any such form with
the United States Securities and Exchange Commission and any stock exchange or similar authority, and
(3)
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be
of benefit to, in the best interest of, or legally required by, the undersigned. It being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney For Reporting under Section 16 (“Power
of Attorney”) shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s
discretion.
The
undersigned hereby grants to each attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and
purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying
and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause
to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, any of the undersigned’s responsibilities
to comply with Section 16 of the Securities Exchange Act of 1934.
This
Power of Attorney shall remain in full force and effect until the undersigned is no longer an executive officer, director or beneficial
owner of more than 5% of the securities of Flux Power Holdings, Inc. or unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorney-in- fact.
IN
WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 21st day of May,
2024.
|
Esenjay
Investments, LLC
|
|
|
|
|
|
/s/
Michael Johnson |
|
By: |
Michael
Johnson |
|
Title: |
President
and Director |
Flux Power (NASDAQ:FLUX)
Historical Stock Chart
From Sep 2024 to Oct 2024
Flux Power (NASDAQ:FLUX)
Historical Stock Chart
From Oct 2023 to Oct 2024