Flux Pwr Hldgs Inc SEC Filings

Flux Power Holdings (FLUX) regained Nasdaq compliance after Nasdaq notified the company on October 14, 2025 that it met the Market Value of Listed Securities requirement of at least $35 million under Rule 5550(b). This satisfies one of the continued listing standards for the Nasdaq Capital Market.

Nasdaq will monitor the company’s compliance for one year. If Flux Power falls out of compliance with Rule 5550(b) during this period, Nasdaq may issue a delist determination letter, and the company would have the opportunity to request a new hearing.

Earlier in 2025, Flux Power had been notified of non‑compliance with the Stockholders’ Equity Requirement and was granted an extension to demonstrate equity compliance by October 31, 2025. Instead, the company regained standing by meeting the Market Equity Requirement.

Flux Power Holdings, Inc. (FLUX) filed an S-1 describing a proposed offering and recent fiscal results. For the year ended June 30, 2025 the company reported an operating loss of approximately $6.6 million and a net loss of $6.7 million while generating positive cash flows from operations of $0.6 million. Total assets were about $32.3 million and cash as of July 31, 2025 was $1.1 million, with approximately $6.7 million of available funding under the Gibraltar Business Capital credit facility. The filing estimates net proceeds from the offering of roughly $10.5 million (or $12.2 million with full over-allotment) based on an assumed public offering price of $4.47 per share and an assumed issuance that would result in about 19.5 million shares outstanding. The company disclosed a working capital deficit (approximately $2.3 million) and an outstanding GBC facility balance near $13.6 million. The S-1 also describes prior private placement proceeds of $5.0 million, convertible/subordinated related-party notes, stock plans and warrant issuances, and potential Nasdaq compliance matters.

Insider purchase and warrants issued on 09/15/2025. Krishna Vanka, who is listed as the CEO, President and a Director of Flux Power Holdings, Inc. (FLUX), purchased 2,582 pre-funded warrants at a price of $19.369 each and was issued common stock purchase warrants to buy 12,150 shares with an initial exercise price of $1.715. The pre-funded warrants are exercisable immediately for Series A Convertible Preferred Stock and each pre-funded warrant is exercisable for one share of Series A Convertible Preferred Stock, which may be converted into Common Stock at an initial conversion price of $2.058 (subject to adjustments). The common warrants are exercisable immediately and expire on 09/15/2030. The Form 4 reports these holdings as directly beneficially owned following the transactions.

Kevin Royal, Chief Financial Officer and Secretary of Flux Power Holdings, Inc. (FLUX), purchased securities on September 15, 2025. He acquired 517 pre-funded warrants at a purchase price of $19.369 each; each pre-funded warrant is exercisable immediately for one share of the company’s Series A Convertible Preferred Stock, which is convertible into Common Stock at an initial conversion price of $2.058 subject to adjustments. He was also issued common stock warrants to buy 2,433 shares with an initial exercise price of $1.715, exercisable immediately and expiring on September 15, 2030. Following the transactions, the reporting person beneficially owned 517 Series A Convertible Preferred and warrants exercisable into 2,433 shares of Common Stock.

Flux Power Holdings director Dale Robinette purchased 1,291 pre-funded warrants and received common stock purchase warrants on September 15, 2025. The pre-funded warrants were purchased at $19.369 each and are immediately exercisable for Series A Convertible Preferred Stock, which can be converted into common stock at an initial conversion price of $2.058 per share. In addition, the reporting person received warrants to buy 6,075 shares of common stock at a $1.715 exercise price, exercisable immediately and expiring on September 15, 2030. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person.

Michael Johnson, a director and reported 10% owner of Flux Power Holdings, Inc. (FLUX), acquired derivative securities on 09/15/2025. He purchased 23,233 pre-funded warrants at a price of $19.369 each; each pre-funded warrant is immediately exercisable for one share of the company’s Series A Convertible Preferred Stock, which is convertible into common stock at an initial conversion price of $2.058. In the same transaction he received 109,329 common stock purchase warrants exercisable at $1.715 per share and expiring on 09/15/2030. Following the reported transactions, Johnson directly beneficially owns 23,233 Series A convertible-preferred equivalents and 109,329 common warrants as stated on the form. The Form 4 was signed by an attorney-in-fact on behalf of Johnson on 09/17/2025.

Jeffrey Curtis Mason, Chief Operating Officer of Flux Power Holdings, Inc. (FLUX), reported purchases on September 15, 2025. He acquired 517 pre-funded warrants at a purchase price of $19.369 each and received common stock warrants to buy 2,433 shares with a $1.715 exercise price. The pre-funded warrants are exercisable immediately for Series A Convertible Preferred Stock convertible into common shares at an initial conversion price of $2.058, subject to adjustment. The common warrants are exercisable immediately and expire five years from issuance on September 15, 2030. Following the transactions, Mr. Mason directly holds 517 pre-funded warrants and 2,433 common warrants.