Welcome to our dedicated page for Flux Pwr Hldgs SEC filings (Ticker: FLUX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Flux Power Holdings, Inc. filings document the company’s lithium-ion battery systems business, public-company governance, capital structure, and material events. Its Form 8-K reports include quarterly financial results, operational updates, forward-looking performance estimates, credit-facility covenant matters, Nasdaq continued-listing compliance notices, and other corporate events tied to the company’s financing and reporting status.
Proxy and annual-meeting filings describe director elections, auditor ratification, shareholder voting mechanics, and governance disclosures. The filing record also includes notices related to derivative-action settlement materials and related governance matters, alongside disclosures on common stock, financing arrangements, risk language, and the company’s Nevada corporate status.
Flux Power Holdings, Inc. is registering up to 38,461,538 shares of its common stock for resale by Roth Principal Investments under a Purchase Agreement dated May 15, 2026. The prospectus registers those Purchase Shares for resale by the Selling Stockholder; the Company states it is not selling any securities here and will not receive proceeds from resales by Roth Principal Investments.
The Company also notes that, pursuant to the Purchase Agreement (the “Committed Equity Facility”), it may, at its sole election and subject to conditions, sell shares to Roth Principal Investments for aggregate gross proceeds of up to $40,000,000. Nasdaq limits and contractual caps apply, including an Exchange Cap of 4,272,062 shares (equal to 19.999% of outstanding shares as of execution) unless stockholder approval is obtained, and a Beneficial Ownership Limitation of 4.99% per Roth Principal Investments and affiliates.
Flux Power Holdings director Lisa Walters-Hoffert reported equity compensation activity involving 50,000 shares. On May 28, 2025, she was granted 50,000 restricted stock units (RSUs) that later vested on May 28, 2026. Upon vesting, each RSU converted on a one-for-one basis into common stock at a price of $0.00 per share, reflecting a stock-based award rather than a cash purchase.
After the RSUs converted, Walters-Hoffert directly owned 94,107 shares of Flux Power common stock. The filing notes this RSU grant had not been previously reported due to an administrative error, and no open‑market buys or sells were disclosed in this Form 4.
Flux Power Holdings director Dale Thomas Robinette reported equity compensation activity. On May 28, 2025, he was granted 50,000 restricted stock units, each representing one future share of common stock at no cash cost. These RSUs vested on May 28, 2026 and converted into 50,000 shares of common stock through a derivative exercise. After the conversion, he directly held 106,311 shares of Flux Power common stock. The company noted that the original RSU grant had not been previously reported due to an administrative error.
Flux Power Holdings director Mark F. Leposky reported routine equity compensation activity. On May 28, 2026, previously granted restricted stock units converted into 50,000 shares of common stock, increasing his directly held common shares to 67,057. The RSUs were originally granted on May 28, 2025 and vested one year later, with each unit converting into one share of common stock. The company notes that this 2025 RSU grant had not been reported earlier due to an administrative error.
Flux Power Holdings director and 10% owner Michael Johnson exercised 50,000 restricted stock units on May 28, 2026, converting them into 50,000 shares of common stock at a price of $0.00 per share. These RSUs were originally granted on May 28, 2025 and vested one year later.
After the conversion, Johnson directly holds 106,311 shares of Flux Power common stock. He also indirectly holds 4,061,799 shares through Esenjay Investments, L.L.C., where he is the sole director and beneficial owner. The company notes this RSU grant had previously not been reported due to an administrative error.
Flux Power Holdings has filed an S-1 to register up to 38,461,538 shares of common stock for resale by Roth Principal Investments under a committed equity facility. Flux may sell shares to Roth for up to $40,000,000 in gross proceeds, while Roth resells the shares under this prospectus.
Flux had 21,361,383 shares outstanding as of May 15, 2026, so full use of the facility could significantly dilute existing holders. The company faces substantial risks, including an auditor going-concern warning, a history of losses, current default under its GBC credit facility, prior financial restatements, material weaknesses in internal controls, dependence on a single Chinese battery cell supplier, exposure to tariffs, and the possibility of Nasdaq delisting if listing standards are not maintained.
Flux Power Holdings, Inc. files a prospectus supplement registering 3,644,289 shares of Common Stock for offer and resale by the selling stockholders. The supplement incorporates a Form 8-K disclosing a committed equity facility: a Purchase Agreement with Roth Principal Investments giving the company the option to sell up to $40,000,000 of newly issued common stock and the related Registration Rights Agreement.
The Purchase Agreement contemplates multiple purchase methods (Market Open, Intraday, Pre-Market, Post-Market) with various per-transaction volume caps, a Threshold Price of $0.50, an Exchange Cap of 4,272,062 shares (19.999%), and a Beneficial Ownership Limitation of 4.99%. Fees disclosed include a $800,000 Cash Commitment Fee, a $25,000 structuring fee, reimbursement of $75,000 legal fees and a $50,000 fee to the qualified independent underwriter.
Flux Power Holdings is arranging to register up to 38,461,538 shares of common stock for resale by Roth Principal Investments under a new $40,000,000 committed equity facility. The company may, at its sole discretion, sell shares over up to 36 months through various VWAP-based purchase types with discounts of 3.0% to 5.25%.
Issuance is constrained by a Nasdaq Exchange Cap of 4,272,062 shares, equal to 19.999% of shares outstanding before the agreement, and a 4.99% beneficial ownership limit for Roth Principal Investments. Flux Power paid a $25,000 structuring fee, agreed to an $800,000 cash commitment fee, and will use any net proceeds for working capital and general corporate purposes.
Flux Power Holdings, Inc. supplements its Form S-1 registration to cover the proposed resale by selling stockholders of 3,644,289 shares of common stock. The supplement attaches the Company’s Form 10-Q for the quarter ended March 31, 2026 and updates disclosures including liquidity, covenant default and going-concern discussion.
The 10-Q shows cash $372,000, a nine-month net loss of $5.1M, an outstanding GBC credit facility balance of $5.7M and available borrowing capacity up to $10.3M (subject to borrowing base limits). Shares outstanding were 21,361,383 as of April 28, 2026.