FLUX Form 4: Krishna Vanka acquires 2,582 pre-funded warrants and 12,150 common warrants

Rhea-AI Filing Summary

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.

Positive

• Insider purchase: CEO/President/Director Krishna Vanka acquired 2,582 pre-funded warrants, indicating personal capital commitment.
• Immediate exercisability: Both the pre-funded warrants and common warrants are exercisable immediately, providing liquidity/options to the reporting person.
• Long-dated common warrants: Common warrants expire on 09/15/2030, giving a multi-year window to exercise.

Negative

• Potential dilution: The pre-funded warrants convert into Series A Convertible Preferred Stock and common warrants cover 12,150 shares, which could dilute existing shareholders if exercised.
• Conversion terms noted: The Series A Convertible Preferred Stock converts at an initial conversion price of $2.058, which defines a conversion relationship to common but may alter capitalization upon conversion.

Insights

Financial Analyst

TL;DR: Insider purchased pre-funded warrants and received common warrants, indicating a direct capital commitment but not a disclosed large stake.

The reporting shows Krishna Vanka acquired 2,582 pre-funded warrants at $19.369 each and received warrants to purchase 12,150 common shares at $1.715, exercisable immediately. The pre-funded warrants convert into Series A Convertible Preferred Stock with an initial conversion price of $2.058. From an analytical standpoint, this is a clear insider purchase and option issuance; it signals insider participation in the issuer's financing structure but the filing does not disclose the aggregate percentage ownership relative to total outstanding shares, so the materiality to valuation cannot be determined from this Form 4 alone.

Corporate Governance Expert

TL;DR: CEO/Director transaction is properly reported and shows direct beneficial ownership of convertible and warrant instruments.

The Form 4 properly discloses that Krishna Vanka, as an officer and director, directly owns pre-funded warrants and common stock purchase warrants. The pre-funded warrants are immediately exercisable into Series A Convertible Preferred Stock and the common warrants have a five-year term. The filing provides the instrument terms and exercise/conversion prices but does not include any amendment to governance arrangements or special voting rights tied to the Series A Convertible Preferred Stock within this Form 4.

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

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Vanka Krishna C

(Last) (First) (Middle)

C/O FLUX POWER HOLDINGS, INC.

2685 S. MELROSE DRIVE

(Street)

VISTA, CA 92081

(City) (State) (Zip)

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		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO and President

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	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

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
Pre-Funded Warrant (right to buy)(1)	$0.001	09/15/2025		P		2,582		09/15/2025	(2)	Series A Convertible Preferred Stock	2,582	(1)	2,582	D
Common Stock Purchase Warrant (right to buy)(1)(3)	$1.715	09/15/2025		P		12,150		09/15/2025	09/15/2030	Common Stock	12,150	(1)	12,150	D

Explanation of Responses:

1. On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 2,582 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 12,150 shares of the Issuer's Common Stock.

2. The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.

3. The Common Warrants have an initial exercise price of $1.715 and is exercisable immediately from the date of issuance and expire 5 years from the date of issuance.

	/s/ Krishna Vanka	09/17/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FAQ

What did Krishna Vanka purchase in the FLUX Form 4 filed on 09/17/2025?

The filing discloses purchase of 2,582 pre-funded warrants at $19.369 each and issuance of common warrants to buy 12,150 shares with a $1.715 exercise price.

Are the warrants exercisable immediately according to the Form 4?

Yes. The Form 4 states the pre-funded warrants and the common stock purchase warrants are exercisable immediately; the common warrants expire on 09/15/2030.

What does each pre-funded warrant convert into?

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.

How many common shares can be purchased under the common warrants?

The Form 4 shows common warrants to purchase 12,150 shares of Common Stock with an initial exercise price of $1.715.

What is Krishna Vanka's role at Flux Power Holdings as listed on the Form 4?

The Form 4 lists Krishna Vanka as a Director and an Officer with the title CEO and President.