Welcome to our dedicated page for Flux Power Holdings 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. has called a virtual special meeting on August 29, 2025 to request stockholder approval for a major capital structure change and a related financing. The board is asking investors to amend and restate the articles of incorporation to increase authorized preferred stock from 500,000 to 3,000,000 shares, create “blank check” preferred, and designate 1,000,000 shares as Series A Convertible Preferred Stock with senior dividend, liquidation and voting rights.
Stockholders are also being asked to approve the potential issuance of common shares upon conversion of the Series A preferred and exercise of related common warrants issued in a non‑public private placement, because the total could exceed 20% of the 16,835,698 common shares outstanding as of July 14, 2025 under Nasdaq Listing Rule 5635(d). The private placement covers up to $5,000,000 of prefunded warrants priced at $19.369 per underlying preferred share, plus five‑year common warrants equal to 50% of the common shares issuable on conversion.
The preferred carries an 8.0% annual cumulative dividend, a liquidation value of $19.369 per share, broad anti‑dilution adjustments and voting as‑converted with common, plus separate class consent rights. These steps are framed as critical to raising equity after Nasdaq notified the company that its stockholders’ equity was a deficit of ($4,372,000) as of March 31, 2025, versus the $2,500,000 minimum, and warned of trading suspension absent a successful appeal.
Flux Power Holdings (FLUX) filed a Form 4 disclosing new equity awards to CEO/President & Director Krishna C. Vanka on 08/01/2025.
- Time-based RSUs: 121,951 units (Transaction Code “A”) granted under the 2021 Equity Incentive Plan; vest 1/3 annually starting 07/01/2026, subject to continued service.
- Performance-based RSUs: up to 182,927 units (maximum) granted on the same date; cliff-vest on 07/01/2028 if Compensation Committee performance targets are met.
No shares were sold or disposed; total potential beneficial ownership from these awards is 304,878 common shares, all held directly. The filing signals continued long-term incentive alignment but also introduces incremental dilution if fully vested.
Flux Power Holdings (FLUX) Form 4: Chief Operating Officer Jeffrey Curtis Mason reported the grant of 56,100 incentive stock options on 08/01/2025 under the company’s 2021 Equity Incentive Plan. The options carry a $1.88 exercise price, equal to the issuer’s 10-day VWAP on the grant date, and will vest in equal annual installments over three years (08/01/2025-08/01/2028). Ownership remains direct and this is the earliest transaction disclosed. No shares were acquired or sold outright; the filing solely records the new derivative position.
The transaction modestly increases potential dilution (≈56k shares vs. 17.0 m basic shares outstanding as of last report) but also strengthens management-shareholder alignment by tying compensation to future share-price appreciation. No other insider activity, sales, or price-sensitive disclosures are included.
Flux Power Holdings, Inc. (FLUX) filed an 8-K to disclose two debt-related amendments executed on 16 Jul 2025.
- Cleveland Capital Note: The First Amendment shifts the maturity of the $-denominated Subordinated Unsecured Promissory Note issued 2 Nov 2023 from 15 Aug 2025 to 30 Sep 2025. Cleveland Capital beneficially owns roughly 7.3 % of FLUX common stock.
- Gibraltar Business Capital (GBC) ABL facility: Amendment No. 5 revises the Loan & Security Agreement maturity to 31 Aug 2025. The date will automatically extend to 31 Jul 2027 if (i) the Cleveland Note is pushed to ≥29 Sep 2027, or (ii) that note is fully converted to equity. FLUX will pay GBC a non-refundable $112,500 amendment fee.
No principal balances, interest rate changes, or covenant details were provided. The amendments relieve near-term refinancing pressure and link the longer ABL tenor to a future extension/convertibility of the insider-held Cleveland Note.