NeoVolta CTO exercises 37,500 RSUs into stock

NeoVolta Inc. Chief Technology Officer Thomas Enzendorfer exercised restricted stock units into common shares as part of his compensation.

Accepted by SEC EDGAR 03/23/2026 - 09:24 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

NeoVolta Inc. Chief Technology Officer Thomas Enzendorfer exercised restricted stock units into common shares as part of his compensation. On March 19, 2026, 37,500 restricted stock units converted into 37,500 shares of common stock at a price of $0.00 per share. These units are from a 450,000-share award granted on October 1, 2025 that vests in twelve equal quarterly installments over three years, subject to continued service.

Insider Trade Summary

37,500 shares exercised/converted

Exercise 2 txns

Insider Enzendorfer Thomas

Role Chief Technology Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	37,500	$0.00	$0.00
Exercise	Common Stock	37,500	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 412,500 contracts (Direct); Common Stock — 37,500 shares (Direct)

Holdings Before and After: Restricted Stock Units, 450,000 to 412,500 contracts (Direct); Common Stock, 0 to 37,500 shares (Direct)

Footnotes (3)

1. F1. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
2. F2. On October 1, 2025, the reporting person was issued a restricted stock unit award for 450,000 shares of Company common stock that vests in twelve equal quarterly installments over a three-year period, subject to the grantee's continued service to the Company on each vesting date.
3. F3. Issued in connection with the reporting person's employment with the Company.

FAQ

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What did NeoVolta (NEOV) CTO Thomas Enzendorfer report in this Form 4?

Thomas Enzendorfer reported exercising 37,500 restricted stock units into 37,500 shares of NeoVolta common stock. The transaction reflects the vesting and conversion of part of a prior equity award, rather than an open-market stock purchase or sale.

How many NeoVolta shares were acquired through the RSU vesting on March 19, 2026?

The filing shows 37,500 restricted stock units converted into 37,500 shares of NeoVolta common stock. This conversion occurred at an exercise price of $0.00 per share, reflecting a standard equity compensation vesting event rather than a cash-funded stock purchase.

What is the size and vesting schedule of the NeoVolta RSU award to the CTO?

On October 1, 2025, the CTO received a restricted stock unit award covering 450,000 shares of NeoVolta common stock. The grant vests in twelve equal quarterly installments over three years, contingent on the executive’s continued service with the company on each vesting date.

Is the NeoVolta CTO’s Form 4 transaction a market purchase or sale of NEOV stock?

The Form 4 reflects an exercise and conversion of restricted stock units, not an open-market trade. Shares were issued at $0.00 per share as part of an existing compensation award, meaning no shares were bought or sold on the public market in this transaction.

How many restricted stock units remain for the NeoVolta CTO after this vesting event?

After 37,500 units vested and converted, the Form 4 shows 412,500 restricted stock units remaining from the original 450,000-unit award. These remaining units are scheduled to vest in future quarterly installments, subject to the executive’s continued service with NeoVolta.

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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^*

Enzendorfer Thomas

(Last) (First) (Middle)

C/O NEOVOLTA, INC.

12195 DEARBORN PLACE

(Street)

POWAY CALIFORNIA 92064

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
NeoVolta Inc. [ NEOV ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Technology Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/19/2026

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

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

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	03/19/2026		M		37,500	A	(1)	37,500	D

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
Restricted Stock Units	(1)	03/19/2026		M		37,500		(2)	(2)	Common Stock	37,500	(3)	412,500	D

Explanation of Responses:

1. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

2. On October 1, 2025, the reporting person was issued a restricted stock unit award for 450,000 shares of Company common stock that vests in twelve equal quarterly installments over a three-year period, subject to the grantee's continued service to the Company on each vesting date.

3. Issued in connection with the reporting person's employment with the Company.

	/s/ Thomas Enzendorfer	03/23/2026
	** 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.
* Form 4: SEC 1474 (03-26)