ROYAL KEVIN 4
4 · Flux Power Holdings, Inc. · Filed Sep 17, 2025
Insider Transaction Report
Form 4
ROYAL KEVIN
CFO and Secretary
Transactions
- Purchase
Pre-Funded Warrant (right to buy)
2025-09-15+517→ 517 totalExercise: $0.00From: 2025-09-15→ Series A Convertible Preferred Stock (517 underlying) - Purchase
Common Stock Purchase Warrant (right to buy)
2025-09-15+2,433→ 2,433 totalExercise: $1.72From: 2025-09-15Exp: 2030-09-15→ Common Stock (2,433 underlying)
Footnotes (3)
- [F1]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 517 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 2,433 shares of the Issuer's Common Stock.
- [F2]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.
- [F3]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.