SEC Form 4 · accession 0001437749-17-017856
Flux Power Holdings, Inc. · FLUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald F Dutt
Officer — CEO · Director
Period of report
Oct 26, 2017
Accepted (ET)
Oct 30, 2017 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001083743
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $0.4638 | Oct 26, 2017 | A | 500,000 | A | — | Oct 26, 2027 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a three-year period in quarterly installments, with 25% vesting on October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).