SEC Form 4/A · accession 0001709409-18-000015
Flux Power Holdings, Inc. · FLUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald F Dutt
Officer — CEO; CFO · Director
Period of report
Jun 29, 2018
Accepted (ET)
Jul 9, 2018 · 7:48 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,F2 | $1.44 | Jun 29, 2018 | A | 500,000 | A | — | Jun 29, 2028 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.
- F2This report on Form 4/A amends and replaces in its entirety the Form 4 filed by the Reporting Person on July 3, 2018. This report on Form 4/A is being filed solely to correct a typographical error with respect to the expiration date of the stock option, which should be June 29, 2028.