UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | (1) | 05/07/2030 | Common Stock | 3,480 | $ 6.57 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cosentino John A Jr C/O FLUX POWER HOLDINGS, INC. 2685 S. MELROSE DRIVE VISTA, CA 92081 |
X |
/s/ John A. Cosentino, Jr. | 05/13/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan"), the Reporting Person was granted 3,480 non-qualified stock options (the "Options") at the exercise price disclosed in this form. The Options were granted on May 7, 2020 (the "Grant Date") and vests over a 2 year period in quarterly installments commencing as of May 7, 2020. The exercise price for the Options is the thirty (30) days volume weight average closing price of the Issuer's common stock as of the Grant Date. |