FLUX

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,430

F1 · date: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

SEC source: 0001493152-24-023977 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

Esenjay Investments, LLC · CIK 0001981618 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Esenjay Investments, LLC

Disclosed balance after: 4,187,934

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $2.98 to $3.09, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F3 · balance_after: Consists of 39,254 shares of common stock directly held by Michael Johnson and 4,148,680 held by Esenjay.

F1 · ownership.nature: These securities sold are directly held by Esenjay Investments, LLC ("Esenjay"). Michael Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-24-020930 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

Esenjay Investments, LLC · CIK 0001981618 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Esenjay Investments, LLC

Disclosed balance after: 4,322,557

F1 · kind: These securities sold are directly held by Esenjay Investments, LLC ("Esenjay").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.31 to $3.335, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Persons will provide full information regarding the number of shares sold at each separate transaction.

F3 · balance_after: Consists of 39,254 shares of common stock directly held by Michael Johnson and 4,283,303 held by Esenjay. Michael Johnson is the sole director and beneficial owner of Esenjay.

F3 · ownership.nature: Consists of 39,254 shares of common stock directly held by Michael Johnson and 4,283,303 held by Esenjay. Michael Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-24-017310 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,526 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.exercise_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.expiration_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-017310 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,050

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-24-017310 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-017308 · ownership.xml · derivative · entry 2

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,526 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.exercise_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.expiration_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-017308 · ownership.xml · nonDerivative · entry 1

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,254

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001493152-24-017306 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,526 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This award was granted on April 29, 2021 subject to the terms conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.exercise_date: This award was granted on April 29, 2021 subject to the terms conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.expiration_date: This award was granted on April 29, 2021 subject to the terms conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-017306 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Esenjay Investments, LLC

Disclosed balance after: 4,339,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F3 · balance_after: Consists of 39,254 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

F3 · ownership.direct: Consists of 39,254 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

F3 · ownership.nature: Consists of 39,254 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-24-015623 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,058

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

SEC source: 0001493152-24-017314 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,058

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F6 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F6 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-24-015625 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015625 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Esenjay Investments, LLC

Disclosed balance after: 4,337,484

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F4 · balance_after: Consists of 37,728 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: Consists of 37,728 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: Consists of 37,728 shares of common stock directly held by the Reporting Person and 4,299,756 indirectly held by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"). The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-24-015622 · ownership.xml · derivative · entry 2

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015622 · ownership.xml · nonDerivative · entry 1

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,728

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001493152-24-015623 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015623 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,967

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-017314 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-017314 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,967

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015412 · ownership.xml · derivative · entry 4

Bo-Linn Cheemin · CIK 0001595341 · FORMER DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,678 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F3 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.exercise_price: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F2 · price: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F2 · derivative.exercise_date: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F2 · derivative.expiration_date: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

SEC source: 0001493152-24-015412 · ownership.xml · derivative · entry 3

Bo-Linn Cheemin · CIK 0001595341 · FORMER DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F3 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F1 · derivative.exercise_price: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F1 · price: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F1 · derivative.exercise_date: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F1 · derivative.expiration_date: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

SEC source: 0001493152-24-015412 · ownership.xml · nonDerivative · entry 2

Bo-Linn Cheemin · CIK 0001595341 · FORMER DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,179

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F3 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · kind: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

F2 · price: Represents a grant of RSUs on August 26, 2022 subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2022 Grant"). One third of the 2022 Grant vested on August 26, 2022, and a subsequent one third vested on April 29, 2023. On April 18, 2024, the remaining one third of the 2022 Grant accelerated and became fully vested as of April 18, 2024.

SEC source: 0001493152-24-015412 · ownership.xml · nonDerivative · entry 1

Bo-Linn Cheemin · CIK 0001595341 · FORMER DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,501

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F3 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F1 · kind: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

F1 · price: Represents a grant of 16,883 restricted stock units ("RSUs") on April 20, 2023 (the "2023 Grant") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan"). On April 18, 2024, the entire 2023 Grant accelerated and became fully vested as of April 18, 2024.

SEC source: 0001493152-24-015625 · ownership.xml · derivative · entry 3

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F3 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-015622 · ownership.xml · derivative · entry 3

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F3 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F3 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-015624 · ownership.xml · derivative · entry 1

Leposky Mark F · CIK 0001548051 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F1 · security: Represents a grant of RSUs on April 18,2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F1 · derivative.exercise_price: Represents a grant of RSUs on April 18,2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F1 · price: Represents a grant of RSUs on April 18,2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F1 · derivative.exercise_date: Represents a grant of RSUs on April 18,2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F1 · derivative.expiration_date: Represents a grant of RSUs on April 18,2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-015623 · ownership.xml · derivative · entry 4

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F5 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-017314 · ownership.xml · derivative · entry 4

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F5 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-012602 · ownership.xml · nonDerivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,548

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

SEC source: 0001493152-24-012600 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,930

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

SEC source: 0001493152-24-013207 · ownership.xml · nonDerivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,552

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

SEC source: 0001493152-24-008992 · ownership.xml · derivative · entry 1

ROYAL KEVIN · CIK 0001185726 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2034-03-04

F1 · price: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on March 4, 2024 (the "Grant Date"), the Reporting Person was granted 55,000 incentive stock options (the "Options") at an exercise price of $5.00, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest annually over three years from the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

F1 · derivative.exercise_date: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on March 4, 2024 (the "Grant Date"), the Reporting Person was granted 55,000 incentive stock options (the "Options") at an exercise price of $5.00, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest annually over three years from the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

SEC source: 0001493152-24-008627 · ownership.xml · derivative · entry 4

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,100 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a grant of RSUs subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2021 Grant") in October 2021. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. In connection with the Transition, the remaining 1/3 of the 2021 Grant accelerated and became fully vested as of the Separation Date.

F2 · price: Represents a grant of RSUs subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2021 Grant") in October 2021. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. In connection with the Transition, the remaining 1/3 of the 2021 Grant accelerated and became fully vested as of the Separation Date.

F2 · derivative.exercise_date: Represents a grant of RSUs subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2021 Grant") in October 2021. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. In connection with the Transition, the remaining 1/3 of the 2021 Grant accelerated and became fully vested as of the Separation Date.

F2 · derivative.expiration_date: Represents a grant of RSUs subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2021 Grant") in October 2021. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. In connection with the Transition, the remaining 1/3 of the 2021 Grant accelerated and became fully vested as of the Separation Date.

SEC source: 0001493152-24-008627 · ownership.xml · derivative · entry 3

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,030 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents a one-time grant (the "2020 Grant") of restricted stock units ("RSUs") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") in November 2020. In connection with the Transition (defined below), effective as of March 1, 2024 (the "Separation Date"), the entire 2020 Grant accelerated and became fully vested as of the Separation Date.

F1 · price: Represents a one-time grant (the "2020 Grant") of restricted stock units ("RSUs") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") in November 2020. In connection with the Transition (defined below), effective as of March 1, 2024 (the "Separation Date"), the entire 2020 Grant accelerated and became fully vested as of the Separation Date.

F1 · derivative.exercise_date: Represents a one-time grant (the "2020 Grant") of restricted stock units ("RSUs") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") in November 2020. In connection with the Transition (defined below), effective as of March 1, 2024 (the "Separation Date"), the entire 2020 Grant accelerated and became fully vested as of the Separation Date.

F1 · derivative.expiration_date: Represents a one-time grant (the "2020 Grant") of restricted stock units ("RSUs") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") in November 2020. In connection with the Transition (defined below), effective as of March 1, 2024 (the "Separation Date"), the entire 2020 Grant accelerated and became fully vested as of the Separation Date.

SEC source: 0001493152-24-008627 · ownership.xml · nonDerivative · entry 2

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,158

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Represents a grant of RSUs subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Plan (the "2021 Grant") in October 2021. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. In connection with the Transition, the remaining 1/3 of the 2021 Grant accelerated and became fully vested as of the Separation Date.

SEC source: 0001493152-24-008627 · ownership.xml · nonDerivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents a one-time grant (the "2020 Grant") of restricted stock units ("RSUs") subject to the conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") in November 2020. In connection with the Transition (defined below), effective as of March 1, 2024 (the "Separation Date"), the entire 2020 Grant accelerated and became fully vested as of the Separation Date.

SEC source: 0001493152-23-039607 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,430

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.25 to $3.30 per share, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F2 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-039613 · ownership.xml · nonDerivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,028

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.25 to $3.30 per share, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F2 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-039610 · ownership.xml · nonDerivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,267

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.25 to $3.30 per share, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F2 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038926 · ownership.xml · nonDerivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,651

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in the open market in multiple transactions, all at the stated price of $3.30 per share.

F3 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038769 · ownership.xml · nonDerivative · entry 3

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,213

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.285 to $3.32, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038767 · ownership.xml · nonDerivative · entry 3

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,566

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.285 to $3.32, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038769 · ownership.xml · nonDerivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,304

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in the open market in multiple transactions, all at the stated price of $3.35 per share.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038767 · ownership.xml · nonDerivative · entry 2

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,300

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in the open market in multiple transactions, all at the stated price of $3.35 per share.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038930 · ownership.xml · derivative · entry 2

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,100

Underlying: Common Stock · 2,100 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038930 · ownership.xml · nonDerivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,666

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038928 · ownership.xml · derivative · entry 2

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,280

Underlying: Common Stock · 1,280 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant")on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant")on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant")on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant")on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038928 · ownership.xml · nonDerivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,656

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant")on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038926 · ownership.xml · derivative · entry 3

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,021

Underlying: Common Stock · 4,020 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.