FLUX

SEC source: 0001493152-21-013557 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,556,444

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to 10.53, 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 price.

F5 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-013557 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,580,329

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to 10.52, 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.

F5 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-013374 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,584,558

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to 10.60, 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 price.

F4 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-013374 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,598,296

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to 10.75, 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 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-013002 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,623,296

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.75 to 10.85, 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 price.

F4 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-013002 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,633,144

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in multiple transactions, all at the stated price of $11.00. 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 · balance_after: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-010332 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,578

Underlying: Common Stock · 4,578 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

SEC source: 0001493152-21-010333 · ownership.xml · derivative · entry 1

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,578

Underlying: Common Stock · 4,578 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

SEC source: 0001493152-21-010329 · ownership.xml · derivative · entry 1

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,578

Underlying: Common Stock · 4,578 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

SEC source: 0001493152-21-010328 · ownership.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,578

Underlying: Common Stock · 4,578 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 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. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

SEC source: 0001493152-21-007200 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 261,133 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: On March 26, 2021, Esenjay Investments, LLC ("Esenjay") converted all of the principal and accrued and unpaid interest under the Second Amended and Restated Secured Promissory Note, dated August 31, 2020 (the "Convertible Note") into 261,133 shares of common stock at a fixed conversion price of $4.00. The Reporting Person is the sole director and beneficial owner of Esenjay.

F2 · derivative.exercise_date: The Convertible Note is convertible on or after August 31, 2020 and matures on September 30, 2021.

F2 · derivative.expiration_date: The Convertible Note is convertible on or after August 31, 2020 and matures on September 30, 2021.

F3 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F3 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-007200 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,635,954

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: On March 26, 2021, Esenjay Investments, LLC ("Esenjay") converted all of the principal and accrued and unpaid interest under the Second Amended and Restated Secured Promissory Note, dated August 31, 2020 (the "Convertible Note") into 261,133 shares of common stock at a fixed conversion price of $4.00. The Reporting Person is the sole director and beneficial owner of Esenjay.

F1 · shares: On March 26, 2021, Esenjay Investments, LLC ("Esenjay") converted all of the principal and accrued and unpaid interest under the Second Amended and Restated Secured Promissory Note, dated August 31, 2020 (the "Convertible Note") into 261,133 shares of common stock at a fixed conversion price of $4.00. The Reporting Person is the sole director and beneficial owner of Esenjay.

F3 · ownership.direct: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F3 · ownership.nature: These securities are held by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-006796 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,374,821

F1 · kind: This transaction involved a gift of securities by the Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), to two individuals. Disposition price is not applicable as this transaction was a bona fide gift. The Reporting Person is the sole director and beneficial owner of Esenjay.

F2 · balance_after: Includes 4,224,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F2 · ownership.direct: Includes 4,224,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F2 · ownership.nature: Includes 4,224,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-005936 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,384,821

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $12.10, 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 price.

F4 · balance_after: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-005936 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,399,821

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.50, 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 price.

F4 · balance_after: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.direct: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F4 · ownership.nature: Includes 4,234,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-005314 · ownership.xml · nonDerivative · entry 3

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,409,821

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.05 to $13.23, 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 price.

F5 · balance_after: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.direct: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-005314 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,414,272

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.05 to $13.08, 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 price.

F5 · balance_after: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.direct: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-005314 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,433,757

F1 · security: Represents the shares of common stock sold by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.50, 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 price.

F5 · balance_after: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

F5 · ownership.direct: Includes 4,259,821 shares of common stock owned by Esenjay. The Reporting Person is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-004410 · ownership.xml · nonDerivative · entry 2

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,670

F2 · security: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

F2 · price: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

SEC source: 0001493152-21-004410 · ownership.xml · nonDerivative · entry 1

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,670

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.67 to $16.45, 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 price.

SEC source: 0001493152-20-020809 · ownership.xml · derivative · entry 3

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,030

Underlying: Common Stock · 7,030 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F3 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-020809 · ownership.xml · derivative · entry 2

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,272

Underlying: Common Stock · 5,272 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

F2 · derivative.expiration_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

SEC source: 0001493152-20-020809 · ownership.xml · derivative · entry 1

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,515

Underlying: Common Stock · 3,515 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

SEC source: 0001493152-20-020806 · ownership.xml · derivative · entry 3

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,030

Underlying: Common Stock · 7,030 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F3 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-020806 · ownership.xml · derivative · entry 2

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,272

Underlying: Common Stock · 5,272 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

F2 · derivative.expiration_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

SEC source: 0001493152-20-020806 · ownership.xml · derivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,515

Underlying: Common Stock · 3,515 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,214

Underlying: Common Stock · 13,214 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F3 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,607

Underlying: Common Stock · 9,910 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

F2 · derivative.expiration_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,607

Underlying: Common Stock · 6,607 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

SEC source: 0001493152-21-017054 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,214

Underlying: Common Stock · 13,214 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F1 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-21-017053 · ownership.xml · derivative · entry 1

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,030

Underlying: Common Stock · 7,030 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F1 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-21-017052 · ownership.xml · derivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,030

Underlying: Common Stock · 7,030 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F1 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-016235 · ownership.xml · nonDerivative · entry 1

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,875

F1 · security: Represents the acquisition of 1,875 shares of common stock acquired by Mr. Berry at the offering price of $4.00 per share, for a total purchase price of $7,500, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-20-016234 · ownership.xml · nonDerivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · security: Represents the acquisition of 5,000 shares of common stock acquired by Mr. Scheiwe at the offering price of $4.00 per share, for a total purchase price of $20,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-20-016230 · ownership.xml · nonDerivative · entry 1

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

F1 · security: Represents the acquisition of 25,000 shares of common stock acquired by Mr. Cosentino at the offering price of $4.00 per share, for a total purchase price of $100,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-20-016229 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,453,757

F1 · security: Represents the acquisition of 150,000 shares of common stock acquired by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay") at the offering price of $4.00 per share, for a total purchase price of $600,000, in connection with the Issuer's public offering which closed on August 18, 2020.

F2 · balance_after: Includes 4,303,757 shares of common stock owned by Esenjay.

F3 · ownership.direct: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-016228 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,660

F1 · security: Represents the acquisition of 8,750 shares of common stock acquired by Mr. Dutt at the offering price of $4.00 per share, for a total purchase price of $35,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-21-004646 · ownership.xml · nonDerivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · security: Represents the purchase of 5,000 shares of common stock acquired by Mr. Scheiwe on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $20,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-21-004645 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,453,757

F1 · security: Represents the purchase of 150,000 shares of common stock acquired by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay") on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $600,000, in connection with the Issuer's public offering which closed on August 18, 2020.

F2 · balance_after: Includes 4,303,757 shares of common stock owned by Esenjay.

F3 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-21-004644 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,660

F1 · security: Represents the purchase of 8,750 shares of common stock acquired by Mr. Dutt on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $35,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-21-004643 · ownership.xml · nonDerivative · entry 1

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

F1 · security: Represents the purchase of 25,000 shares of common stock acquired by Mr. Cosentino on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $100,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-21-004642 · ownership.xml · nonDerivative · entry 1

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,875

F1 · security: Represents the purchase of 1,875 shares of common stock acquired by Mr. Berry on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $7,500, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-20-013940 · ownership.xml · nonDerivative · entry 1

Cosentino John A Jr · CIK 0001335778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

F1 · security: Represents the acquisition of 62,500 shares of common stock (at $4.00 per share) acquired by Mr. Cosentino for $250,000 in cash in a private placement offering.

SEC source: 0001493152-20-013909 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 100,000 shares

Expires 2020-09-30

F1 · security: On July 22, 2020, Esenjay Investments, LLC ("Esenjay") assigned $400,000 in principal which was outstanding under the Amended and Restated Convertible Promissory Note dated March 9, 2020, as amended on June 2, 2020 (the "Promissory Note") to an unrelated third-party as settlement of certain obligations. The Promissory Note is convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020. The Promissory Note became convertible on June 30, 2020 at $4.00 per share. As of July 22, 2020, subsequent to the assignment Esenjay had approximately $547,938 outstanding in principal under the Promissory Note which is convertible into 136,985 shares of common stock based on $4.00 per share.

F1 · derivative.exercise_date: On July 22, 2020, Esenjay Investments, LLC ("Esenjay") assigned $400,000 in principal which was outstanding under the Amended and Restated Convertible Promissory Note dated March 9, 2020, as amended on June 2, 2020 (the "Promissory Note") to an unrelated third-party as settlement of certain obligations. The Promissory Note is convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020. The Promissory Note became convertible on June 30, 2020 at $4.00 per share. As of July 22, 2020, subsequent to the assignment Esenjay had approximately $547,938 outstanding in principal under the Promissory Note which is convertible into 136,985 shares of common stock based on $4.00 per share.

F1 · valueOwnedAfter: On July 22, 2020, Esenjay Investments, LLC ("Esenjay") assigned $400,000 in principal which was outstanding under the Amended and Restated Convertible Promissory Note dated March 9, 2020, as amended on June 2, 2020 (the "Promissory Note") to an unrelated third-party as settlement of certain obligations. The Promissory Note is convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020. The Promissory Note became convertible on June 30, 2020 at $4.00 per share. As of July 22, 2020, subsequent to the assignment Esenjay had approximately $547,938 outstanding in principal under the Promissory Note which is convertible into 136,985 shares of common stock based on $4.00 per share.

F2 · ownership.nature: Securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012523 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,910

F1 · security: Represents the acquisition of 12,500 shares of common stock (at $4.00 per share) acquired by Mr. Dutt for $50,000 in cash.

SEC source: 0001493152-20-012522 · ownership.xml · derivative · entry 3

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,100,000 shares

Expires 2020-12-31

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.

F3 · security: Pursuant to the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019, December 31, 2019, and June 30, 2020 held by Esenjay ("LOC Note") for a $12 million line of credit to Flux Power, Inc., the wholly-owned subsidiary of the Issuer, the Issuer granted Esenjay the right to convert the LOC Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note became convertible on June 30, 2020 at $4.00 per share. As of the date of this filing, Esenjay has $823,417 outstanding under the LOC Note.

F4 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012522 · ownership.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,303,757

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.

F3 · security: Pursuant to the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019, December 31, 2019, and June 30, 2020 held by Esenjay ("LOC Note") for a $12 million line of credit to Flux Power, Inc., the wholly-owned subsidiary of the Issuer, the Issuer granted Esenjay the right to convert the LOC Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note became convertible on June 30, 2020 at $4.00 per share. As of the date of this filing, Esenjay has $823,417 outstanding under the LOC Note.

F3 · shares: Pursuant to the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019, December 31, 2019, and June 30, 2020 held by Esenjay ("LOC Note") for a $12 million line of credit to Flux Power, Inc., the wholly-owned subsidiary of the Issuer, the Issuer granted Esenjay the right to convert the LOC Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note became convertible on June 30, 2020 at $4.00 per share. As of the date of this filing, Esenjay has $823,417 outstanding under the LOC Note.

F4 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012522 · ownership.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,203,757

F1 · security: Represents the acquisition of 75,000 shares of common stock (at $4.00 per share) acquired by Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay") for $300,000 in cash.

F2 · balance_after: Includes 3,128,757 shares of common stock owned by Esenjay.

F4 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012330 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-09-30

F2 · security: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay dated 3/9/20, as amended on 6/2/20, with an outstanding principal amount of $1.4 million ("Promissory Note"), the outstanding obligations of the Issuer under the Promissory Note are convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. The Promissory Note was not convertible and the conversion price was not fixed at 6/26/20.

F2 · derivative.exercise_price: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay dated 3/9/20, as amended on 6/2/20, with an outstanding principal amount of $1.4 million ("Promissory Note"), the outstanding obligations of the Issuer under the Promissory Note are convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. The Promissory Note was not convertible and the conversion price was not fixed at 6/26/20.

F2 · price: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay dated 3/9/20, as amended on 6/2/20, with an outstanding principal amount of $1.4 million ("Promissory Note"), the outstanding obligations of the Issuer under the Promissory Note are convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. The Promissory Note was not convertible and the conversion price was not fixed at 6/26/20.

F2 · derivative.exercise_date: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay dated 3/9/20, as amended on 6/2/20, with an outstanding principal amount of $1.4 million ("Promissory Note"), the outstanding obligations of the Issuer under the Promissory Note are convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. The Promissory Note was not convertible and the conversion price was not fixed at 6/26/20.

F2 · derivative.underlying_shares: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay dated 3/9/20, as amended on 6/2/20, with an outstanding principal amount of $1.4 million ("Promissory Note"), the outstanding obligations of the Issuer under the Promissory Note are convertible into shares of common stock of the Registrant at any time upon consummation of an offering of equity securities for up to $1 million before the Promissory Note's maturity date. The maturity date of the Promissory Note is September 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. The Promissory Note was not convertible and the conversion price was not fixed at 6/26/20.

F3 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012330 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-06-30

F1 · security: Pursuant to the Secured Promissory Note ("LOC Note"), dated 3/28/19, as amended on 10/10/19 and 12/31/19 held by Esenjay Investments, LLC ("Esenjay") for a $12 million line of credit to Flux Power, Inc. ("FPI"), the wholly-owned subsidiary of the Issuer, Esenjay made additional advances under the LOC Note as follows since 12/31/19 (as of 12/31/19, Esenjay advanced $5,666,503 under the LOC Note): $300,000 - 1/17/20, $100,000 - 1/29/20, $200,000 - 2/28/20, and $200,000 - 4/24/20. On 1/21/20, FPI repaid $200,000 under the LOC Note. The LOC Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note was not convertible and the conversion price was not fixed at 6/26/20.

F1 · derivative.exercise_price: Pursuant to the Secured Promissory Note ("LOC Note"), dated 3/28/19, as amended on 10/10/19 and 12/31/19 held by Esenjay Investments, LLC ("Esenjay") for a $12 million line of credit to Flux Power, Inc. ("FPI"), the wholly-owned subsidiary of the Issuer, Esenjay made additional advances under the LOC Note as follows since 12/31/19 (as of 12/31/19, Esenjay advanced $5,666,503 under the LOC Note): $300,000 - 1/17/20, $100,000 - 1/29/20, $200,000 - 2/28/20, and $200,000 - 4/24/20. On 1/21/20, FPI repaid $200,000 under the LOC Note. The LOC Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note was not convertible and the conversion price was not fixed at 6/26/20.

F1 · price: Pursuant to the Secured Promissory Note ("LOC Note"), dated 3/28/19, as amended on 10/10/19 and 12/31/19 held by Esenjay Investments, LLC ("Esenjay") for a $12 million line of credit to Flux Power, Inc. ("FPI"), the wholly-owned subsidiary of the Issuer, Esenjay made additional advances under the LOC Note as follows since 12/31/19 (as of 12/31/19, Esenjay advanced $5,666,503 under the LOC Note): $300,000 - 1/17/20, $100,000 - 1/29/20, $200,000 - 2/28/20, and $200,000 - 4/24/20. On 1/21/20, FPI repaid $200,000 under the LOC Note. The LOC Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note was not convertible and the conversion price was not fixed at 6/26/20.

F1 · derivative.exercise_date: Pursuant to the Secured Promissory Note ("LOC Note"), dated 3/28/19, as amended on 10/10/19 and 12/31/19 held by Esenjay Investments, LLC ("Esenjay") for a $12 million line of credit to Flux Power, Inc. ("FPI"), the wholly-owned subsidiary of the Issuer, Esenjay made additional advances under the LOC Note as follows since 12/31/19 (as of 12/31/19, Esenjay advanced $5,666,503 under the LOC Note): $300,000 - 1/17/20, $100,000 - 1/29/20, $200,000 - 2/28/20, and $200,000 - 4/24/20. On 1/21/20, FPI repaid $200,000 under the LOC Note. The LOC Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note was not convertible and the conversion price was not fixed at 6/26/20.

F1 · derivative.underlying_shares: Pursuant to the Secured Promissory Note ("LOC Note"), dated 3/28/19, as amended on 10/10/19 and 12/31/19 held by Esenjay Investments, LLC ("Esenjay") for a $12 million line of credit to Flux Power, Inc. ("FPI"), the wholly-owned subsidiary of the Issuer, Esenjay made additional advances under the LOC Note as follows since 12/31/19 (as of 12/31/19, Esenjay advanced $5,666,503 under the LOC Note): $300,000 - 1/17/20, $100,000 - 1/29/20, $200,000 - 2/28/20, and $200,000 - 4/24/20. On 1/21/20, FPI repaid $200,000 under the LOC Note. The LOC Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The LOC Note was not convertible and the conversion price was not fixed at 6/26/20.

F3 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.