Mason Jeffrey Curtis

SEC source: 0001493152-25-013941 · ownership.xml · derivative · entry 2

Mason Jeffrey Curtis · CIK 0001954655 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,433

Underlying: Common Stock · 2,433 shares

Expires 2030-09-15

F1 · security: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.

F3 · security: The Common Warrants have an initial exercise price of $1.715 and is exercisable immediately from the date of issuance and expire 5 years from the date of issuance.

F1 · price: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.

SEC source: 0001493152-25-013941 · ownership.xml · derivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 517

Underlying: Series A Convertible Preferred Stock · 517 shares

Expires not disclosed

F1 · security: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.

F2 · security: The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.

F1 · price: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.

F2 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.

F2 · derivative.underlying: The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.

SEC source: 0001641172-25-022303 · ownership.xml · derivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,100

Underlying: Common Stock · 56,100 shares

Expires 2025-08-01

F1 · price: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on August 1, 2025 (the "Grant Date"), the Reporting Person was granted 56,100 incentive stock options (the "Options") at an exercise price of $1.88, 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.

F1 · derivative.exercise_date: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on August 1, 2025 (the "Grant Date"), the Reporting Person was granted 56,100 incentive stock options (the "Options") at an exercise price of $1.88, 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.

SEC source: 0001641172-25-002488 · ownership.xml · derivative · entry 5

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

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.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002488 · ownership.xml · nonDerivative · entry 4

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,264

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 $1.61 to $1.705, 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 · 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: 0001641172-25-002488 · ownership.xml · nonDerivative · entry 3

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,832

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 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F3 · 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, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002488 · ownership.xml · nonDerivative · entry 2

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,552

F2 · date: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, 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.

F2 · shares: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, 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.

F2 · price: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, 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: 0001641172-25-002488 · 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: 5,052

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: 0001493152-24-012602 · 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: 0001493152-24-013207 · 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: 0001493152-23-039610 · 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: 0001493152-23-038928 · 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: 0001493152-23-038135 · ownership.xml · derivative · entry 1

Mason Jeffrey Curtis · CIK 0001954655 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,934

Underlying: Common Stock · 54,934 shares

Expires 2033-10-20

F1 · price: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on October 20, 2023 (the "Grant Date"), the Reporting Person was granted 54,934 incentive stock options (the "Options") at an exercise price of $3.36, 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 October 20, 2023 (the "Grant Date"), the Reporting Person was granted 54,934 incentive stock options (the "Options") at an exercise price of $3.36, 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.