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Documents Incorporated by Reference in ‘424B4’ Filing 1493152-20-15908 · Filed re: Tuesday, 6/30/20
30
JUN


        

5  Filings
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
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 9/28/20  Flux Power Holdings, Inc.         10-K        6/30/20   67:4.3M                                   M2 Compliance LLC/FA     
  7/7/20  Flux Power Holdings, Inc.         8-K:1,2,3,8 6/30/20    4:106K                                   M2 Compliance LLC/FA     
  7/2/20  Dutt Ronald F                     4          Dir.,Off.²  1:4K   Flux Power Holdings, Inc.         M2 Compliance LLC/FA     
  7/2/20  Johnson Michael                   4          Dir.,%Own.² 1:8K   Flux Power Holdings, Inc.         M2 Compliance LLC/FA     
 6/30/20  Johnson Michael                   4          Dir.,%Own.² 1:8K   Flux Power Holdings, Inc.         M2 Compliance LLC/FA     
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 ¹  Filing/Form Types: 
Type emoji
  4    Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }.
  8-K    Current Report — Form 8-K { Item 1: Business & Operations;  2: Financial Info;  3: Securities & Trading;  4: Accountants & Accounting;  5: Governance & Management;  6: Asset-Backed Securities;  7: Disclosures;  8: Events;  9: Financials }.
  10-K    Annual Report — Form 10-K.
 ²  Insider:  The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer.

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