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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>UNITED STATES</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>Washington, D.C. 20549</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>FORM 8-K</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>CURRENT REPORT</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><b>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;">Date of Report (Date of earliest event reported): <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">November 10, 2016</font></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;"><b>&nbsp;</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><u><b>FLUX POWER HOLDINGS, INC.</b></u></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;">(Exact name of registrant as specified in its charter)</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;</font></p>
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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>Nevada</b></u></p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;text-indent:36pt;">&nbsp;</p>

  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;text-indent:36pt;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>000-25909</b></u></p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>86-0931332</b></u></p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(State or Other Jurisdiction of</p>

  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Incorporation)</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Commission File Number)</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(IRS Employer</p>

  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Identification No.)</p>


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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>985 Poinsettia Avenue, Suite A, Vista, California</b></u></p>


  </td><td style="vertical-align:bottom;width:2%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>


  </td><td style="vertical-align:bottom;width:49%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>92081</b></u></p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Address of Principal Executive Offices)</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Zip Code)</p>


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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;"><u><b>877-505-3589</b></u></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;">(Registrant's telephone number, including area code)</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:center;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:36pt;">&nbsp;</p>
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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>


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  <td style="vertical-align:top;width:3.8%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>


  </td><td style="vertical-align:top;width:96.2%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>


  </td>

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  <td style="vertical-align:top;width:3.8%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>


  </td><td style="vertical-align:top;width:96.2%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>


  </td>

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  <td style="vertical-align:top;width:3.8%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>


  </td><td style="vertical-align:top;width:96.2%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>


  </td>

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</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:37.2pt;margin-right:7.5pt;margin-top:0pt;text-align:left;text-indent:-29.7pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;"><b>Item 2.02 Results of Operations and Financial Condition</b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">On <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">November 10, 2016, the Company issued a press release reporting its financial results for the quarter ended September 30, 2016, and provided certain forward-looking performance estimates. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference. The projections constituting the performance estimates included in the release involve risks and uncertainties, the outcome of which cannot be foreseen at this time and, therefore, actual results may vary materially from these forecasts. In this regard, see the information included in the release under the caption "Forward-Looking Statements."</font></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">The information contained in this Item 2.02 and Exhibit 99.1 attached hereto shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, is not subject to the liabilities of that section and is not deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;"><b>Item 9.01<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;Financial Statements and Exhibits.</font></b></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">(d) <font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><u>Exhibits</u>.</font></p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u>Exhibit No.<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;</font></u></p>


  </td><td style="vertical-align:top;width:84.6%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u>Exhibit Description</u></p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <td style="vertical-align:top;width:15.4%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">99.1</p>


  </td><td style="vertical-align:top;width:84.6%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Press Release dated <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">November 10, 2016</font></p>


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</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;text-indent:27.5pt;">&nbsp;</p>
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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Flux Power Holdings, Inc.,</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">A Nevada Corporation</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Dated: <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">November 10, 2016</font></p>


  </td><td style="vertical-align:top;border-bottom:solid 1px #000000;;width:35%;">
  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/ Ron Dutt</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Ron Dutt, Chief Executive Officer</p>

  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">and Interim Chief Financial Officer</p>


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  <p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>


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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:justify;text-indent:36pt;">&nbsp;</p>
<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt 7.5pt;text-align:left;">&nbsp;</p>
</body></html>
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flux20161110_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
November 10, 2016
FLUX POWER HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Nevada
000-25909
86-0931332
(State or Other Jurisdiction of
Incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
985 Poinsettia Avenue, Suite A, Vista, California
92081
(Address of Principal Executive Offices)
(Zip Code)
877-505-3589
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 2.02 Results of Operations and Financial Condition
On
November 10, 2016, the Company issued a press release reporting its financial results for the quarter ended September 30, 2016, and provided certain forward-looking performance estimates. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference. The projections constituting the performance estimates included in the release involve risks and uncertainties, the outcome of which cannot be foreseen at this time and, therefore, actual results may vary materially from these forecasts. In this regard, see the information included in the release under the caption "Forward-Looking Statements."
The information contained in this Item 2.02 and Exhibit 99.1 attached hereto shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, is not subject to the liabilities of that section and is not deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.
Item 9.01
Financial Statements and Exhibits.
(d)
Exhibits
.
Exhibit No.
Exhibit Description
99.1
Press Release dated
November 10, 2016
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Flux Power Holdings, Inc.,
A Nevada Corporation
Dated:
November 10, 2016
/s/ Ron Dutt
Ron Dutt, Chief Executive Officer
and Interim Chief Financial Officer