Nevada
(State or Other Jurisdiction of
Incorporation)
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000-25909
(Commission File Number)
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86-0931332
(IRS Employer
Identification No.)
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2240 Auto Park Way, Escondido, California
(Address of Principal Executive Offices)
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92029
(Zip Code)
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¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Exhibit
No.
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Description
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2.1
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Securities Exchange Agreement dated May 18, 2012 (1)
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2.2
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Amendment No. 1 to the Securities Exchange Agreement dated June 13, 2012 (2)
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3.1
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Restated Articles of Incorporation (4)
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3.2
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Amended and Restated Bylaws of Flux Power Holdings, Inc. (3)
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10.1
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Esenjay Secondary Revolving Promissory Note for Operating Capital dated October 1, 2011 (2)
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10.2
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Esenjay Bridge Loan Promissory Note dated March 7, 2012 (2)
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10.3
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Amended and Restated Terms of Employment with Chris Anthony with an effective date of January 1, 2010 (2)
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10.4
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Terms of Employment with Steve Jackson dated January 12, 2012 (2)
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10.5
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Flux Power, Inc. 2010 Stock Plan (2)
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10.6
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Flux Power, Inc. 2010 Stock Plan: Form of Stock Option Agreement (2)
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10.7
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LHV Power Corporation Term Sheet dated June 19, 2009 (2)
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10.8
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LHV Manufacturing Implementation Agreement dated August 1, 2009 (2)
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10.9
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GreenTech Automotive, Inc. Purchase Order Terms and Conditions(6)
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10.10
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NACCO Materials Handling Group, Inc. Prototype Agreement dated February 6, 2012* (CT)
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10.11
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Baytree Capital Advisory Agreement dated June 14, 2012 (2)
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10.12
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Form of Indemnification Agreement (2)
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10.13
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Vendor Agreement dated January 15, 2010(5)
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16.1
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Letter from Friedman LLP re: change in certifying accountant dated June 18, 2012 (2)
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21.1
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Subsidiaries (2)
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99.1
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Audited financial statement of Flux Power, Inc. as of and for the fiscal years ended June 30, 2011 and 2010 (the 2010 fiscal year covered a period of eight months) (4)
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99.2
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Unaudited condensed financial statements of Flux Power, Inc. as of March 31, 2012 and for the nine months ended March 31, 2012 and 2011(4)
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99.3
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Unaudited Pro Forma Combined Financial Information of Flux Power Holdings, Inc. and its subsidiaries(4)
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Flux Power Holdings, Inc.,
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A Nevada Corporation
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Dated: October 24, 2012
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/s/ Craig Miller |
Craig Miller, Chief Intellectual Property Officer and
Corporate Secretary
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