SCHEDULE: CVI Investments & Heights Capital Disclose Flux Power Stake
Beneficial Ownership Disclosure
CVI Investments, Inc. and Heights Capital Management, Inc. have jointly disclosed a 5.8% beneficial ownership stake in Flux Power Holdings, Inc. common stock.
Summary
- CVI Investments, Inc. and Heights Capital Management, Inc. (collectively "Reporting Persons") have filed a Schedule 13G with the SEC.
- The Reporting Persons beneficially own an aggregate of 1,200,000 shares of Flux Power Holdings, Inc. common stock, $0.001 par value per share.
- This ownership represents 5.8% of the total class of Flux Power Holdings, Inc. common stock outstanding.
- Heights Capital Management, Inc. serves as the investment manager to CVI Investments, Inc. and exercises shared voting and dispositive power over these shares.
- The filing explicitly states that the securities were not acquired or held for the purpose of changing or influencing the control of Flux Power Holdings, Inc.
Sentiment
Score: 5
Explanation: The filing is a neutral, factual disclosure of beneficial ownership and does not contain information that would inherently sway sentiment positively or negatively regarding the issuer's performance or prospects.
Future Outlook
The filing does not provide any forward-looking statements or guidance regarding Flux Power Holdings, Inc.'s operations or financial performance. It is solely a disclosure of beneficial ownership.
Management Comments
- Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over the shares reported as beneficially owned by CVI Investments, Inc. herein.
- Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein.
- The securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under Rule 240.14a-11.
Industry Context
This filing is a standard disclosure of institutional ownership and does not provide specific insights into broader industry trends or the competitive landscape for Flux Power Holdings, Inc. It indicates an investment by two entities in the company's common stock.
Stakeholder Impact
- Increased transparency regarding a significant institutional shareholder in Flux Power Holdings, Inc.
Key Dates
| Date | Description |
|---|---|
| 2015-07-16 | CVI Investments, Inc. granted a Limited Power of Attorney to Heights Capital Management, Inc. for entering into investment transactions. |
| 2025-10-30 | Date of the event which required the filing of this Schedule 13G statement (beneficial ownership crossing 5%). |
| 2025-11-03 | Date of Flux Power Holdings' Prospectus (Registration No. 333-290680) indicating 20,675,698 shares outstanding as of the completion of the offering. |
| 2025-11-05 | Date the Schedule 13G and Joint Filing Agreement were signed by Sarah Travis on behalf of both reporting persons. |
Keywords
Flux Power Holdings, CVI Investments, Heights Capital Management, Schedule 13G, Beneficial Ownership, Common Stock, Institutional Investor, Investment Management
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