美国
证券交易委员会

华盛顿特区，20549

表格8-K

当前报告

依据第13或15(D)条
[br}1934年《证券交易法》

报告日期(最早报告事件日期)： 2024年3月18日

MOBIX Labs，Inc.

(注册人的确切姓名载于其章程)

注册人的电话号码，包括 区号：（949） 808-8888

不适用

(前姓名或前地址，如果自 上次报告以来更改)

如果表格8-K 的提交意在同时满足注册人根据下列任何一项规定的提交义务，请选中下面相应的框：

根据该法第12(B)条登记的证券：

用复选标记表示注册人 是否为1933年《证券法》第405条(本章230.405节)或1934年《证券交易法》第12b-2条(本章第240.12b-2节)所界定的新兴成长型公司。

新兴成长型公司☒

如果是新兴增长型公司，请用复选标记 表示注册人是否选择不使用延长的过渡期来遵守根据《交易法》第13（a）条规定的任何新的或修订的财务会计准则 。

项目1.01。签订材料最终协议 。

2024年3月18日，Mobix Labs， Inc. (the“公司”）于2024年3月18日与B签订了普通股购买协议（“购买协议”）和 相关的注册权协议（“注册权协议”）。Riley Principal Capital II，LLC（"B. Riley Principal Capital II”）。根据购买协议中规定的条款，并在满足 条件的前提下，公司将有权自行决定向B出售。Riley Principal 资本II，最高为100，000，000美元的公司A类普通股新发行股份，每股面值0.00001美元（“普通股 ”），但须遵守《购买协议》中包含的某些条件和限制，在《购买协议》的期限内 不时。公司向B出售普通股。根据购买协议，莱利主要资本II和 任何此类出售的时间，完全由公司选择，公司没有义务出售任何证券给 B。购买协议下的Riley Principal Capital II。

Upon the initial satisfaction of each of the conditions to B. Riley Principal Capital II’s purchase obligation set forth in the Purchase Agreement (the initial satisfaction of such conditions, the “Commencement”, and the date on which the Commencement occurs, the “Commencement Date”) including that a registration statement registering under the Securities Act of 1933, as amended (the “Securities Act”), the resale by B. Riley Principal Capital II of shares of Common Stock issued to it by the Company under the Purchase Agreement, which the Company agreed to file with the Securities and Exchange Commission (the “SEC”) pursuant to the Registration Rights Agreement, is declared effective by the SEC and a final prospectus relating thereto is filed with the SEC, the Company will have the right, but not the obligation, from time to time at its sole discretion a period of up to 36 months beginning on the Commencement Date, to direct B. Riley Principal Capital II to purchase a specified number of shares of Common Stock, not to exceed certain limitations as set forth in the Purchase Agreement (each, a “Purchase”), by timely delivering an irrevocable written notice of such Purchase (each, a “Purchase Notice”) to B. Riley Principal Capital II prior to the commencement of trading of the Common Stock on The Nasdaq Global Market (“Nasdaq”) on any trading day (each, a “Purchase Date”), so long as (i) the closing sale price of the Common Stock on the trading day immediately prior to such Purchase Date is not less than a specified threshold price of $0.50 as set forth in the Purchase Agreement (the “Threshold Price”) and (ii) all shares of Common Stock subject to all prior Market Open Purchases and all prior Intraday Purchases (each term as defined below) effected by the Company under the Purchase Agreement (as applicable) have been received by B. Riley Principal Capital II in the manner set forth in the Purchase Agreement prior to the Company’s delivery of the applicable Purchase Notice to B. Riley Principal Capital II.

The per share purchase price that B. Riley Principal Capital II is required to pay for shares of Common Stock in a Purchase effected by the Company pursuant to the Purchase Agreement, if any, will be determined by reference to the volume weighted average price of the Common Stock (“VWAP”), calculated in accordance with the Purchase Agreement, for the period (the “Purchase Valuation Period”) beginning at the official open (or “commencement”) of the regular trading session on Nasdaq on the applicable Purchase Date for such Purchase, and ending at the earliest to occur of (i) such time of official close of the regular trading session, (ii) such time during such regular trading hour period, the trading volume threshold calculated in accordance with the Purchase Agreement is reached, and (iii) if the Company further specifies in the applicable purchase notice for such Purchase that a “limit order discontinue election” shall apply to such purchase, such time the trading price of the Common Stock on Nasdaq during such Purchase Valuation Period falls below the applicable minimum price threshold determined in accordance with the Purchase Agreement, less a fixed 3.0% discount to the VWAP for such Purchase Valuation Period. The calculations of the VWAP and the volume of shares traded for purposes of determining whether such volume threshold is reached will exclude the opening and closing trades in the Common Stock during regular trading hours on the applicable Purchase Date, to the extent they occur during the applicable Purchase Valuation Period and if the Company specifies a limit order discontinue election, any trades in the Common Stock during the applicable Purchase Valuation Period at a price below the applicable minimum price threshold determined in accordance with the Purchase Agreement.

From and after the Commencement Date, in addition to Purchases described above for which the applicable Purchase Valuation Periods begin at the official open of Nasdaq regular trading session on the applicable Purchase Dates therefor (each hereinafter referred to as a “Market Open Purchase”), the Company will also have the right, but not the obligation (subject to the continued satisfaction of the purchase conditions contained in the Purchase Agreement), to direct B. Riley Principal Capital II to purchase, on any trading day that would qualify as a Purchase Date on which the Company may elect to effect a Market Open Purchase, whether or not a Market Open Purchase is effected on such trading day, a specified number of shares of Common Stock, not to exceed certain limitations set forth in the Purchase Agreement similar to those applicable to a Market Open Purchase (each, an “Intraday Purchase”), by timely delivering an irrevocable written notice of such Intraday Purchase to B. Riley Principal Capital II after 10:00 a.m., New York City time (and after the Purchase Valuation Period for any earlier Market Open Purchase and the Intraday Purchase Valuation Period for the most recent prior Intraday Purchase effected on the same Purchase Date, if applicable, have ended), and prior to 3:30 p.m., New York City time, on such Purchase Date (each, an “Intraday Purchase Notice”), so long as (i) the closing sale price of the Common Stock on Nasdaq on the trading day immediately prior to such Purchase Date is not less than the Threshold Price and (ii) all shares of Common Stock subject to all prior Market Open Purchases and all prior Intraday Purchases effected by the Company under the Purchase Agreement (as applicable) have been received by B. Riley Principal Capital II in the manner set forth in the Purchase Agreement prior to the Company’s delivery of the applicable Intraday Purchase Notice to B. Riley Principal Capital II.

本公司根据购买协议在日内购买中选择出售给B.莱利信安资本II的普通股每股购买价 将按照与市场公开购买相同的方式计算(包括与用于计算市场公开购买每股股票购买价格的适用VWAP的相同固定百分比折扣，如上所述)，前提是 在购买日期生效的每次日内购买的VWAP将在该购买日期的常规交易时段内的不同购买估值期间计算。其中每一项的开始和结束时间将在该购买日期 (“日内购买评估期”)的不同时间。

B的每股价格没有上限。Riley Principal Capital II可能有义务支付普通股的费用，公司可以选择在任何市场公开购买或任何日内购买中出售给Riley Principal Capital II。对于公司根据购买协议进行的市场公开购买和日内 购买（如有），用于确定B将购买的普通股每股购买价格 的所有股份和美元金额。Riley Principal Capital II在市场公开购买或日内购买（ 适用时），或确定与任何此类市场公开购买或日内购买有关的适用最大购买份额金额或适用数量或价格阈值金额（如适用），在每种情况下，将按照 购买协议中的规定公平调整任何重组、资本重组、非现金股息，股票分割、反向股票分割或其他类似交易 在用于计算该等每股购买价或最大购买股份金额或适用数量的任何期间发生， 阈值价格除外。

本公司将控制向B.Riley信安资本II出售普通股的时间和金额，本公司可全权酌情选择自生效日期起及之后及在购买协议期限内不时生效。根据购买协议向B.莱利信安资本二期实际出售普通股 将取决于本公司将不时确定的各种因素，其中包括(其中包括)市场状况、普通股的交易价格以及本公司对本公司及其运营的适当资金来源的决定。

Under the applicable Nasdaq rules, in no event may the Company issue to B. Riley Principal Capital II under the Purchase Agreement more than 5,166,761 shares of Common Stock, which number of shares is equal to 19.99% of the sum of shares of Common Stock and shares of the Company’s Class B common stock, par value $0.00001 per share (“Class B Common Stock”), in each case, issued and outstanding immediately prior to the execution of the Purchase Agreement (the “Exchange Cap”), unless (i) the Company obtains stockholder approval to issue shares of Common Stock in excess of the Exchange Cap in accordance with applicable Nasdaq rules, or (ii) the average price per share paid by B. Riley Principal Capital II for all of the shares of Common Stock that the Company directs B. Riley Principal Capital II to purchase from the Company pursuant to the Purchase Agreement, if any, equals or exceeds $2.10 per share (representing the lower of (a) the official closing price of the Common Stock on Nasdaq immediately preceding the execution of the Purchase Agreement and (b) the average official closing price of the Common Stock on Nasdaq for the five consecutive trading days immediately preceding the execution of the Purchase Agreement, adjusted as required by Nasdaq to take into account payment of the Cash Commitment Fee (defined below) to B. Riley Principal Capital II, so that the Exchange Cap limitation will not apply to issuances and sales of Common Stock pursuant to the Purchase Agreement). Moreover, the Company may not issue or sell any shares of Common Stock to B. Riley Principal Capital II under the Purchase Agreement which, when aggregated with all other shares of Common Stock then beneficially owned by B. Riley Principal Capital II and its affiliates (as calculated pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Rule 13d-3 thereunder), would result in B. Riley Principal Capital II beneficially owning more than 4.99% of the outstanding shares of Common Stock.

本公司根据购买协议向B.Riley主要资本II出售普通股所得款项净额(如有)，将视乎本公司根据购买协议向B.Riley主要资本II出售普通股股份的频率及价格而定。若本公司选择自生效日期起及之后根据购买协议将普通股股份出售予B.莱利信安资本二期，本公司目前计划将所得款项净额用作营运资金及一般公司用途。

在《采购协议》或《注册权利协议》中， 对未来融资、优先购买权、参与权、罚款或违约金没有任何限制， 权利协议，除了禁止（除某些有限的例外情况外）公司签订指定的"可变利率 交易"（如采购协议中的定义）在特定参考期（如 采购协议中的定义）。尽管如此，根据购买协议，我们不得分配、发行、出售或授予任何，或以其他方式处置 或发行（或订立任何协议、计划或安排，或寻求利用任何现有协议、计划或安排以实现任何前述）任何"股权信贷额度"或"在市场发售"中的任何普通股股份或等同物，除购买协议中详述的某些例外情况外。

B. Riley Principal Capital II已经同意，B。Riley Principal Capital II、其唯一成员、其各自的任何管理人员或B管理或 控制的任何实体。Riley Principal Capital II或其唯一成员将直接或间接地为自己的帐户 或为任何其他此类人士或实体的帐户，从事或实施任何普通股卖空交易或在购买协议期限内建立普通股净短仓的对冲交易。

《购买协议》和《登记权协议》包含双方的惯常陈述、保证、条件和赔偿义务。 此类协议中包含的陈述、保证和契诺仅为此类协议的目的而作出，仅为此类协议的各方的利益而作出，并可能受到缔约各方商定的限制。

The Purchase Agreement will automatically terminate on the earliest to occur of (i) the first day of the month next following the 36-month anniversary of the Commencement Date, (ii) the date on which B. Riley Principal Capital II shall have purchased from the Company under the Purchase Agreement shares of Common Stock for an aggregate gross purchase price of $100,000,000, (iii) the date on which the Common Stock shall have failed to be listed or quoted on Nasdaq or another U.S. national securities exchange identified as an “eligible market” in the Purchase Agreement, (iv) the 30th trading day after the date on which a voluntary or involuntary bankruptcy proceeding involving the Company has been commenced that is not discharged or dismissed prior to such trading day, and (v) the date on which a bankruptcy custodian is appointed for all or substantially all of the Company’s property or the Company makes a general assignment for the benefit of its creditors. The Company has the right to terminate the Purchase Agreement at any time after Commencement, at no cost or penalty to the Company, upon ten (10) trading days’ prior written notice to B. Riley Principal Capital II, provided, however, that certain conditions under the Purchase Agreement are met. The Company and B. Riley Principal Capital II may also agree to terminate the Purchase Agreement by mutual written consent, provided that no termination of the Purchase Agreement will be effective during the pendency of any Market Open Purchase or any Intraday Purchase that has not then fully settled in accordance with the Purchase Agreement. Neither the Company nor B. Riley Principal Capital II may assign or transfer their respective rights and obligations under the Purchase Agreement or the Registration Rights Agreement, and no provision of the Purchase Agreement or the Registration Rights Agreement may be modified or waived by the Company or B. Riley Principal Capital II.

As consideration for B. Riley Principal Capital II’s commitment to purchase shares of Common Stock at the Company’s direction upon the terms and subject to the conditions set forth in the Purchase Agreement, the Company agreed to pay B. Riley Principal Capital II a cash commitment fee in the amount of $1,500,000 (the “Cash Commitment Fee”), which represents 1.5% of B. Riley Principal Capital II’s $100,000,000 total aggregate purchase commitment under the Purchase Agreement. B. Riley Principal Capital II will withhold thirty percent (30%) in cash from the total aggregate purchase price payable to the Company by B. Riley Principal Capital II in connection with the Market Open Purchase and Intraday Purchase under the Purchase Agreement, if any, until B. Riley Principal Capital II shall have received from such cash withholding(s) a total aggregate amount in cash equal to $1,500,000, representing the entire Cash Commitment Fee payable to B. Riley Principal Capital II pursuant to the Purchase Agreement. If, on the earlier of (i) the date, on or after the Commencement Date, on which notice of termination of the Purchase Agreement is given by any party pursuant to Section 8.2 the Purchase Agreement and (ii) December 15, 2024, the aggregate amount of such cash withholding(s), if any, withheld by B. Riley Principal Capital II, together with cash payment(s) made by the Company to B. Riley Principal Capital II to be applied to the Commitment Fee that do not arise from any cash withholding(s) by B. Riley Principal Capital II as set forth in the immediately preceding clause or from any agreements entered into between the Company and B. Riley Principal Capital II prior to the date of the Purchase Agreement, is less than the total amount of the Cash Commitment Fee, then, the Company shall pay B. Riley Principal Capital II, in cash, the difference between (A) the Cash Commitment Fee and (B) the aggregate amount of such cash withholding(s), if any, withheld by B. Riley Principal Capital II and such cash payment(s) made by the Company to B. Riley Principal Capital II to be applied to the Commitment Fee.

此外，我们已同意 偿还B。Riley Principal Capital II就B的合理法律费用及支出支付。Riley Principal Capital II的法律 律师，金额不超过（i）我们签署《购买协议》和《注册权协议》时的75，000美元，以及（ii） 每个财政季度的5，000美元，在每种情况下都与《购买协议》和《注册权协议》中预期的交易有关。

根据购买协议， 如果要求"合格独立承销商"（"QIU"）参与购买协议和注册权协议中预期的交易 ，以使此类交易完全符合金融业监管局，Inc.的适用规则和法规，（“FINRA”），包括FINRA规则5121，B。 Riley Principal Capital II已同意在本次发行完成时向QIU支付50，000美元的现金费用，作为其 服务的对价，并向QIU偿还最多5，000美元的费用 偿还QIU在本次发行中担任合格独立承销商所产生的费用。

采购协议和注册权协议的上述描述 通过引用这些 协议的全文（其副本分别作为附件10.1和10.2附在本协议中）对其全部内容进行了限定，并且每一份协议均以引用的方式整体并入本协议 。

第3.02项。股权证券的未登记销售。

本当前报告表格8—K第1.01项中所列信息通过引用整体并入本第3.02项中。根据《证券法》第4（a）（2）条和《条例D》第506（b）条，根据《证券法》， 已经或可能发行的证券由本公司在一项豁免登记的交易中发行和出售。B. Riley Principal Capital II在《购买协议》中向公司表示，其为《法规D》中所定义的“认可投资者”，且 正在为自己的账户购买购买证券，用于投资目的，而不是为了或 转售，违反《证券法》或任何适用的国家证券或 "蓝天"法的公开发行。本公司已发行或可能发行予B之证券之要约及出售。Riley 购买协议项下的主要资本II未根据《证券法》或任何适用的州证券 或"蓝天"法律进行注册，因此，如果没有根据《证券法》和任何适用的州证券或"蓝天"法律进行注册或 豁免注册，则不得在美国发售或出售此类证券。

本表格 8—K的当前报告不应构成出售要约或购买要约公司任何证券的邀约，在根据任何州或其他司法管辖区的证券法进行注册或获得资格之前， 此类要约、邀约或出售均为非法的任何州或其他司法管辖区，也不应构成出售 公司任何证券。

第7.01条条例FD

于2024年3月19日，本公司 发布新闻稿，宣布签署购买协议及注册权协议。新闻稿副本 作为本表8—K的附件99.1提供，并通过引用并入本文。

表8—K第7.01项（包括附件99.1）中的信息是提供的，且不应被视为为 交易法第18条的目的而"归档"，或以其他方式承担该条项下的责任，且不应被视为通过引用方式纳入公司根据《证券法》或《交易法》提交的文件 中，除非在任何这样的申请中通过具体引用另有明确说明。

项目9.01财务报表和物证。

签名

根据1934年《证券交易法》的要求，注册人已正式授权以下签署人代表其签署本报告。