美國
證券交易委員會

華盛頓特區，20549

表格8-K

當前報告

依據第13或15(D)條
[br}1934年《證券交易法》

報告日期(最早報告事件日期)： 2024年3月18日

MOBIX Labs，Inc.

(註冊人的確切姓名載於其章程)

註冊人的電話號碼，包括 區號：（949） 808-8888

不適用

(前姓名或前地址，如果自 上次報告以來更改)

如果表格8-K 的提交意在同時滿足註冊人根據下列任何一項規定的提交義務，請選中下面相應的框：

根據該法第12(B)條登記的證券：

用複選標記表示註冊人 是否為1933年《證券法》第405條(本章230.405節)或1934年《證券交易法》第12b-2條(本章第240.12b-2節)所界定的新興成長型公司。

新興成長型公司☒

如果是新興增長型公司，請用複選標記 表示註冊人是否選擇不使用延長的過渡期來遵守根據《交易法》第13（a）條規定的任何新的或修訂的財務會計準則 。

項目1.01。簽訂材料最終協議 。

2024年3月18日，Mobix Labs， Inc. (the“公司”）於2024年3月18日與B簽訂了普通股購買協議（“購買協議”）和 相關的註冊權協議（“註冊權協議”）。Riley Principal Capital II，LLC（"B. Riley Principal Capital II”）。根據購買協議中規定的條款，並在滿足 條件的前提下，公司將有權自行決定向B出售。Riley Principal 資本II，最高為100，000，000美元的公司A類普通股新發行股份，每股面值0.00001美元（“普通股 ”），但須遵守《購買協議》中包含的某些條件和限制，在《購買協議》的期限內 不時。公司向B出售普通股。根據購買協議，萊利主要資本II和 任何此類出售的時間，完全由公司選擇，公司沒有義務出售任何證券給 B。購買協議下的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.

本公司根據購買協議在日內購買中選擇出售給B.萊利信安資本II的普通股每股購買價 將按照與市場公開購買相同的方式計算(包括與用於計算市場公開購買每股股票購買價格的適用VWAP的相同固定百分比折扣，如上所述)，前提是 在購買日期生效的每次日內購買的VWAP將在該購買日期的常規交易時段內的不同購買估值期間計算。其中每一項的開始和結束時間將在該購買日期 (“日內購買評估期”)的不同時間。

B的每股價格沒有上限。Riley Principal Capital II可能有義務支付普通股的費用，公司可以選擇在任何市場公開購買或任何日內購買中出售給Riley Principal Capital II。對於公司根據購買協議進行的市場公開購買和日內 購買（如有），用於確定B將購買的普通股每股購買價格 的所有股份和美元金額。Riley Principal Capital II在市場公開購買或日內購買（ 適用時），或確定與任何此類市場公開購買或日內購買有關的適用最大購買份額金額或適用數量或價格閾值金額（如適用），在每種情況下，將按照 購買協議中的規定公平調整任何重組、資本重組、非現金股息，股票分割、反向股票分割或其他類似交易 在用於計算該等每股購買價或最大購買股份金額或適用數量的任何期間發生， 閾值價格除外。

本公司將控制向B.Riley信安資本II出售普通股的時間和金額，本公司可全權酌情選擇自生效日期起及之後及在購買協議期限內不時生效。根據購買協議向B.萊利信安資本二期實際出售普通股 將取決於本公司將不時確定的各種因素，其中包括(其中包括)市場狀況、普通股的交易價格以及本公司對本公司及其運營的適當資金來源的決定。

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.

本公司根據購買協議向B.Riley主要資本II出售普通股所得款項淨額(如有)，將視乎本公司根據購買協議向B.Riley主要資本II出售普通股股份的頻率及價格而定。若本公司選擇自生效日期起及之後根據購買協議將普通股股份出售予B.萊利信安資本二期，本公司目前計劃將所得款項淨額用作營運資金及一般公司用途。

在《採購協議》或《註冊權利協議》中， 對未來融資、優先購買權、參與權、罰款或違約金沒有任何限制， 權利協議，除了禁止（除某些有限的例外情況外）公司簽訂指定的"可變利率 交易"（如採購協議中的定義）在特定參考期（如 採購協議中的定義）。儘管如此，根據購買協議，我們不得分配、發行、出售或授予任何，或以其他方式處置 或發行（或訂立任何協議、計劃或安排，或尋求利用任何現有協議、計劃或安排以實現任何前述）任何"股權信貸額度"或"在市場發售"中的任何普通股股份或等同物，除購買協議中詳述的某些例外情況外。

B. Riley Principal Capital II已經同意，B。Riley Principal Capital II、其唯一成員、其各自的任何管理人員或B管理或 控制的任何實體。Riley Principal Capital II或其唯一成員將直接或間接地為自己的帳户 或為任何其他此類人士或實體的帳户，從事或實施任何普通股賣空交易或在購買協議期限內建立普通股淨短倉的對衝交易。

《購買協議》和《登記權協議》包含雙方的慣常陳述、保證、條件和賠償義務。 此類協議中包含的陳述、保證和契諾僅為此類協議的目的而作出，僅為此類協議的各方的利益而作出，並可能受到締約各方商定的限制。

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，我們已同意 償還B。Riley Principal Capital II就B的合理法律費用及支出支付。Riley Principal Capital II的法律 律師，金額不超過（i）我們簽署《購買協議》和《註冊權協議》時的75，000美元，以及（ii） 每個財政季度的5，000美元，在每種情況下都與《購買協議》和《註冊權協議》中預期的交易有關。

根據購買協議， 如果要求"合格獨立承銷商"（"QIU"）參與購買協議和註冊權協議中預期的交易 ，以使此類交易完全符合金融業監管局，Inc.的適用規則和法規，（“FINRA”），包括FINRA規則5121，B。 Riley Principal Capital II已同意在本次發行完成時向QIU支付50，000美元的現金費用，作為其 服務的對價，並向QIU償還最多5，000美元的費用 償還QIU在本次發行中擔任合格獨立承銷商所產生的費用。

採購協議和註冊權協議的上述描述 通過引用這些 協議的全文（其副本分別作為附件10.1和10.2附在本協議中）對其全部內容進行了限定，並且每一份協議均以引用的方式整體併入本協議 。

第3.02項。股權證券的未登記銷售。

本當前報告表格8—K第1.01項中所列信息通過引用整體併入本第3.02項中。根據《證券法》第4（a）（2）條和《條例D》第506（b）條，根據《證券法》， 已經或可能發行的證券由本公司在一項豁免登記的交易中發行和出售。B. Riley Principal Capital II在《購買協議》中向公司表示，其為《法規D》中所定義的“認可投資者”，且 正在為自己的賬户購買購買證券，用於投資目的，而不是為了或 轉售，違反《證券法》或任何適用的國家證券或 "藍天"法的公開發行。本公司已發行或可能發行予B之證券之要約及出售。Riley 購買協議項下的主要資本II未根據《證券法》或任何適用的州證券 或"藍天"法律進行註冊，因此，如果沒有根據《證券法》和任何適用的州證券或"藍天"法律進行註冊或 豁免註冊，則不得在美國發售或出售此類證券。

本表格 8—K的當前報告不應構成出售要約或購買要約公司任何證券的邀約，在根據任何州或其他司法管轄區的證券法進行註冊或獲得資格之前， 此類要約、邀約或出售均為非法的任何州或其他司法管轄區，也不應構成出售 公司任何證券。

第7.01條條例FD

於2024年3月19日，本公司 發佈新聞稿，宣佈簽署購買協議及註冊權協議。新聞稿副本 作為本表8—K的附件99.1提供，並通過引用併入本文。

表8—K第7.01項（包括附件99.1）中的信息是提供的，且不應被視為為 交易法第18條的目的而"歸檔"，或以其他方式承擔該條項下的責任，且不應被視為通過引用方式納入公司根據《證券法》或《交易法》提交的文件 中，除非在任何這樣的申請中通過具體引用另有明確説明。

項目9.01財務報表和物證。

簽名

根據1934年《證券交易法》的要求，註冊人已正式授權以下籤署人代表其簽署本報告。