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EOSE

Eos Energy Enterprises, Inc.

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Tapewire entity
4901
SEC CIK
0001805077
Parsed reports
318

Last 12 months

Inside the activity.

6 purchase rows · 23 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202507
Jan 202602
Feb 202600
Mar 202640
Apr 202600
May 202603
Jun 202604
Jul 202604
Aug 202600
Sep 202623
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 22, 2025 Filed Jan 24, 2025 01:19 UTC
Silberman Michael WGeneral Counsel
Exercise / conversionCommon Stock 83,333 $0.00 $0.00
Disclosure

SEC source: 0001805077-25-000007 · wk-form4_1737681583.xml · nonDerivative · entry 1

Silberman Michael W · CIK 0001813990 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 21:41 UTC
Urban DavidDirector
GrantRestricted Stock Units · Derivative 46,221 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000114 · wk-form4_1734558095.xml · derivative · entry 1

Urban David · CIK 0001762220 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,221

Underlying: Common Stock · 46,221 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
October 31, 2024 Filed Nov 4, 2024 17:10 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
GrantSeries B-3 Non-Voting Convertible Preferred Stock · Derivative 38.2599 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-120903 · ownership.xml · derivative · entry 1

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 38.2599

Underlying: Common Stock · 38,259,864 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto (the "Lenders"), and CCM Denali Debt Holdings, LP, as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), on October 31, 2024, the Issuer submitted a borrowing request under the Credit Agreement, and on November 1, 2024, the Lenders funded the full amount of the scheduled $65 million delayed draw term loan under the Credit Agreement, and in connection with such draw and pursuant to the terms and conditions of the Credit Agreement and Securities Purchase Agreement,

F2 · derivative.exercise_price: (Continued from footnote 1) the Issuer issued 38.259864 shares of a newly designated Series B-3 Non-Voting Convertible Preferred Stock (the "Series B-3 Preferred Stock") to Cerberus Denali Equity. Each full share of Series B-3 Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement). Convertibility of the shares of Series B-3 Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B-3 Preferred Stock as further described in the Certificate of Designation for the Series B-3 Non-Voting Convertible Preferred Stock.

F1 · price: Pursuant to the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto (the "Lenders"), and CCM Denali Debt Holdings, LP, as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), on October 31, 2024, the Issuer submitted a borrowing request under the Credit Agreement, and on November 1, 2024, the Lenders funded the full amount of the scheduled $65 million delayed draw term loan under the Credit Agreement, and in connection with such draw and pursuant to the terms and conditions of the Credit Agreement and Securities Purchase Agreement,

F2 · price: (Continued from footnote 1) the Issuer issued 38.259864 shares of a newly designated Series B-3 Non-Voting Convertible Preferred Stock (the "Series B-3 Preferred Stock") to Cerberus Denali Equity. Each full share of Series B-3 Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement). Convertibility of the shares of Series B-3 Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B-3 Preferred Stock as further described in the Certificate of Designation for the Series B-3 Non-Voting Convertible Preferred Stock.

F2 · derivative.exercise_date: (Continued from footnote 1) the Issuer issued 38.259864 shares of a newly designated Series B-3 Non-Voting Convertible Preferred Stock (the "Series B-3 Preferred Stock") to Cerberus Denali Equity. Each full share of Series B-3 Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement). Convertibility of the shares of Series B-3 Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B-3 Preferred Stock as further described in the Certificate of Designation for the Series B-3 Non-Voting Convertible Preferred Stock.

F2 · derivative.expiration_date: (Continued from footnote 1) the Issuer issued 38.259864 shares of a newly designated Series B-3 Non-Voting Convertible Preferred Stock (the "Series B-3 Preferred Stock") to Cerberus Denali Equity. Each full share of Series B-3 Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement). Convertibility of the shares of Series B-3 Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B-3 Preferred Stock as further described in the Certificate of Designation for the Series B-3 Non-Voting Convertible Preferred Stock.

F3 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F4 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 12, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Exercise / conversionSeries B-2 Non-Voting Convertible Preferred Stock · Derivative 28.8065 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 8

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 28.8065

Underlying: Common Stock · 28,806,463 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 12, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Exercise / conversionSeries B-1 Non-Voting Convertible Preferred Stock · Derivative 31.9401 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 7

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 31.9401

Underlying: Common Stock · 31,940,063 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 12, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Exercise / conversionSeries A-2 Non-Voting Non-Convertible Preferred Stock · Derivative 7 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 6

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Series B-2 Non-Voting Convertible Preferred Stock · 28.8065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.expiration_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 12, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Exercise / conversionSeries A-1 Non-Voting Non-Convertible Preferred Stock · Derivative 59 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 5

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Series B-1 Non-Voting Convertible Preferred Stock · 31.9401 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · price: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · price: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · price: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.expiration_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 12, 2024 Filed Sep 16, 2024 23:09 UTC SaleCommon Stock 30,000 $2.62 $78,600.00
Disclosure

SEC source: 0001805077-24-000104 · wk-form4_1726528156.xml · nonDerivative · entry 2

Bornstein Jeffrey S · CIK 0001579989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,929

Read SEC document
September 12, 2024 Filed Sep 16, 2024 23:09 UTC SaleCommon Stock 132,720 $2.63 $349,053.60
Disclosure

SEC source: 0001805077-24-000104 · wk-form4_1726528156.xml · nonDerivative · entry 1

Bornstein Jeffrey S · CIK 0001579989 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Whipstick Ventures LLC

Disclosed balance after: 7,999

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
GrantSeries A-2 Non-Voting Non-Convertible Preferred Stock · Derivative 7 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 4

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 7

Underlying: Series B-2 Non-Voting Convertible Preferred Stock · 28.8065 shares

Expires not disclosed

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F1 · derivative.exercise_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.expiration_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
GrantSeries A-1 Non-Voting Non-Convertible Preferred Stock · Derivative 59 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · derivative · entry 3

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 59

Underlying: Series B-1 Non-Voting Convertible Preferred Stock · 31.9401 shares

Expires not disclosed

F1 · derivative.exercise_price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F1 · derivative.exercise_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.exercise_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.exercise_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.exercise_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.exercise_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · derivative.expiration_date: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F3 · derivative.expiration_date: On September 12, 2024, (i) the 59 shares of Series A-1 Preferred Stock held by CCM Denali Equity converted into 31.940063 shares of Series B-1 Preferred Stock, which shares of Series B-1 Preferred Stock were convertible into an aggregate of 31,940,063 shares of Common Stock, and (ii) the 7 shares of Series A-2 Preferred Stock held by CCM Denali Equity converted into 28.806463 shares of Series B-2 Preferred Stock, which shares of Series B-2 Preferred Stock were convertible into an aggregate of 28,806,463 shares of Common Stock. The Series B-1 Preferred Stock has an original issue price of $841,999.99 (the "B-1 Original Issue Price") and the Series B-2 Preferred Stock has an original issue price of $2,322,000 (the "B-2 Original Issue Price"). Each full share of Series B Preferred Stock is initially convertible into 1.0 million shares of Common Stock and will be convertible at the option of the holder at any time through the Maturity Date (as defined in the Credit Agreement).

F4 · derivative.expiration_date: (Continued from footnote 3) Convertibility of the shares of Series B Preferred Stock is subject to a beneficial ownership limitation of 49.9% of the number of shares of Common Stock that would be outstanding immediately after giving effect to any conversion of the shares of Series B Preferred Stock as further described in the Certificates of Designation for the Series B-1 Preferred Stock and Series B-2 Preferred Stock. At any time after June 21, 2029, in the case of the Series B-1 Preferred Stock, or August 29, 2029, in the case of the Series B-2 Preferred Stock, the outstanding shares of Series B Preferred Stock held by any holder become redeemable for cash at the redemption price. The redemption price will be an amount per share equal to the greater of (i) the B-1 Original Issue Price or B-2 Original Issue Price, as applicable, plus all accrued and unpaid dividends thereon,

F5 · derivative.expiration_date: (Continued from footnote 4) up to and including the date of redemption and (ii) the number of shares of Common Stock issuable upon conversion of the applicable Series B Preferred Stock multiplied by the average of the closing sale price of the Common Stock for the five business days immediately prior to the date of redemption plus all accrued and unpaid dividends thereon, up to and including the date of redemption. Subject to certain excluded issuances, the Series B Preferred Stock is subject to anti-dilution protection in the number of shares of Common Stock issuable upon conversion.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Disposition to issuerSeries A-2 Non-Voting Non-Convertible Preferred Stock 7 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · nonDerivative · entry 2

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:38 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
Disposition to issuerSeries A-1 Non-Voting Non-Convertible Preferred Stock 59 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-106014 · ownership.xml · nonDerivative · entry 1

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · price: As previously disclosed, pursuant to the terms of the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto, and CCM Denali Debt Holdings, LP., as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), the Issuer issued (i) 59 shares of Series A-1 Non-Voting Non-Convertible Preferred Stock (the "Series A-1 Preferred Stock") and (ii) 7 shares of Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024 ("Stockholder Approval") were obtained,

F2 · price: (Continued from footnote 1) the shares of Series A-1 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-1 Non-Voting Convertible Preferred Stock ("Series B-1 Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-1 Preferred Stock and the shares of Series A-2 Preferred Stock issued prior to Stockholder Approval would become convertible into a number of shares of Series B-2 Non-Voting Convertible Preferred Stock ("Series B-2 Preferred Stock", and together with the Series B-1 Preferred Stock, the "Series B Preferred Stock") that would be convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock. On September 10, 2024, the Issuer held a Special Meeting of Stockholders and obtained the Stockholder Approval.

F6 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F7 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
September 05, 2024 Filed Sep 9, 2024 20:07 UTC
Puri SumeetChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 68,333 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000102 · wk-form4_1725912436.xml · derivative · entry 3

Puri Sumeet · CIK 0001991521 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,667

Underlying: Common Stock · 68,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, as amended from time to time, which will vest in three equal installments on each of the first three anniversaries of the grant date, or if earlier, upon a Change in Control (as defined in the 2020 Incentive Plan), subject to continued service through each vesting date.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Not applicable.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
September 05, 2024 Filed Sep 9, 2024 20:07 UTC
Puri SumeetChief Accounting Officer
Tax withholdingCommon Stock 18,786 $2.33 $43,771.38
Disclosure

SEC source: 0001805077-24-000102 · wk-form4_1725912436.xml · nonDerivative · entry 2

Puri Sumeet · CIK 0001991521 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,547

F1 · shares: Represents shares withheld from vested restricted stock unit ("RSU") award to satisfy tax obligations, as permitted by the Company's Amended and Restated 2020 Incentive Plan.

Read SEC document
September 05, 2024 Filed Sep 9, 2024 20:07 UTC
Puri SumeetChief Accounting Officer
Exercise / conversionCommon Stock 68,333 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000102 · wk-form4_1725912436.xml · nonDerivative · entry 1

Puri Sumeet · CIK 0001991521 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 29, 2024 Filed Sep 3, 2024 17:17 UTC
CCM Denali Equity Holdings, LPDirector · 10% owner
GrantSeries A-2 Non-Voting Non-Convertible Preferred Stock 7 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-102928 · ownership.xml · nonDerivative · entry 1

Cerberus Capital Management II, L.P. · CIK 0002027951 · Director · 10% owner

CCM Denali Equity Holdings, LP · CIK 0002027945 · Director · 10% owner

CCM Denali Equity Holdings GP, LLC · CIK 0002027946 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 7

F1 · price: Pursuant to the credit and guaranty agreement (the "Credit Agreement"), dated June 21, 2024, by and among Eos Energy Enterprises, Inc. (the "Issuer"), as borrower, the guarantors party thereto, the various lenders party thereto (the "Lenders"), and CCM Denali Debt Holdings, LP, as administrative agent and collateral agent, and the Securities Purchase Agreement (the "Securities Purchase Agreement"), dated June 21, 2024, by and between the Issuer and CCM Denali Equity Holdings, LP ("CCM Denali Equity"), on August 29, 2024, the Issuer submitted a borrowing request under the Credit Agreement, the Lenders funded the full amount of the scheduled $30 million delayed draw term loan under the Credit Agreement, and in connection with such draw and pursuant to the terms and conditions of the Credit Agreement and Securities Purchase Agreement,

F2 · price: (Continued from footnote 1) the Issuer issued 7 shares of a newly designated Series A-2 Non-Voting Non-Convertible Preferred Stock (the "Series A-2 Preferred Stock") to Cerberus Denali Equity, with the number of shares of such series having a liquidation value as if such shares were convertible into an aggregate of 28,806,463 shares of common stock, par value $0.0001 per share (the "Common Stock") of the Issuer. If stockholder approval of the issuance to Cerberus Denali Equity of more than 19.99% of the Issuer's outstanding Common Stock as of June 21, 2024, is obtained, the Series A-2 Preferred Stock will be convertible into a number of shares of Series B-2 Preferred Stock that are convertible into an equal number of shares of Common Stock as then represented by the liquidation value of the Series A-2 Preferred Stock.

F3 · ownership.nature: The securities of the Issuer reported herein are held directly by CCM Denali Equity. CCM Denali Equity Holdings GP, LLC ("CCM Denali Equity GP") is the general partner of CCM Denali Equity. Cerberus Capital Management II, L.P. ("Cerberus Capital Management II", and together with CCM Denali Equity and CCM Denali Equity GP, the "Reporting Persons") is the sole member of CCM Denali Equity GP. Due to their relationships with CCM Denali Equity, CCM Denali Equity GP and Cerberus Capital Management II may be deemed to indirectly beneficially own the securities of the Issuer held directly by CCM Denali Equity.

F4 · ownership.nature: Each of CCM Denali Equity GP and Cerberus Capital Management II disclaims beneficial ownership of the securities of the Issuer held directly by CCM Denali Equity except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of CCM Denali Equity GP or Cerberus Capital Management II is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
August 16, 2024 Filed Aug 19, 2024 20:04 UTC PurchaseCommon Stock 2,000 $1.91 $3,820.00
Disclosure

SEC source: 0001805077-24-000100 · wk-form4_1724097887.xml · nonDerivative · entry 2

DIMITRIEF ALEXANDER · CIK 0001614732 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,347

Read SEC document
August 15, 2024 Filed Aug 19, 2024 20:04 UTC PurchaseCommon Stock 1,000 $1.87 $1,865.00
Disclosure

SEC source: 0001805077-24-000100 · wk-form4_1724097887.xml · nonDerivative · entry 1

DIMITRIEF ALEXANDER · CIK 0001614732 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,347

Read SEC document
August 13, 2024 Filed Aug 15, 2024 20:08 UTC PurchaseCommon Stock 2,000 $1.68 $3,350.00
Disclosure

SEC source: 0001805077-24-000098 · wk-form4_1723752505.xml · nonDerivative · entry 1

DIMITRIEF ALEXANDER · CIK 0001614732 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,347

Read SEC document
August 09, 2024 Filed Aug 12, 2024 14:54 UTC
Mastrangelo JoeDirector · Chief Executive Officer
PurchaseCommon Stock 52,800 $1.43 $75,504.00
Disclosure

SEC source: 0001805077-24-000096 · wk-form4_1723474491.xml · nonDerivative · entry 1

Mastrangelo Joe · CIK 0001833309 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 909,793

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.42 to $1.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:23 UTC
Puri SumeetChief Accounting Officer
GrantRestricted Stock Units · Derivative 175,000 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000077 · wk-form4_1722299024.xml · derivative · entry 1

Puri Sumeet · CIK 0001991521 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, which will vest in three equal installments on each of the first three anniversaries of the grant date, subject to continued service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:36 UTC
Demby ClaudeDirector
GrantRestricted Stock Units · Derivative 78,947 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000085 · wk-form4_1722299762.xml · derivative · entry 1

Demby Claude · CIK 0001855640 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,947

Underlying: Common Stock · 78,947 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:18 UTC
Silberman Michael WGeneral Counsel
GrantRestricted Stock Units · Derivative 437,500 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000075 · wk-form4_1722298680.xml · derivative · entry 1

Silberman Michael W · CIK 0001813990 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437,500

Underlying: Common Stock · 437,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, which will vest in three equal installments on each of the first three anniversaries of the grant date, subject to continued service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:44 UTC GrantRestricted Stock Units · Derivative 78,947 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000089 · wk-form4_1722300241.xml · derivative · entry 1

Walters Marian · CIK 0001782905 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,947

Underlying: Common Stock · 78,947 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:40 UTC
McNeil JeffDirector
GrantRestricted Stock Units · Derivative 78,947 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000087 · wk-form4_1722300009.xml · derivative · entry 1

McNeil Jeff · CIK 0001776803 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,947

Underlying: Common Stock · 78,947 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:33 UTC GrantRestricted Stock Units · Derivative 92,105 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000083 · wk-form4_1722299577.xml · derivative · entry 1

DIMITRIEF ALEXANDER · CIK 0001614732 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,105

Underlying: Common Stock · 92,105 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:28 UTC GrantRestricted Stock Units · Derivative 105,263 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000079 · wk-form4_1722299273.xml · derivative · entry 1

Stidolph Russell Monoki · CIK 0001833275 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,263

Underlying: Common Stock · 105,263 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:30 UTC GrantRestricted Stock Units · Derivative 105,263 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000081 · wk-form4_1722299440.xml · derivative · entry 1

Bornstein Jeffrey S · CIK 0001579989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,263

Underlying: Common Stock · 105,263 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs that settle in common stock, which will vest on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the date of the next annual shareholders meeting of the Company following the grant date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:15 UTC
Kroeker NathanChief Financial Officer
GrantRestricted Stock Units · Derivative 662,500 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000073 · wk-form4_1722298513.xml · derivative · entry 1

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 662,500

Underlying: Common Stock · 662,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, which will vest in three equal installments on each of the first three anniversaries of the grant date, subject to continued service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 25, 2024 Filed Jul 30, 2024 00:13 UTC
Mastrangelo JoeDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000072 · wk-form4_1722298397.xml · derivative · entry 1

Mastrangelo Joe · CIK 0001833309 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, which will vest in three equal installments on each of the first three anniversaries of the grant date, subject to continued service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:33 UTC
Mastrangelo JoeDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 254,304 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000067 · wk-form4_1720560810.xml · derivative · entry 3

Mastrangelo Joe · CIK 0001833309 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 508,607

Underlying: Common Stock · 254,304 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, as amended from time to time, which will vest in three equal installments on each of the first three anniversaries of the grant date, or if earlier, upon a Change in Control (as defined in the 2020 Incentive Plan), subject to continued service through each vesting date.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Not applicable.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:33 UTC
Mastrangelo JoeDirector · Chief Executive Officer
Tax withholdingCommon Stock 115,683 $1.92 $222,111.36
Disclosure

SEC source: 0001805077-24-000067 · wk-form4_1720560810.xml · nonDerivative · entry 2

Mastrangelo Joe · CIK 0001833309 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 856,993

F1 · shares: Represents shares withheld from vested restricted stock unit ("RSU") award to satisfy tax obligations, as permitted by the Company's Amended and Restated 2020 Incentive Plan.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:33 UTC
Mastrangelo JoeDirector · Chief Executive Officer
Exercise / conversionCommon Stock 254,304 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000067 · wk-form4_1720560810.xml · nonDerivative · entry 1

Mastrangelo Joe · CIK 0001833309 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 972,676

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:29 UTC
Kroeker NathanChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 105,008 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000065 · wk-form4_1720560570.xml · derivative · entry 3

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,016

Underlying: Common Stock · 105,008 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, as amended from time to time, which will vest in three equal installments on each of the first three anniversaries of the grant date, or if earlier, upon a Change in Control (as defined in the 2020 Incentive Plan), subject to continued service through each vesting date.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Not applicable.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:29 UTC
Kroeker NathanChief Financial Officer
Tax withholdingCommon Stock 41,321 $1.92 $79,336.32
Disclosure

SEC source: 0001805077-24-000065 · wk-form4_1720560570.xml · nonDerivative · entry 2

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,811

F1 · shares: Represents shares withheld from vested restricted stock unit ("RSU") award to satisfy tax obligations, as permitted by the Company's Amended and Restated 2020 Incentive Plan.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 21:29 UTC
Kroeker NathanChief Financial Officer
Exercise / conversionCommon Stock 105,008 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000065 · wk-form4_1720560570.xml · nonDerivative · entry 1

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,132

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 03, 2024 Filed Jul 8, 2024 21:19 UTC
Kroeker NathanChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 53,610 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000063 · wk-form4_1720473539.xml · derivative · entry 3

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,219

Underlying: Common Stock · 53,610 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: The reporting person received a grant of RSUs under the Issuer's 2020 Incentive Plan, as amended from time to time, which will vest in three equal installments on each of the first three anniversaries of the grant date, or if earlier, upon a Change in Control (as defined in the 2020 Incentive Plan), subject to continued service through each vesting date.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Not applicable.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
July 03, 2024 Filed Jul 8, 2024 21:19 UTC
Kroeker NathanChief Financial Officer
Tax withholdingCommon Stock 21,096 $1.77 $37,339.92
Disclosure

SEC source: 0001805077-24-000063 · wk-form4_1720473539.xml · nonDerivative · entry 2

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,124

F1 · shares: Represents shares withheld from vested restricted stock unit ("RSU") award to satisfy tax obligations, as permitted by the Company's Amended and Restated 2020 Incentive Plan.

Read SEC document
July 03, 2024 Filed Jul 8, 2024 21:19 UTC
Kroeker NathanChief Financial Officer
Exercise / conversionCommon Stock 53,610 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000063 · wk-form4_1720473539.xml · nonDerivative · entry 1

Kroeker Nathan · CIK 0001613718 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,220

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:19 UTC
Demby ClaudeDirector
Exercise / conversionRestricted Stock Units · Derivative 32,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000042 · wk-form4_1714695540.xml · derivative · entry 2

Demby Claude · CIK 0001855640 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,328 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Not applicable.

F2 · derivative.expiration_date: Not applicable.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:19 UTC
Demby ClaudeDirector
Exercise / conversionCommon Stock 32,328 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000042 · wk-form4_1714695540.xml · nonDerivative · entry 1

Demby Claude · CIK 0001855640 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,340

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
April 30, 2024 Filed May 2, 2024 20:12 UTC Exercise / conversionRestricted Stock Units · Derivative 32,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000038 · wk-form4_1714695135.xml · derivative · entry 2

Zibelman Audrey Ann · CIK 0001833088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,328 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Not applicable.

F2 · derivative.expiration_date: Not applicable.

Read SEC document
April 30, 2024 Filed May 2, 2024 20:12 UTC Exercise / conversionCommon Stock 32,328 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000038 · wk-form4_1714695135.xml · nonDerivative · entry 1

Zibelman Audrey Ann · CIK 0001833088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,897

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:30 UTC Exercise / conversionRestricted Stock Units · Derivative 32,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000044 · wk-form4_1714696202.xml · derivative · entry 4

Bornstein Jeffrey S · CIK 0001579989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,328 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Not applicable.

F2 · derivative.expiration_date: Not applicable.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:30 UTC Exercise / conversionCommon Stock 32,328 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000044 · wk-form4_1714696202.xml · nonDerivative · entry 1

Bornstein Jeffrey S · CIK 0001579989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,929

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:17 UTC
McNeil JeffDirector
Exercise / conversionRestricted Stock Units · Derivative 36,232 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000041 · wk-form4_1714695410.xml · derivative · entry 3

McNeil Jeff · CIK 0001776803 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,232 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:17 UTC
McNeil JeffDirector
Exercise / conversionCommon Stock 36,232 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000041 · wk-form4_1714695410.xml · nonDerivative · entry 1

McNeil Jeff · CIK 0001776803 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,232

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:09 UTC Exercise / conversionRestricted Stock Units · Derivative 32,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000037 · wk-form4_1714694979.xml · derivative · entry 3

Walters Marian · CIK 0001782905 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,328 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
April 30, 2024 Filed May 3, 2024 00:09 UTC Exercise / conversionCommon Stock 32,328 $0.00 $0.00
Disclosure

SEC source: 0001805077-24-000037 · wk-form4_1714694979.xml · nonDerivative · entry 1

Walters Marian · CIK 0001782905 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,847

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.