NRGV

SEC source: 0001104659-22-103814 · tm2226888-1_4seq1.xml · nonDerivative · entry 2

GROSS WILLIAM · CIK 0001079818 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Studio, LLC

Disclosed balance after: 1,655,997

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.01 to $5.58. The reporting person undertakes to provide 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 sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Idealab Studio, LLC ("ILS") has a board of managers comprised of Mr. Gross, Allen Morgan, and Howard Morgan. The board of managers acts by majority consent so no single person has sole voting or dispositive authority over such securities. Mr. Gross, Mr. Allen Morgan and Mr. Howard Morgan each disclaims beneficial ownership of the securities held by ILS, except to the extent of his pecuniary interest in such securities. The Gross Goodstein Living Trust dated April 18, 2006 (the "Gross Trust") owns a majority of the class of securities entitled to elect two directors to ILS's board of managers. Mr. Gross is the Chairman and Chief Executive Officer of ILS. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the common stock held of record by ILS.

SEC source: 0001104659-22-103814 · tm2226888-1_4seq1.xml · nonDerivative · entry 1

GROSS WILLIAM · CIK 0001079818 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Studio, LLC

Disclosed balance after: 1,672,247

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.37 to $5.05. The reporting person undertakes to provide 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 sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Idealab Studio, LLC ("ILS") has a board of managers comprised of Mr. Gross, Allen Morgan, and Howard Morgan. The board of managers acts by majority consent so no single person has sole voting or dispositive authority over such securities. Mr. Gross, Mr. Allen Morgan and Mr. Howard Morgan each disclaims beneficial ownership of the securities held by ILS, except to the extent of his pecuniary interest in such securities. The Gross Goodstein Living Trust dated April 18, 2006 (the "Gross Trust") owns a majority of the class of securities entitled to elect two directors to ILS's board of managers. Mr. Gross is the Chairman and Chief Executive Officer of ILS. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the common stock held of record by ILS.

SEC source: 0001104659-22-101168 · tm2226172-1_4seq1.xml · derivative · entry 4

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,171,703

Underlying: Common Stock · 1,171,704 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.

F4 · derivative.exercise_price: The Reporting Person received RSUs in connection with the merger described in that certain Business Combination Agreement and Plan of Reorganization, dated as of September 8, 2021, by and among Novus Capital Corporation II, now known as Energy Vault Holdings, Inc., NCCII Merger Corp. ("Merger Sub"), and Energy Vault, Inc. ("Energy Vault"), pursuant to which Merger Sub merged with and into Energy Vault, with Energy Vault surviving as a wholly-owned subsidiary of the Issuer (the "Merger")

F5 · derivative.exercise_date: The Reporting Person received RSUs in Issuer in exchange for, and pursuant to the assumption and conversion of, 345,967 restricted stock units of Energy Vault. Subject to the satisfaction of both a liquidity event requirement and service-based requirement, each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The liquidity event requirement was satisfied upon the closing of the Merger. The RSUs will accordingly vest upon the satisfaction of the service-based requirement, which provides that the RSUs will vest or have vested as follows: with respect to 50% of the RSUs on the closing of the Merger, with respect to 25% of the RSUs vest on July 19, 2020 and with respect to 1/48th of the RSUs each month thereafter, subject to the Reporting Person's continuous service with the Issuer through each vesting date.

F5 · derivative.expiration_date: The Reporting Person received RSUs in Issuer in exchange for, and pursuant to the assumption and conversion of, 345,967 restricted stock units of Energy Vault. Subject to the satisfaction of both a liquidity event requirement and service-based requirement, each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The liquidity event requirement was satisfied upon the closing of the Merger. The RSUs will accordingly vest upon the satisfaction of the service-based requirement, which provides that the RSUs will vest or have vested as follows: with respect to 50% of the RSUs on the closing of the Merger, with respect to 25% of the RSUs vest on July 19, 2020 and with respect to 1/48th of the RSUs each month thereafter, subject to the Reporting Person's continuous service with the Issuer through each vesting date.

SEC source: 0001104659-22-101168 · tm2226172-1_4seq1.xml · nonDerivative · entry 3

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,126,475

F3 · kind: As payment for $2,195,200 of a personal loan, Mr. Pedretti granted to the lender a security interest in 1,083,760 shares of the issuer's common stock pursuant to stock pledge and transfer agreement dated December 4, 2019. This transaction represents a disposition in partial satisfaction of the reporting person's obligation to deliver such shares pursuant to such stock pledge and transfer agreement.

F3 · price: As payment for $2,195,200 of a personal loan, Mr. Pedretti granted to the lender a security interest in 1,083,760 shares of the issuer's common stock pursuant to stock pledge and transfer agreement dated December 4, 2019. This transaction represents a disposition in partial satisfaction of the reporting person's obligation to deliver such shares pursuant to such stock pledge and transfer agreement.

SEC source: 0001104659-22-101168 · tm2226172-1_4seq1.xml · nonDerivative · entry 2

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,272,146

F2 · shares: Represents the number of shares withheld by the Issuer to satisfy the tax withholding obligation in connection with the settlement of RSUs.

SEC source: 0001104659-22-101168 · tm2226172-1_4seq1.xml · nonDerivative · entry 1

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,817,448

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 · kind: The Reporting Person received Restricted Stock Units ("RSUs") that represent a contingent right to receive one share of Common Stock for each RSU upon the satisfaction of applicable vesting conditions. The shares were issued pursuant to vested RSUs.

F1 · price: The Reporting Person received Restricted Stock Units ("RSUs") that represent a contingent right to receive one share of Common Stock for each RSU upon the satisfaction of applicable vesting conditions. The shares were issued pursuant to vested RSUs.

SEC source: 0001104659-22-094221 · tm2224390-2_4seq1.xml · nonDerivative · entry 1

Piconi Robert · CIK 0001898769 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,337,192

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.20 to $5.21. The reporting person undertakes to provide 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.

SEC source: 0001104659-22-093847 · tm2224390-1_4seq1.xml · nonDerivative · entry 1

Piconi Robert · CIK 0001898769 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,327,742

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.21 to $5.23. The reporting person undertakes to provide 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.

SEC source: 0001104659-22-092769 · tm2224129-1_4seq1.xml · nonDerivative · entry 1

Piconi Robert · CIK 0001898769 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,318,342

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.19 to $5.30. The reporting person undertakes to provide 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.

SEC source: 0001104659-22-093011 · tm2224129-2_4seq1.xml · nonDerivative · entry 1

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 645,744

F1 · kind: As payment for $2,195,200 of a personal loan, Mr. Pedretti granted to the lender a security interest in 1,083,760 shares of the issuer's common stock pursuant to a stock pledge and transfer agreement dated December 4, 2019. This transaction represents a disposition in partial satisfaction of the reporting person's obligation to deliver such shares pursuant to such stock pledge and transfer agreement.

F1 · price: As payment for $2,195,200 of a personal loan, Mr. Pedretti granted to the lender a security interest in 1,083,760 shares of the issuer's common stock pursuant to a stock pledge and transfer agreement dated December 4, 2019. This transaction represents a disposition in partial satisfaction of the reporting person's obligation to deliver such shares pursuant to such stock pledge and transfer agreement.

SEC source: 0001104659-22-093010 · tm2224129-3_4seq1.xml · nonDerivative · entry 2

GROSS WILLIAM · CIK 0001079818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Holdings, LLC

Disclosed balance after: 1,276,355

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $5.15 to $5.25, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this Form 4.

F2 · ownership.nature: Idealab Holdings, LLC ("Holdings") is a wholly-owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Bill Gross, Marcia Goodstein (Mr. Gross's wife), Renee LaBran and Bob Kavner, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-093010 · tm2224129-3_4seq1.xml · nonDerivative · entry 1

GROSS WILLIAM · CIK 0001079818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Holdings, LLC

Disclosed balance after: 1,446,565

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

F2 · ownership.nature: Idealab Holdings, LLC ("Holdings") is a wholly-owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Bill Gross, Marcia Goodstein (Mr. Gross's wife), Renee LaBran and Bob Kavner, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-091486 · tm2223488-3_4seq1.xml · nonDerivative · entry 5

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by EN Fund I, A Series of Helena Special Investments AL Ventures, LP

Disclosed balance after: 55,952

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

F3 · ownership.nature: Helena Special Investments LLC executed an acknowledgement letter with Helena Zepak EV LLC on July 20, 2022, and pursuant to such acknowledgement letter, Helena Special Investments LLC and the reporting person ceased to be the beneficial owner of 1,608,009 shares of the Issuer held by Helena Zepak EV LLC.

SEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 1

GROSS WILLIAM · CIK 0001079818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Studio, LLC

Disclosed balance after: 1,688,497

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid. Idealab Studio, LLC ("ILS") has a board of managers comprised of Mr. Gross, Allen Morgan, and Howard Morgan. The board of managers acts by majority consent so no single person has sole voting or dispositive authority over such securities. Mr. Gross, Mr. Allen Morgan and Mr. Howard Morgan each disclaims beneficial ownership of the securities held by ILS, except to the extent of his pecuniary interest in such securities. The Gross Goodstein Living Trust dated April 18, 2006 (the "Gross Trust") owns a majority of the class of securities entitled to elect two directors to ILS's board of managers. Mr. Gross is the Chairman and Chief Executive Officer of ILS. As a result of the foregoing, Mr. Gross may be deemed to beneficially own the common stock held of record by ILS.

SEC source: 0001104659-22-091368 · tm2223488-2_4seq1.xml · nonDerivative · entry 1

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,126

F1 · kind: Represents an acquisition of securities from an in-kind distribution from HSI Energy Vault I LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

SEC source: 0001104659-22-091486 · tm2223488-3_4seq1.xml · nonDerivative · entry 4

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by HSI EV Brasil LLC

Disclosed balance after: 116,728

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

SEC source: 0001104659-22-091486 · tm2223488-3_4seq1.xml · nonDerivative · entry 3

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by HSI Energy Vault II LLC

Disclosed balance after: 933,839

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

SEC source: 0001104659-22-091486 · tm2223488-3_4seq1.xml · nonDerivative · entry 2

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,413

F2 · kind: Represents an acquisition of securities from an in-kind distribution from HSI Energy Vault I LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

SEC source: 0001104659-22-091486 · tm2223488-3_4seq1.xml · nonDerivative · entry 1

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by HSI Energy Vault I LLC

Disclosed balance after: 2,357,944

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

SEC source: 0001104659-22-085315 · tm2222414-1_4seq1.xml · derivative · entry 1

ALEXANDER LAURENCE · CIK 0001418236 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,000

Underlying: Common Stock · 675,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085317 · tm2222414-3_4seq1.xml · derivative · entry 2

Hitchcock David W · CIK 0001357269 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on April 30, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F2 · derivative.exercise_date: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on April 30, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F2 · derivative.expiration_date: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on April 30, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085317 · tm2222414-3_4seq1.xml · derivative · entry 1

Hitchcock David W · CIK 0001357269 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a three year period. One third of the RSUs will vest on April 30, 2023 and 1/12 of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a three year period. One third of the RSUs will vest on April 30, 2023 and 1/12 of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a three year period. One third of the RSUs will vest on April 30, 2023 and 1/12 of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085326 · tm2222414-8_4seq1.xml · derivative · entry 1

Terruzzin Marco · CIK 0001908817 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 850,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085324 · tm2222414-7_4seq1.xml · derivative · entry 1

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085327 · tm2222414-9_4seq1.xml · derivative · entry 1

Wiese Christopher · CIK 0001908958 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,000

Underlying: Common Stock · 575,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085322 · tm2222414-6_4seq1.xml · derivative · entry 2

McMorrow Josh · CIK 0001930522 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F2 · derivative.exercise_date: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F2 · derivative.expiration_date: Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085322 · tm2222414-6_4seq1.xml · derivative · entry 1

McMorrow Josh · CIK 0001930522 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,940

Underlying: Common Stock · 270,940 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on May 12, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on May 31, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085316 · tm2222414-2_4seq1.xml · derivative · entry 1

Espy Richard · CIK 0001908954 · CIO, VP of Software Enablement

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085321 · tm2222414-5_4seq1.xml · derivative · entry 1

Jung John G · CIK 0001911137 · President of EVS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,650

Underlying: Common Stock · 352,650 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-085319 · tm2222414-4_4seq1.xml · derivative · entry 1

Icoren Goncagul · CIK 0001908956 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,000

Underlying: Common Stock · 575,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.exercise_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

F1 · derivative.expiration_date: Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs were approved on July 3, 2022 with a grant date to be the date that the issuer filed its Registration Statement on Form S-8 to register issuances under its 2022 Equity Incentive Plan, which registration statement was filed on July 29, 2022. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a four year period. 25% of the RSUs will vest on February 28, 2023 and 6.25% of the RSUs shall vest each quarter thereafter, subject to the Reporting Person's continuous service with the issuer. The RSUs are payable in cash, stock or a combination of the two.

SEC source: 0001104659-22-081168 · tm2221417-1_4seq1.xml · nonDerivative · entry 1

Elkus Henry · CIK 0001908861 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by HSI Puma LLC

Disclosed balance after: 0

F1 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid. Such distribution was made in accordance with the lock-up agreement entered into between the HSI Puma LLC and the Issuer at the closing of the Issuer's business combination with Energy Vault, Inc. on February 11, 2022 (the "Original Lock-Up Agreement"), and the distributee has entered into a lock-up agreement with the Issuer in substantially the same form as the Original Lock-Up Agreement.

SEC source: 0001104659-22-078368 · tm2220647-1_4seq1.xml · nonDerivative · entry 1

Terruzzin Marco · CIK 0001908817 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 545,267

F1 · price: On July 23, 2021, the Reporting Person sold 20,000 shares to a third party for $1.8 million in aggregate consideration pursuant to a stock purchase agreement (the "SPA"). The SPA provided that, for no further consideration, the Reporting Person would transfer additional shares to the third party purchaser if the initial public listing price of Energy Vault, Inc., a Delaware corporation ("Legacy Energy Vault") did not achieve a certain minimum share price target, and the Reporting Person agreed to transfer an additional 9,500 shares of Legacy Energy Vault's common stock to the third party purchaser.

F2 · price: On February 11, 2022, the Issuer's business combination with Legacy Energy Vault closed (the "Closing"), and each share of Legacy Energy Vault's common stock was converted into the right to receive 6.7735 shares of the Issuer's common stock pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated September 8, 2021, by and between Issuer, NCCII Merger Corp., a wholly owned subsidiary of the Issuer, and Legacy Energy Vault. This did not meet the minimum share price target and on July 6, 2022, the Reporting Person transferred 64,348 shares to the third party purchaser (which reflected the effect of the exchange ratio in the merger), which shares are subject to same transfer restrictions provided by the lock-up agreements that the Issuer entered into with the third party purchaser and certain other equityholders of the Issuer and Legacy Energy Vault in connection with the Closing.

SEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 4

GROSS WILLIAM · CIK 0001079818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by spouse as UTMA custodian for child

Disclosed balance after: 5,002,950

F5 · kind: Transfer to spouse as custodian for child under Uniform Transfer to Minors Act. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

F5 · ownership.nature: Transfer to spouse as custodian for child under Uniform Transfer to Minors Act. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-22-091365 · tm2223488-1_4seq1.xml · nonDerivative · entry 3

GROSS WILLIAM · CIK 0001079818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006

Disclosed balance after: 4,902,950

F3 · kind: This transaction involved a gift of securities to the reporting person's children and to his spouse as custodian for child under Uniform Transfer To Minors Act, which is further described in footnote 5 of this report. The reporting person disclaims beneficial ownership of the shares held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Mr. Gross is co-Trustee together with his wife of the Gross Trust and may be deemed to have beneficial ownership of the securities held by the Gross Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 3

GROSS WILLIAM · CIK 0001079818 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Holdings, LLC

Disclosed balance after: 1,483,390

F3 · kind: Represents an acquisition of securities from an in-kind distribution from Idealab Studio, LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b). Idealab Holdings, LLC ("Holdings") is a wholly-owned subsidiary of Idealab, a California corporation. Idealab is managed by a board of directors consisting of Bill Gross, Marcia Goodstein (Mr. Gross's wife), Renee LaBran and Bob Kavner, and no single person has voting or dispositive authority over the securities reported herein. Mr. Gross may be deemed to share beneficial ownership of the securities held by Holdings. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 2

GROSS WILLIAM · CIK 0001079818 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Idealab Studio, LLC

Disclosed balance after: 1,734,943

F2 · kind: Represents a disposition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid.

SEC source: 0001104659-22-061594 · tm2215768-3_4seq.xml · nonDerivative · entry 1

GROSS WILLIAM · CIK 0001079818 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Gross Goodstein Living Trust dated April 18, 2006

Disclosed balance after: 5,402,950

F1 · kind: Represents an acquisition of securities from an in-kind distribution from Idealab Studio, LLC to its members, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b). Mr. Gross is co-Trustee together with his wife of the Gross Goodstein Living Trust dated April 18, 2006 (the "Trust") and may be deemed to have beneficial ownership of the securities held the Trust. Mr. Gross disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001214659-22-007095 · marketforms-56194.xml · nonDerivative · entry 1

Idealab Studio, LLC · CIK 0001928651 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,734,943

F1 · ownership.direct: Represents a pro-rata in kind distribution of Common Stock of the Issuer by Idealab Studio, LLC without consideration to its members.

SEC source: 0001104659-22-061595 · tm2215768-4_4seq1.xml · nonDerivative · entry 1

Piconi Robert · CIK 0001898769 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,299,388

F1 · kind: Represents an acquisition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

SEC source: 0001104659-22-061592 · tm2215768-1_4seq1.xml · nonDerivative · entry 1

Huque Tahsinul Zia · CIK 0001794630 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Prime Movers Lab Fund II LP

Disclosed balance after: 90,500

F1 · kind: Represents an acquisition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

SEC source: 0001104659-22-061593 · tm2215768-2_4seq1.xml · nonDerivative · entry 1

Pedretti Andrea · CIK 0001909079 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291,488

F1 · security: Represents an acquisition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

F1 · kind: Represents an acquisition of securities from an in-kind distribution, and not a purchase or sale, without additional consideration paid, and is therefore an exempt, non-matchable acquisition pursuant to Section 16(b).

SEC source: 0001104659-22-020671 · tm226292-6_4seq1.xml · derivative · entry 4

LAIKIN ROBERT J · CIK 0000937221 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 442,382 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_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F2 · shares: Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 442,382 shares of Class B common stock owned by Mr. Laikin automatically converted into an equal number of shares of Class A common stock.

F3 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F3 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

SEC source: 0001104659-22-020671 · tm226292-6_4seq1.xml · derivative · entry 3

LAIKIN ROBERT J · CIK 0000937221 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,382

Underlying: Class A Common Stock · 357,618 shares

Expires not disclosed

F3 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F4 · shares: Represents the automatic forfeiture of 357,618 shares of Class B common stock for no additional consideration in connection with the closing of the issuer's business combination with Energy Vault, Inc.

F3 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F3 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

SEC source: 0001104659-22-020671 · tm226292-6_4seq1.xml · nonDerivative · entry 2

LAIKIN ROBERT J · CIK 0000937221 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 742,382

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 · shares: Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 442,382 shares of Class B common stock owned by Mr. Laikin automatically converted into an equal number of shares of Class A common stock.

SEC source: 0001104659-22-020671 · tm226292-6_4seq1.xml · nonDerivative · entry 1

LAIKIN ROBERT J · CIK 0000937221 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

F1 · shares: Represents 300,000 shares of Class A common stock purchased from the issuer in a private placement transaction for $10.00 per share. In connection with the issuer's business combination with Energy Vault, Inc., the issuer changed its name to Energy Vault Holdings, Inc.

SEC source: 0001104659-22-020789 · tm226292-3_4seq1.xml · derivative · entry 3

DONARGO VINCENT · CIK 0001339176 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 201,606 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_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F1 · shares: Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 201,606 shares of Class B common stock owned by V Donargo LLC automatically converted into an equal number of shares of Class A common stock. In connection with the issuer's business combination with Energy Vault, Inc., the issuer changed its name to Energy Vault Holdings, Inc.

F3 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F3 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F2 · ownership.nature: The shares are owned directly by V Donargo LLC. Mr. Donargo is the Chief Financial Officer of V Donargo LLC. Mr. Donargo disclaims beneficial ownership of the securities held by V Donargo LLC except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-020789 · tm226292-3_4seq1.xml · derivative · entry 2

DONARGO VINCENT · CIK 0001339176 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,606

Underlying: Class A Common Stock · 162,977 shares

Expires not disclosed

F3 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F4 · shares: Represents the automatic forfeiture of 162,977 shares of Class B common stock for no additional consideration in connection with the closing of the issuer's business combination with Energy Vault, Inc.

F3 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F3 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F2 · ownership.nature: The shares are owned directly by V Donargo LLC. Mr. Donargo is the Chief Financial Officer of V Donargo LLC. Mr. Donargo disclaims beneficial ownership of the securities held by V Donargo LLC except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-020789 · tm226292-3_4seq1.xml · nonDerivative · entry 1

DONARGO VINCENT · CIK 0001339176 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,606

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 · shares: Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 201,606 shares of Class B common stock owned by V Donargo LLC automatically converted into an equal number of shares of Class A common stock. In connection with the issuer's business combination with Energy Vault, Inc., the issuer changed its name to Energy Vault Holdings, Inc.

F2 · ownership.nature: The shares are owned directly by V Donargo LLC. Mr. Donargo is the Chief Financial Officer of V Donargo LLC. Mr. Donargo disclaims beneficial ownership of the securities held by V Donargo LLC except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-020664 · tm226292-2_4seq1.xml · derivative · entry 4

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 534,256 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.

F4 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F3 · shares: Upon the consummation of the issuer's business combination with Energy Vault, Inc. on February 11, 2022, 534,256 shares of Class B common stock owned by the Trust automatically converted into an equal number of shares of Class A common stock.

F4 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F4 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F2 · ownership.nature: The shares are owned directly by the Larry M and Gretchen V Paulson Family Trust dated September 4, 2019 and any amendments thereto (the "Trust"). Mr. Paulson is a trustee of the Trust. Mr. Paulson disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein.

SEC source: 0001104659-22-020664 · tm226292-2_4seq1.xml · derivative · entry 3

Paulson Larry · CIK 0001509559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 534,256

Underlying: Class A Common Stock · 431,890 shares

Expires not disclosed

F4 · derivative.exercise_price: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F5 · shares: Represents the automatic forfeiture of 431,890 shares of Class B common stock for no additional consideration in connection with the closing of the issuer's business combination with Energy Vault, Inc.

F4 · derivative.exercise_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F4 · derivative.expiration_date: As described in the issuer's registration statement on Form S-4 (File No. 333-260307) under the heading "Description of Securities--Founder Shares," shares of Class B common stock, par value $0.0001 per share, of the issuer automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date.

F2 · ownership.nature: The shares are owned directly by the Larry M and Gretchen V Paulson Family Trust dated September 4, 2019 and any amendments thereto (the "Trust"). Mr. Paulson is a trustee of the Trust. Mr. Paulson disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein.