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OTC · USD

NVVE

Nuvve Holding Corp.

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8585
SEC CIK
0001836875
Parsed reports
127

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202502
Dec 202501
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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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
December 31, 2025 Filed Jan 5, 2026 16:42 UTC
Poilasne GregoryDirector · Chief Executive Officer
Exercise / conversionWarrants (right to buy) · Derivative 117,358 Not disclosed Strike: $2.37 Not disclosed
Disclosure

SEC source: 0001836875-26-000003 · wk-form4_1767649365.xml · derivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 117,358 shares

Expires 2029-10-31

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 warrants were issued on October 31, 2024, and were exercised into shares of common stock, subject to the full ratchet anti dilution provisions contained therein. The number of shares underlying the warrants and issued upon its exercise also reflect the reverse stock split completed by the Company as of December 15, 2025 at a ratio of 1-for-40 shares.

F1 · price: The warrants were issued on October 31, 2024, and were exercised into shares of common stock, subject to the full ratchet anti dilution provisions contained therein. The number of shares underlying the warrants and issued upon its exercise also reflect the reverse stock split completed by the Company as of December 15, 2025 at a ratio of 1-for-40 shares.

Read SEC document
December 31, 2025 Filed Jan 5, 2026 16:42 UTC
Poilasne GregoryDirector · Chief Executive Officer
Exercise / conversionCommon Stock 117,358 $2.37 $277,786.39
Disclosure

SEC source: 0001836875-26-000003 · wk-form4_1767649365.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,619.87

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 warrants were issued on October 31, 2024, and were exercised into shares of common stock, subject to the full ratchet anti dilution provisions contained therein. The number of shares underlying the warrants and issued upon its exercise also reflect the reverse stock split completed by the Company as of December 15, 2025 at a ratio of 1-for-40 shares.

Read SEC document
December 01, 2025 Filed Dec 1, 2025 21:38 UTC
Poilasne GregoryDirector · Chief Executive Officer
SaleCommon Stock 126,000 $0.18 $22,680.00
Disclosure

SEC source: 0001836875-25-000189 · wk-form4_1764643103.xml · nonDerivative · entry 3

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,330,474.78

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.17 to $0.20, inclusive. The Reporting Person undertakes to provide the Issuer and 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 such shares were purchased.

Read SEC document
November 28, 2025 Filed Dec 1, 2025 21:38 UTC
Poilasne GregoryDirector · Chief Executive Officer
SaleCommon Stock 100,000 $0.24 $24,000.00
Disclosure

SEC source: 0001836875-25-000189 · wk-form4_1764643103.xml · nonDerivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,456,474.78

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.22 to $0.25, inclusive. The Reporting Person undertakes to provide the Issuer and 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 such shares were purchased.

Read SEC document
November 26, 2025 Filed Dec 1, 2025 21:38 UTC
Poilasne GregoryDirector · Chief Executive Officer
SaleCommon Stock 100,000 $0.27 $27,000.00
Disclosure

SEC source: 0001836875-25-000189 · wk-form4_1764643103.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,556,474.78

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from approximately $0.25 to $0.29, inclusive. The Reporting Person undertakes to provide the Issuer and 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 such shares were purchased.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:24 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 2,000,000 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001836875-25-000181 · wk-form4_1763760276.xml · derivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,002,312

Underlying: Common Stock · 2,000,000 shares

Expires 2035-11-19

F2 · derivative.underlying_shares: The securities awarded are in the form of Employee Stock Options (Right to Buy) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:24 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantCommon Stock 1,323,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000181 · wk-form4_1763760276.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,656,474.78

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:31 UTC
Smith Ted C.Director · President and COO
GrantEmployee Stock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001836875-25-000186 · wk-form4_1763760658.xml · derivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,710

Underlying: Common Stock · 200,000 shares

Expires 2035-11-19

F1 · derivative.underlying_shares: The securities awarded are in the form of Employee Stock Options issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:25 UTC
Robson DavidChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 1,000,000 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001836875-25-000183 · wk-form4_1763760338.xml · derivative · entry 2

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,876

Underlying: Common Stock · 1,000,000 shares

Expires 2035-11-19

F2 · derivative.underlying_shares: The securities awarded are in the form of Employee Stock Options (Right to Buy) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan and vest on December 31, 2025.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:25 UTC
Robson DavidChief Financial Officer
GrantCommon Stock 937,125 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000183 · wk-form4_1763760338.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 940,566

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

Read SEC document
August 24, 2025 Filed Aug 26, 2025 17:08 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000145 · wk-form4_1756242491.xml · nonDerivative · entry 1

Johnson Brian Arthur · CIK 0002080874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

Read SEC document
August 24, 2025 Filed Aug 26, 2025 17:04 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000141 · wk-form4_1756242291.xml · nonDerivative · entry 1

Montgomery Jon M. · CIK 0001851796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,446

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

F2 · balance_after: The number of shares beneficially owned were adjusted to reflect: (i) a 1-for-40 reverse stock split effected on January 19, 2024, and (ii) a 1-for-10 reverse stock split effected on September 17, 2024.

Read SEC document
August 24, 2025 Filed Aug 26, 2025 17:08 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000146 · wk-form4_1756242528.xml · nonDerivative · entry 1

ALTUCHER JAMES ANDREW · CIK 0001486733 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

Read SEC document
August 24, 2025 Filed Aug 26, 2025 17:06 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000143 · wk-form4_1756242383.xml · nonDerivative · entry 1

Sherman H. David · CIK 0001481482 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,533

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

F2 · balance_after: The number of shares beneficially owned were adjusted to reflect: (i) a 1-for-40 reverse stock split effected on January 19, 2024, and (ii) a 1-for-10 reverse stock split effected on September 17, 2024.

Read SEC document
August 24, 2025 Filed Aug 26, 2025 21:07 UTC
Huang LauraDirector
GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001836875-25-000144 · wk-form4_1756242453.xml · nonDerivative · entry 1

Huang Laura · CIK 0002075855 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's Amended and Restated 2020 Long-Term Incentive Plan. Each RSU, which vested immediately, represents the right to receive one share of the Issuer's common stock.

Read SEC document
August 22, 2025 Filed Aug 26, 2025 18:55 UTC
Poilasne GregoryDirector · Chief Executive Officer
SaleCommon Stock 200,000 $0.47 $94,500.00
Disclosure

SEC source: 0001836875-25-000148 · wk-form4_1756248926.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,474.784

F1 · price: The common stock was sold by the Reporting Person in open market transactions on the transaction date, with a volume weighted average sales price of $0.4725 per share. The range of sales prices on the transaction date was $0.47 to $0.48 per share. Detailed information on the exact number of shares can be obtained from the Issuer upon request.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 17:08 UTC
Poilasne GregoryDirector · Chief Executive Officer
Exercise / conversionSenior Convertible Notes · Derivative Not disclosed $0.00 Strike: $0.53 $277,777.63
Disclosure

SEC source: 0001836875-25-000131 · wk-form4_1755637680.xml · derivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2026-04-30

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 acquired a $250,000 principal amount convertible promissory note on October 31, 2024, as amended and restated, the Note, from the Issuer for aggregate consideration of $225,000. The Note bears interest at 8%. On August 15, 2025, the Reporting Person converted approximately $250,000 of principal and $27,777.63 of accrued interest under a convertible promissory note, dated October 31, 2024, as amended and restated, outstanding under the Note, into 526,094 shares of the Issuers common stock, at a conversion price of $0.528 per share. The issuance of shares of common stock upon the conversion of the Note by the Reporting Person was approved by the Issuers stockholders at a special meeting held on February 21, 2025. The conversion price in effect at the time of conversion pursuant to the terms of the Note was $0.528 per share.

F1 · price: The Reporting Person acquired a $250,000 principal amount convertible promissory note on October 31, 2024, as amended and restated, the Note, from the Issuer for aggregate consideration of $225,000. The Note bears interest at 8%. On August 15, 2025, the Reporting Person converted approximately $250,000 of principal and $27,777.63 of accrued interest under a convertible promissory note, dated October 31, 2024, as amended and restated, outstanding under the Note, into 526,094 shares of the Issuers common stock, at a conversion price of $0.528 per share. The issuance of shares of common stock upon the conversion of the Note by the Reporting Person was approved by the Issuers stockholders at a special meeting held on February 21, 2025. The conversion price in effect at the time of conversion pursuant to the terms of the Note was $0.528 per share.

F2 · derivative.exercise_date: The Note was issued on October 31, 2024, and was convertible into shares of common stock at the election of the holder anytime thereafter at an initial conversion price of $3.402 per share, subject to the full ratchet anti dilution provisions contained therein, subject to a floor price of $0.528 per share, and subject to approval by the stockholders of the Issuer. The Issuer's stockholders approved the issuance of shares of common stock upon the conversion of the Note at a special meeting held on February 21, 2025.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 17:08 UTC
Poilasne GregoryDirector · Chief Executive Officer
Exercise / conversionCommon Stock 526,094 $0.53 $277,777.63
Disclosure

SEC source: 0001836875-25-000131 · wk-form4_1755637680.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 533,474.784

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 acquired a $250,000 principal amount convertible promissory note on October 31, 2024, as amended and restated, the Note, from the Issuer for aggregate consideration of $225,000. The Note bears interest at 8%. On August 15, 2025, the Reporting Person converted approximately $250,000 of principal and $27,777.63 of accrued interest under a convertible promissory note, dated October 31, 2024, as amended and restated, outstanding under the Note, into 526,094 shares of the Issuers common stock, at a conversion price of $0.528 per share. The issuance of shares of common stock upon the conversion of the Note by the Reporting Person was approved by the Issuers stockholders at a special meeting held on February 21, 2025. The conversion price in effect at the time of conversion pursuant to the terms of the Note was $0.528 per share.

F2 · balance_after: The Note was issued on October 31, 2024, and was convertible into shares of common stock at the election of the holder anytime thereafter at an initial conversion price of $3.402 per share, subject to the full ratchet anti dilution provisions contained therein, subject to a floor price of $0.528 per share, and subject to approval by the stockholders of the Issuer. The Issuer's stockholders approved the issuance of shares of common stock upon the conversion of the Note at a special meeting held on February 21, 2025.

Read SEC document
December 31, 2024 Filed Jan 3, 2025 17:06 UTC
Poilasne GregoryDirector · Chief Executive Officer
SaleCommon Stock 1,680 $0.00 $0.17
Disclosure

SEC source: 0001836875-25-000003 · wk-form4_1735941965.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,380.784

F1 · shares: Such shares were sold to the Issuer as part of year-end estate planning and were sold pursuant to the terms of the Stock Repurchase Agreement, dated as of December 31, 2024, by and between the Issuer and the Reporting Person.

Read SEC document
December 20, 2024 Filed Dec 23, 2024 17:09 UTC
Smith Ted C.Director · President and COO
PurchaseCommon Stock 7,155 $2.88 $20,606.40
Disclosure

SEC source: 0001836875-24-000127 · wk-form4_1734991788.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,855.31

Read SEC document
December 19, 2024 Filed Dec 20, 2024 17:24 UTC
Smith Ted C.Director · President and COO
PurchaseCommon Stock 3,928 $2.75 $10,802.00
Disclosure

SEC source: 0001836875-24-000125 · wk-form4_1734733474.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,700.31

Read SEC document
October 31, 2024 Filed Nov 4, 2024 17:22 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantWarrants (right to buy) · Derivative 73,487 Not disclosed Strike: $3.78 Not disclosed
Disclosure

SEC source: 0001836875-24-000102 · wk-form4_1730758945.xml · derivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,487

Underlying: Common Stock · 73,487 shares

Expires 2029-10-31

F1 · price: The reporting person acquired the $250,000 principal amount convertible promissory note and accompanying warrant from the Issuer for aggregate consideration of $225,000. The Senior Convertible Note bears interest at 8% and is subject to a 19.99% blocker, the Exchange Cap, unless the Issuer receives stockholder approval to issue shares of common stock upon the conversion of the Senior Convertible Note that exceed the Exchange Cap.

F2 · price: The Warrant was granted on October 31, 2024 and is exercisable for 73,487 shares of the Issuer's common shares at a price of $3.78 per share and will expire on October 31, 2029. The issuance of shares upon exercise of the Warrant is subject to the Exchange Cap unless the Issuer receives stockholder approval to issue shares of common stock upon the exercise of the Warrant that exceed the Exchange Cap.

F2 · derivative.exercise_date: The Warrant was granted on October 31, 2024 and is exercisable for 73,487 shares of the Issuer's common shares at a price of $3.78 per share and will expire on October 31, 2029. The issuance of shares upon exercise of the Warrant is subject to the Exchange Cap unless the Issuer receives stockholder approval to issue shares of common stock upon the exercise of the Warrant that exceed the Exchange Cap.

Read SEC document
October 31, 2024 Filed Nov 4, 2024 17:22 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantSenior Convertible Notes · Derivative Not disclosed Not disclosed Strike: $3.40 $250,000.00
Disclosure

SEC source: 0001836875-24-000102 · wk-form4_1730758945.xml · derivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2026-04-30

F1 · price: The reporting person acquired the $250,000 principal amount convertible promissory note and accompanying warrant from the Issuer for aggregate consideration of $225,000. The Senior Convertible Note bears interest at 8% and is subject to a 19.99% blocker, the Exchange Cap, unless the Issuer receives stockholder approval to issue shares of common stock upon the conversion of the Senior Convertible Note that exceed the Exchange Cap.

F1 · derivative.exercise_date: The reporting person acquired the $250,000 principal amount convertible promissory note and accompanying warrant from the Issuer for aggregate consideration of $225,000. The Senior Convertible Note bears interest at 8% and is subject to a 19.99% blocker, the Exchange Cap, unless the Issuer receives stockholder approval to issue shares of common stock upon the conversion of the Senior Convertible Note that exceed the Exchange Cap.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherOptions · Derivative 5,000,000 Not disclosed Strike: $50.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 6

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000,000 shares

Expires 2028-11-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherSeries F Warrants · Derivative 1,000,000 Not disclosed Strike: $40.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 5

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2031-05-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F2 · derivative.exercise_date: Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021.

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherSeries E Warrants · Derivative 1,000,000 Not disclosed Strike: $30.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 4

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2031-05-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F2 · derivative.exercise_date: Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021.

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherSeries D Warrants · Derivative 1,000,000 Not disclosed Strike: $20.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 3

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2031-05-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F2 · derivative.exercise_date: Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021.

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherSeries C Warrants · Derivative 1,000,000 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 2

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2031-05-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F2 · derivative.exercise_date: Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021.

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 21:54 UTC OtherSeries B Warrants · Derivative 2,000,000 Not disclosed Strike: $10.00 Not disclosed
Disclosure

SEC source: 0001104659-24-109648 · tm2426419-1_4seq1.xml · derivative · entry 1

Stonepeak Rocket Holdings II LP · CIK 0001877490 · 10% owner

Stonepeak GP Investors Holdings LP · CIK 0001984149 · 10% owner

Stonepeak GP Investors Upper Holdings LP · CIK 0001984147 · 10% owner

Stonepeak GP Investors Holdings Manager LLC · CIK 0001984146 · 10% owner

Stonepeak Associates IV LLC · CIK 0001863666 · 10% owner

Stonepeak GP Investors IV LLC · CIK 0001863692 · 10% owner

Dorrell Michael B. · CIK 0001550758 · 10% owner

Evolve Transition Infrastructure LP · CIK 0001362705 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000,000 shares

Expires 2031-05-17

F1 · kind: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F1 · price: On October 15, 2024, the Issuer, Stonepeak Rocket Holdings II LP, a Delaware limited partnership ("Stonepeak"), Evolve Transition Infrastructure LP, a Delaware limited partnership ("Evolve") and Levo Mobility LLC, a Delaware limited liability company ("Levo"), entered into that certain Limited Liability Company Interest Sale Agreement pursuant to which, among other things, each Reporting Person irrevocably terminated any and all rights with respect to the securities that are the subject of this Form 4 for nominal consideration (the "Termination").

F2 · derivative.exercise_date: Prior to the Termination, the warrants were exercisable as described in the Reporting Person's Form 3, dated August 15, 2021.

F3 · ownership.direct: The securities that are the subject of this Form 4 comprise of (i) Series B warrants to purchase 2,000,000 shares of Common Stock, in the aggregate, (ii) Series C warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iii) Series D warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (iv) Series E warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, (v) Series F warrants to purchase 1,000,000 shares of Common Stock, in the aggregate, and (vi) the option to purchase up to an aggregate of $250 million in shares of Common Stock as a purchase price of $50.00 per share.

F4 · ownership.direct: Prior to the Termination, the securities that are the subject of this Form 4 were directly beneficially owned 90% by Stonepeak and 10% by Evolve. Stonepeak Associates IV LLC is the general partner of Stonepeak Rocket Holdings II LP. Stonepeak GP Investors IV LLC is the sole member of Stonepeak Associates IV LLC. Stonepeak GP Investors Holdings LP is the managing member of Stonepeak GP Investors IV LLC. Stonepeak GP Investors Upper Holdings LP is the general partner of Stonepeak GP Investors Holdings LP. Stonepeak GP Investors Holdings Manager LLC is the general partner of Stonepeak GP Investors Upper Holdings LP. Mr. Dorrell serves as the sole member of Stonepeak GP Investors Holdings Manager LLC.

F5 · ownership.direct: Affiliates of Stonepeak own 100% of the issued and outstanding equity interests in SP Holdings, LLC, which is the sole member of Evolve's general partner. Evolve's general partner owns 100% of the common units of Evolve.

F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the securities set forth herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
February 02, 2024 Filed Feb 8, 2024 19:30 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantWarrants to Purchase Common Stock · Derivative 25,000 Not disclosed Strike: $2.00 Not disclosed
Disclosure

SEC source: 0001836875-24-000029 · wk-form4_1707438626.xml · derivative · entry 4

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,109

Underlying: Common Stock · 25,000 shares

Expires 2029-02-02

F5 · security: Series C Warrants to purchase Common Stock

F1 · price: The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024.

F6 · derivative.exercise_date: The Series C warrants to purchase Common Stock may only be exercised to the extent and in proportion to the holder of the Series C warrants exercising its corresponding Series B warrants to purchase Common Stock. The Series C warrants to purchase Common Stock expire fire years from the date of issuance, however, provided that to the extent and in proportion to the holder of Series C warrants not exercising its corresponding Series B warrants, such Series C warrants will expire on November 2, 2024.

F6 · derivative.expiration_date: The Series C warrants to purchase Common Stock may only be exercised to the extent and in proportion to the holder of the Series C warrants exercising its corresponding Series B warrants to purchase Common Stock. The Series C warrants to purchase Common Stock expire fire years from the date of issuance, however, provided that to the extent and in proportion to the holder of Series C warrants not exercising its corresponding Series B warrants, such Series C warrants will expire on November 2, 2024.

Read SEC document
February 02, 2024 Filed Feb 8, 2024 19:30 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantWarrants to Purchase Common Stock · Derivative 25,000 Not disclosed Strike: $2.00 Not disclosed
Disclosure

SEC source: 0001836875-24-000029 · wk-form4_1707438626.xml · derivative · entry 3

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,109

Underlying: Common Stock · 25,000 shares

Expires 2029-02-02

F3 · security: Series B Warrants to purchase Common Stock.

F1 · price: The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024.

F4 · derivative.expiration_date: Series B warrants will expire on November 2, 2024

Read SEC document
February 02, 2024 Filed Feb 8, 2024 19:30 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantWarrants to Purchase Common Stock · Derivative 25,000 Not disclosed Strike: $2.00 Not disclosed
Disclosure

SEC source: 0001836875-24-000029 · wk-form4_1707438626.xml · derivative · entry 2

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,109

Underlying: Common Stock · 25,000 shares

Expires 2029-02-02

F2 · security: Series A Warrants to purchase Common Stock

F1 · price: The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024.

Read SEC document
February 02, 2024 Filed Feb 8, 2024 19:30 UTC
Poilasne GregoryDirector · Chief Executive Officer
PurchaseCommon Stock 25,000 $2.00 $50,000.00
Disclosure

SEC source: 0001836875-24-000029 · wk-form4_1707438626.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,607.84

F1 · security: The common stock, Series A warrants, Series B warrants and Series C warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 2, 2024.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 16:05 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $0.16 $0.00
Disclosure

SEC source: 0001836875-23-000174 · wk-form4_1702069503.xml · derivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 924,341

Underlying: Common Stock · 250,000 shares

Expires 2033-07-07

F1 · derivative.exercise_date: The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 16:07 UTC
Smith Ted C.Director · President and COO
GrantEmployee Stock Option (Right to Buy) · Derivative 65,000 $0.00 Strike: $0.16 $0.00
Disclosure

SEC source: 0001836875-23-000175 · wk-form4_1702069620.xml · derivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 682,628

Underlying: Common Stock · 65,000 shares

Expires 2033-07-07

F1 · derivative.exercise_date: The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 16:10 UTC
Robson DavidChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $0.16 $0.00
Disclosure

SEC source: 0001836875-23-000176 · wk-form4_1702069823.xml · derivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 50,000 shares

Expires 2033-07-07

F1 · derivative.exercise_date: The 50% of options vest as to 1/4 of the shares on the last day of the fiscal quarter in which the first anniversary of the grant date occurs and shall vest as to 1/16 of the shares on the last day of the following 12 fiscal quarters, and the remaining 50% of the options shall vest immediately upon the occurrence of a performance-based criteria.

Read SEC document
October 20, 2023 Filed Oct 24, 2023 16:02 UTC
Poilasne GregoryDirector · Chief Executive Officer
PurchaseCommon Stock 714,000 $0.14 $99,960.00
Disclosure

SEC source: 0001836875-23-000154 · wk-form4_1698177718.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,624,313.73

Read SEC document
October 20, 2023 Filed Oct 24, 2023 16:10 UTC
Robson DavidChief Financial Officer
PurchaseCommon Stock 357,000 $0.14 $49,980.00
Disclosure

SEC source: 0001836875-23-000156 · wk-form4_1698178192.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,025,957.65

Read SEC document
August 31, 2023 Filed Sep 5, 2023 17:41 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantCommon Stock 31,089 $0.49 $15,202.52
Disclosure

SEC source: 0001836875-23-000146 · wk-form4_1693950071.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,910,313.73

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

Read SEC document
August 31, 2023 Filed Sep 5, 2023 17:48 UTC
Smith Ted C.Director · President and COO
GrantCommon Stock 7,605 $0.49 $3,718.85
Disclosure

SEC source: 0001836875-23-000148 · wk-form4_1693950489.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 708,923.91

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

Read SEC document
August 31, 2023 Filed Sep 5, 2023 17:53 UTC
Robson DavidChief Financial Officer
GrantCommon Stock 28,369 $0.49 $13,872.44
Disclosure

SEC source: 0001836875-23-000150 · wk-form4_1693950803.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 668,957.65

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 16:53 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantCommon Stock 23,791 $0.64 $15,202.45
Disclosure

SEC source: 0001836875-23-000131 · wk-form4_1691009589.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,879,224.73

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 17:11 UTC
Smith Ted C.Director · President and COO
GrantCommon Stock 5,820 $0.64 $3,718.98
Disclosure

SEC source: 0001836875-23-000133 · wk-form4_1691010682.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 701,318.91

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 17:23 UTC
Robson DavidChief Financial Officer
GrantCommon Stock 21,710 $0.64 $13,872.69
Disclosure

SEC source: 0001836875-23-000137 · wk-form4_1691011408.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640,588.65

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

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July 07, 2023 Filed Jul 10, 2023 19:22 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantCommon Stock 539,448 $0.61 $329,063.28
Disclosure

SEC source: 0001836875-23-000125 · wk-form4_1689031315.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,855,433.73

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable.

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July 07, 2023 Filed Jul 10, 2023 19:30 UTC
Smith Ted C.Director · President and COO
GrantCommon Stock 449,898 $0.61 $274,437.78
Disclosure

SEC source: 0001836875-23-000127 · wk-form4_1689031796.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 695,498.91

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable.

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July 07, 2023 Filed Jul 10, 2023 19:35 UTC
Robson DavidChief Financial Officer
GrantCommon Stock 362,508 $0.61 $221,129.88
Disclosure

SEC source: 0001836875-23-000129 · wk-form4_1689032098.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 618,878.65

F1 · security: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the Issuer's amended 2020 Long-Term Incentive Plan. Each RSU represents the right to receive one share of the Issuer's common stock. The RSUs award vests immediately on grant date and becomes non-forfeitable.

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June 30, 2023 Filed Jul 3, 2023 17:24 UTC
Poilasne GregoryDirector · Chief Executive Officer
GrantCommon Stock 25,550 $0.60 $15,202.25
Disclosure

SEC source: 0001836875-23-000108 · wk-form4_1688419474.xml · nonDerivative · entry 1

Poilasne Gregory · CIK 0001852374 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,315,985.73

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

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June 30, 2023 Filed Jul 3, 2023 17:34 UTC
Smith Ted C.Director · President and COO
GrantCommon Stock 6,250 $0.60 $3,718.75
Disclosure

SEC source: 0001836875-23-000110 · wk-form4_1688420088.xml · nonDerivative · entry 1

Smith Ted C. · CIK 0001851979 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,600.91

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

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June 30, 2023 Filed Jul 3, 2023 17:40 UTC
Robson DavidChief Financial Officer
GrantCommon Stock 23,315 $0.60 $13,872.43
Disclosure

SEC source: 0001836875-23-000112 · wk-form4_1688420432.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 256,370.65

F1 · shares: In connection with the amendment and restatement of Amendment No. 1 to the Reporting Person's employment Agreement dated November 11, 2022, the Reporting Person receives a grant of Common Stock at the end of each month beginning on November 30, 2022 and ending on August 31, 2023.

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