CEC AVENTURINE HOLDINGS, LLC

SEC source: 0000899243-23-008241 · doc4.xml · derivative · entry 2

Peridot Acquisition Sponsor II, LLC · CIK 0001841897 · 10% owner · See Remarks

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · Director · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

Levande Alan B · CIK 0001490501 · Director

YEARWOOD JUNE · CIK 0001825198 · Director

Prochazka Scott M · CIK 0001526699 · Director

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 90,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F4 · kind: In connection with the liquidation and dissolution of the Issuer, each of Alan Levande, June Yearwood and Scott Prochazka surrendered to the Issuer, for no consideration, 30,000 Class B Shares directly held by such reporting persons.

F4 · shares: In connection with the liquidation and dissolution of the Issuer, each of Alan Levande, June Yearwood and Scott Prochazka surrendered to the Issuer, for no consideration, 30,000 Class B Shares directly held by such reporting persons.

F4 · price: In connection with the liquidation and dissolution of the Issuer, each of Alan Levande, June Yearwood and Scott Prochazka surrendered to the Issuer, for no consideration, 30,000 Class B Shares directly held by such reporting persons.

F1 · derivative.exercise_date: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F1 · derivative.expiration_date: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F4 · ownership.direct: In connection with the liquidation and dissolution of the Issuer, each of Alan Levande, June Yearwood and Scott Prochazka surrendered to the Issuer, for no consideration, 30,000 Class B Shares directly held by such reporting persons.

SEC source: 0000899243-23-008241 · doc4.xml · derivative · entry 1

Peridot Acquisition Sponsor II, LLC · CIK 0001841897 · 10% owner · See Remarks

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · Director · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

Levande Alan B · CIK 0001490501 · Director

YEARWOOD JUNE · CIK 0001825198 · Director

Prochazka Scott M · CIK 0001526699 · Director

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 10,121,368 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F2 · kind: In connection with the liquidation and dissolution of the Issuer, Peridot Acquisition Sponsor II, LLC ("Sponsor") surrendered to the Issuer, for no consideration, 10,121,368 Class B Shares directly held by Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be

F3 · kind: (Continued from footnote 2) beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B Shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B Shares covered by this Form 4.

F2 · shares: In connection with the liquidation and dissolution of the Issuer, Peridot Acquisition Sponsor II, LLC ("Sponsor") surrendered to the Issuer, for no consideration, 10,121,368 Class B Shares directly held by Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be

F3 · shares: (Continued from footnote 2) beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B Shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B Shares covered by this Form 4.

F2 · price: In connection with the liquidation and dissolution of the Issuer, Peridot Acquisition Sponsor II, LLC ("Sponsor") surrendered to the Issuer, for no consideration, 10,121,368 Class B Shares directly held by Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be

F3 · price: (Continued from footnote 2) beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B Shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B Shares covered by this Form 4.

F1 · derivative.exercise_date: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F1 · derivative.expiration_date: The Class B ordinary shares ("Class B Shares") would have automatically converted into the Issuer's Class A ordinary shares at the time of the Issuer's initial business combination, or earlier at the option of the subject holder, on a one-for-one basis, with no expiration date.

F2 · ownership.direct: In connection with the liquidation and dissolution of the Issuer, Peridot Acquisition Sponsor II, LLC ("Sponsor") surrendered to the Issuer, for no consideration, 10,121,368 Class B Shares directly held by Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be

F3 · ownership.direct: (Continued from footnote 2) beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B Shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B Shares covered by this Form 4.

SEC source: 0000899243-21-032793 · doc4.xml · derivative · entry 2

PERIDOT ACQUISITION SPONSOR, LLC · CIK 0001824519 · 10% owner

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 8,000,000 shares

Expires not disclosed

F6 · derivative.exercise_price: In connection with the Business Combination, the Sponsor, through a series of transactions consummated pursuant to the Business Combination, converted all of its warrants to purchase Peridot Class A ordinary shares on a one-for-one basis for 8,000,000 warrants to purchase Amalco Shares at a price of $11.50 per share.

F6 · price: In connection with the Business Combination, the Sponsor, through a series of transactions consummated pursuant to the Business Combination, converted all of its warrants to purchase Peridot Class A ordinary shares on a one-for-one basis for 8,000,000 warrants to purchase Amalco Shares at a price of $11.50 per share.

F7 · derivative.exercise_date: The warrants were not exercisable until 30 days after the issuer's initial business combination and would have expired five years from the consummation of the issuer's initial business combination.

F7 · derivative.expiration_date: The warrants were not exercisable until 30 days after the issuer's initial business combination and would have expired five years from the consummation of the issuer's initial business combination.

F3 · ownership.direct: These securities were held by Peridot Acquisition Sponsor, LLC (the "Sponsor"). CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by our sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman.

F4 · ownership.direct: (Continued from Footnote 3) Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.

SEC source: 0000899243-21-032793 · doc4.xml · derivative · entry 1

PERIDOT ACQUISITION SPONSOR, LLC · CIK 0001824519 · 10% owner

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 7,410,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 per share ("Class B ordinary shares"), automatically convert into Class A ordinary shares, 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 adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · derivative.exercise_price: (Continued from Footnote 1) On August 10, 2021, the issuer consummated its initial business combination (the "Business Combination") with Li-Cycle Holdings Corp., an Ontario corporation. In connection with the Business Combination, each share of Class B ordinary shares was exchanged on a one-for-one basis for Amalco Shares (as defined below).

F1 · price: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 per share ("Class B ordinary shares"), automatically convert into Class A ordinary shares, 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 adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · price: (Continued from Footnote 1) On August 10, 2021, the issuer consummated its initial business combination (the "Business Combination") with Li-Cycle Holdings Corp., an Ontario corporation. In connection with the Business Combination, each share of Class B ordinary shares was exchanged on a one-for-one basis for Amalco Shares (as defined below).

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 per share ("Class B ordinary shares"), automatically convert into Class A ordinary shares, 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 adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · derivative.exercise_date: (Continued from Footnote 1) On August 10, 2021, the issuer consummated its initial business combination (the "Business Combination") with Li-Cycle Holdings Corp., an Ontario corporation. In connection with the Business Combination, each share of Class B ordinary shares was exchanged on a one-for-one basis for Amalco Shares (as defined below).

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 per share ("Class B ordinary shares"), automatically convert into Class A ordinary shares, 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 adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · derivative.expiration_date: (Continued from Footnote 1) On August 10, 2021, the issuer consummated its initial business combination (the "Business Combination") with Li-Cycle Holdings Corp., an Ontario corporation. In connection with the Business Combination, each share of Class B ordinary shares was exchanged on a one-for-one basis for Amalco Shares (as defined below).

F5 · balance_after: In connection with the Business Combination, the Sponsor, through a series of transactions consummated pursuant to the Business Combination, converted all of its Class B ordinary shares for 7,410,000 fully paid and non-assessable common shares of Li-Cycle Holdings Corp. ("Amalco Shares").

F3 · ownership.direct: These securities were held by Peridot Acquisition Sponsor, LLC (the "Sponsor"). CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by our sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman.

F4 · ownership.direct: (Continued from Footnote 3) Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.

SEC source: 0000899243-21-012398 · doc4.xml · derivative · entry 1

Peridot Acquisition Sponsor II, LLC · CIK 0001841897 · 10% owner

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · Director · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,121,369

Underlying: Class A Ordinary Shares · 138,631 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-252583) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · kind: This Form 4 reflects the automatic surrender to Peridot Acquisition Corp. II (the "issuer") of 138,631 shares of the issuer's Class B common stock, par value $0.0001 per share, for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the expiration of the option of the underwriters of the issuer's initial public offering to purchase additional units.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252583) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252583) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F3 · ownership.direct: This Form 4 is being filed by Peridot Acquisition Sponsor II, LLC (the "Sponsor"). CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by our sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the

F4 · ownership.direct: (Continued from footnote 3) extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.

SEC source: 0000899243-21-005581 · doc4.xml · derivative · entry 1

PERIDOT ACQUISITION SPONSOR, LLC · CIK 0001824519 · 10% owner

CEC AVENTURINE HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,410,000

Underlying: Class A Ordinary Shares · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · kind: In connection with Varun Sivaram's resignation as an independent director of the issuer, Peridot Acquisition Sponsor, LLC (the "Sponsor") repurchased 30,000 shares of Class B common stock of the issuer from Mr. Sivaram for approximately $90.00, or $0.003 per share.

F2 · price: In connection with Varun Sivaram's resignation as an independent director of the issuer, Peridot Acquisition Sponsor, LLC (the "Sponsor") repurchased 30,000 shares of Class B common stock of the issuer from Mr. Sivaram for approximately $90.00, or $0.003 per share.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F3 · ownership.direct: This Form 4 is being filed by the Sponsor. CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings.

F4 · ownership.direct: (Continued from Footnote 3) Accordingly, all of the shares held by the Sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman. Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.

SEC source: 0000899243-20-030611 · doc4.xml · derivative · entry 1

PERIDOT ACQUISITION SPONSOR, LLC · CIK 0001824519 · 10% owner

CEC PERIDOT HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,380,000

Underlying: Class A Ordinary Shares · 1,125,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · kind: This Form 4 reflects the automatic surrender to Peridot Acquisition Corp. (the "issuer") of 1,125,000 shares of the issuer's Class B common stock, par value $0.0001 per share, for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the expiration of the option of the underwriters of the issuer's initial public offering to purchase additional units.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F3 · ownership.direct: This Form 4 is being filed by Peridot Acquisition Sponsor, LLC (the "Sponsor"). CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by our sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman.

F4 · ownership.direct: (Continued from Footnote 3) Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.

SEC source: 0000899243-20-027622 · doc4.xml · derivative · entry 1

PERIDOT ACQUISITION SPONSOR, LLC · CIK 0001824519 · 10% owner

CEC PERIDOT HOLDINGS, LLC · CIK 0001825713 · 10% owner

CARNELIAN ENERGY CAPITAL III, L.P. · CIK 0001773942 · 10% owner

CARNELIAN ENERGY CAPITAL GP III, L.P. · CIK 0001825632 · 10% owner

CARNELIAN ENERGY CAPITAL HOLDINGS, LLC · CIK 0001825619 · 10% owner

Ackerman Tomas · CIK 0001733420 · 10% owner

Goodman Daniel · CIK 0001733466 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,505,000

Underlying: Class A Ordinary Shares · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2 · kind: In connection with Jonathan Silver's election as an independent director of the issuer, 30,000 shares of Class B common stock of the issuer were transferred by Peridot Acquisition Sponsor, LLC to Mr. Silver for approximately $90.00, or $0.003 per share.

F2 · price: In connection with Jonathan Silver's election as an independent director of the issuer, 30,000 shares of Class B common stock of the issuer were transferred by Peridot Acquisition Sponsor, LLC to Mr. Silver for approximately $90.00, or $0.003 per share.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-248608) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, 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 adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F3 · balance_after: The Class B ordinary shares beneficially owned by the reporting person include up to 1,125,000 shares that are subject to forfeiture to the extent the underwriters of the initial public offering of the issuer's securities do not exercise in full their over-allotment option as described in the issuer's registration statement.

F4 · ownership.direct: This Form 4 is being filed by Peridot Acquisition Sponsor, LLC (the "Sponsor"). CEC Aventurine Holdings, LLC ("Peridot Holdings") shares voting and/or dispositive control over the securities held by the Sponsor. Peridot Holdings is controlled by Carnelian Energy Capital III, L.P. ("Carnelian Fund III"), its sole member. Carnelian Fund III is controlled by its general partner, Carnelian Energy Capital GP III, L.P. ("Carnelian L.P.") and Carnelian L.P. is controlled by its general partner Carnelian Energy Capital Holdings, LLC ("Carnelian Holdings"). Messrs. Tomas Ackerman and Daniel Goodman are the controlling members of Carnelian Holdings. Accordingly, all of the shares held by our sponsor may be deemed to be beneficially held by Peridot Holdings, Carnelian Fund III, Carnelian L.P., Carnelian Holdings and Messrs. Ackerman and Goodman.

F5 · ownership.direct: (Continued from Footnote 4) Each such reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.